Guide to Arup Appraisal

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Arup Appraisal Process and preparation 3 Impact plan 6 Check-in

1 Review of last year 4 Development plan Link to pay and promotion

The Arup Appraisal is an annual conversation for all members of Arup.

The purpose is for appraisees and appraisers to discuss members’
performance, career development and future contribution to the business.
We want this to be a constructive and valuable conversation, one that is
personal and useful for everyone.

This guidance document has been designed to explain all the areas
you should cover during your appraisal, whether you are an appraisee
or appraiser. There is further help available on the Digital Workspace
HR pages.

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Appraisee Appraiser

Performance Provides summary of evaluation of their impact, performance and Provides their feedback and evaluation of performance and
last year deliverables against plan deliverables against last year’s plan
Describes the main development and learnings from the experiences and
what these mean for the coming year’s plan
Agree summary of overall performance Agree summary of overall performance

Career direction Presents key areas for discussion based on the questions set out in section Discusses points to be considered and addressed by the
conversation 2 of appraisal appraisee for their career direction

Impact plan Presents the proposed Impact Plan, discusses how this aligns to team/ Responds to the proposed impact plan. Discusses the
group/regional objectives and the support required to achieve the desired expectation of the appraisee’s contribution, aligned to team/
outcomes Updates the impact plan with any changes following the meeting group/regional objectives
Agree the plan Agree the plan

Development Present proposed areas for development and suggested activities which
align with the impact plan and career direction aspirations, using the
70/20/10 principle. Populates the development plan with what was
discussed and agreed as part of the appraisal conversation
Agree the development activities and actions
Recommendation for areas of development and how
this can be achieved using the 70/20/10 principle.
Can add comments to the development plan
after the appraisal conversation
Agree the development activities and actions

Summary An appraisal should be:

• A useful conversation between an individual and their appraiser
• A mutual understanding of overall performance
• A discussion about goals and accomplishments
• A discussion about an individual’s future career aspirations
The outcomes of the appraisal should include:
• Specific actions identified and agreed
• Development activities identified
• Recommendations with an associated plan agreed

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Appraisal conversation
The process
People using the online appraisal tool will be guided through each step by
the system. In addition, the system will prompt actions and send reminders to
whoever is ‘next’ in the process.

Suggested overall structure and timings for the appraisal conversation

Review of last year. 20 minutes approximately

• Appraisee starts with their own self-evaluation 20
• Appraiser responds with their view mins

Career Direction. 20 minutes approximately

• Appraisee gives view on the questions set in the form 20
• Appraiser responds to the aspirations in terms of ambition and practicality mins
• Appraiser and appraisee discuss how the realistic aspirations can be met

Impact plan – coming year. 20 minutes approximately

• Appraisee talks through what they’d like to achieve, and their draft plan 20
• Appraiser adds their view, and if necessary wording around day-to-day mins
deliverables and a way to measure progress next year

Development plan. 20 minutes approximately

20
mins

Summary and actions. 10 minutes

• Both agree what to write (not to be completed during the conversation) 10
mins

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1. Review of last year
1 Review of last year
When evaluating performance against plan, both the appraiser and
appraisee should consider:
• How well did they perform (in terms of their projects, people and
• clients) since their last appraisal?
• How it was delivered (including timeliness, budgets, relationships,
collaboration, creativity, client considerations)?
• How did the appraisee develop and learn over the year?
• What feedback does the appraisee have about their group, project
or environment?
If any part of the performance was below expectation this must
be discussed in this section.
This section also covers last year’s development.
What progress was made, have least year’s needs been met,
what worked and what didn’t?
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Feedback from several sources
The online tool requests and collects feedback from contributors.
All feedback requested by the Appraisee is immediately accessible on
submission by the contributor. Any feedback requested by the Appraiser
will be shared with the Appraisee as part of the Appraisal conversation.
In general a useful number of additional sources would be 3-5 people.
In nominating those contributors, look for people who are familiar with
your work and who will provide balanced feedback, including positive
and critical input. For internal contributors you should consider gathering
feedback from a ‘360’ degree perspective i.e. peers, people more senior
and those that report to you. The Appraisee is able to attach any relevant
feedback (either internal or external) they have previously received
throughout the year to their appraisal form.
This additional feedback is one further source of input, and should be taken
as one element among several. Appraisers should add this feedback to their
own, and use it to illustrate key messages. It is essential that in giving this
feedback the appraiser is seen to ‘own’ the feedback, and not assign the
blame for any critical or difficult messages to the other contributors not
present in the meeting.
In most regions this feedback can be internal or external people. One of
the contributors may be an external client or collaborator who knows the
appraisee very well. Please refer to your region specific guidance.
Feedback can be viewed by all users who have access to the
appraisal form including Group Leaders and Regional HR
Leaders along with the Appraisee, Appraiser and
Appraisal Sign Off.
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The purpose of this section is to allow the appraisee to think about their
aspirations and discuss these in a practical, usable way with the appraiser.
The role of the appraiser in this section is to comment on how realistic,
challenging and ambitious these aspirations are and help the appraisee
define how they could be reached, both through general development of
their role and any tangible next steps. The appraiser is expected to enlist the
engagement of other people who can influence these outcomes – such as
group leaders or project managers.
Aim, and expected outcomes from this conversation
This is a conversation, led by the appraisee and supported by the appraiser
about how the appraisee wants their career to develop over the next few
years. It’s about how to get to a medium term goal in their career, though not
about committing to a specific role itself.
What to cover
Career direction – what type of work does the appraisee want to be doing
and to what level of responsibility?

For junior members of staff, the horizon for this conversation is likely to
be about 1-3 years. For more senior members of staff we would expect a
conversation about the next 3-5 years.
The preparation for this section is largely for the appraisee. Before the
appraisal the appraisee needs to think through the questions set out in the
form (and below) and come into the room ready to talk about their views.
The appraiser should also have their own view, to inform the discussion.
What is important to them about their work over the next few years – for
example, breadth, depth, specialisation, generalisation, mobility, people
responsibility, etc?
How should that progression take place – what roles, projects, and other
work would provide the experience, skills and behavioural development
that is required?
Career direction and progression does not always relate to promotion.
It can encompass broadening of skills, abilities, and experiences through
projects, secondments and assignments.

A suggested structure and guidance for that conversation is included later

in this document.

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Expected outcomes Suggested template for conversation

A clearer view of how you want your responsibilities to develop within for appraisers
the next 2-3 years, including:
In a 90 minute appraisal, this section would be approximately
• The work you want to do 20-30 minutes.
• Where you want to do it
• Do you want to further specialise?
Opening: The appraisee should open, and should be able to provide their
• Do you want to broaden your skills?
thoughts on some of the questions set out in the form.
• How do you want to exert influence, internally and/or externally?
• What do you want your overall effect to be?
• What are the key pieces of development you need? What kind of work
would be helpful? What kind of support from other people? Would Appraiser: The appraiser, in advance should form their own
mobility be helpful? view of the questions and be ready to respond:
• Where would you like to be located?
1. Respond to the appraisee’s aspirations
There are two outcomes from this: • How realistic are the aspirations?
• Do any expectations need to be managed?
1. From that conversation, appraisee and appraiser should agree • Is the appraisee being ambitious enough – should you encourage them
the actions. to aim higher?
2. In section 3, make sure you capture the development that will
support progress in the direction agreed as appropriate. 2. How to get there
• What can you suggest in terms of roles, experiences and development?
• Are there any tangible next steps?

3. Actions
• Anything that needs to happen should be noted in section 4.

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Examples
Career Direction: How do you want your career to progress?
What factors are most important to you in your career development over
that period (e.g. increased variety/depth/breadth/scope of role)

Over the next couple of years I would like to get as many different experiences as
possible – different types of client, different sizes of project, and a mix of narrower
and wider roles. In addition, I want to work with other disciplines – collaboration is
important to me, and I see more senior people performing ‘integrator’ roles, and I’m
very interested in heading in that kind of direction.
Bigger, more complex projects. I enjoy the different demands of
running big projects, and I want to continue to lead all of the different
elements of these projects, but with increasing size and complexity,
particularly with demanding client relationships such as JVs, PPP
projects and contractor clients.

Someone in the early to mid-stages of their career Someone in a mature career

What extra responsibilities, roles or overall contribution interest you?

Are you interested in working in another part of the firm (office, group, discipline or region)?

Multidisciplinary projects are particularly attractive. I’m open to moving locations, but
I’d be most interested in a location where collaboration across disciplines is most
often required on projects. I think I’m ready for more ‘people’ responsibilities, and in
specific project terms I’d like my next projects to have some responsibilities for other
people and their deliverables.
Not geographically in the long term, but I’m very interested in learning
from other PDs with experience on these very complex projects, so I’m
very happy to do shorter term travel anywhere in the world. In terms
of specific roles I want to take a wide PM role in a project in this region
with revenue of £XX.

Someone in the early to mid-stages of their career Someone in a mature career

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Impact Plan
This allows the appraisee to describe the impact they want to have on the
business over the coming year in language that is motivating and personally
meaningful. It becomes their personal commitment to achieving a goal that
is valuable to both them and the firm.
Examples of a good impact plan and further guidance appear later in
this document.
What do we mean by ‘Impact’?
Impact means the extent to which someone improves the outcomes of their
work, or their project/team/office/group. In practice this would often mean
timelines, quality, budget, design/innovation matters, impact on people,
clients or work overall.
What is the expected format and output of the plan?
The form (examples shown below) allows a free-form input, but encourages
conversation around a number of points. None of these are ‘mandatory’ –
people can use whatever language they wish, but they are intended to be
helpful signposts within the conversation.
• Any deliverables that are non-negotiable as part of the role.
These, however, should be expressed by the appraisee in a way which is
motivating to them, and where possible should include elements that are
new, challenging or more interesting than last year.
Ideally there will be between one and three entries in this section.
Appraiser’s input to impact plans
The purpose of the plan is to make next year’s performance goals motivating
and inspiring (and personal) for the appraisee. That said, the plan needs to
include any non-negotiable deliverables that “just have to happen”.
Therefore, the role of the appraiser is to make sure the impact plan contains
both elements – the personal impact that will stretch and inspire, and the
non-negotiable deliverables for the individual. Those deliverables should
be captured and described by the appraisee, in language that is motivating
to them.

There are some elements that should be present in each impact plan:

• At least one impact statement that is exciting, interesting, inspiring and
challenging for the appraisee.

• Each item in the plan should be observable – i.e. appraiser and appraisee
need to refer to it in a year and be able to see clearly how successful
the individual has been against their goals. It does not need to be
quantitatively measureable, but it does need to be observable, in that both
parties need to be able to detect whether it has happened or not.

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Sources of input to the Impact Plan Here are global promotion decision guidelines. Please also refer to your
regional guidance.
1. Contribution Guide
2. Attributes of leaders (including KPIs)
The Contribution Guide shows the expected contribution in overall terms Note: this document is intended for Grades 9 only.
for each grade within the organisation. At each grade there are three
elements to contribution: The Arup Group Board recognises that we need different types of leader
• Scope of role and impact for a successful Arup. This document sets out the Board’s view about the
• What you deliver contribution of those types, along with how those leader contributions
• How you deliver should be measured. The Key Performance Indicator section of this
document contains helpful measures for leaders. In the Impact Plan, each
How to use it in the Impact Plan leader should review the leader roles that they belong to, recognising that
The Impact Plan asks both appraiser and appraisee to agree on how the each leader can belong to more than one, and choose at least one of the
appraisee will improve some aspects of their environment or output. KPIs as a measure for their coming year’s Impact Plan.
The Contribution Guide gives several suggestions for how those
improvements might be made. The individual may also generally Support required
compare their output to the entry in the Guide and make adjustments What support does the appraisee need to achieve what they want to deliver
to their everyday responsibilities. over the year.

Adapting for your role You might consider assistance, supervision, resource, development, tools,
The examples in the Guide are necessarily generic to everyone in Arup. technologies and environment
Each appraiser should add their own expectations of someone in specific
roles from the project/discipline/team at the relevant grade.

Example: in addition to the expectations set out in the Contribution Guide,

for someone at Grade 4 on this project in this discipline, I would expect
to see…

The Contribution Guide shows the step in responsibilities and output from
one grade to another, but it is essential that both parties understand how
promotion decisions are made. It is not the case that if someone is delivering
largely to the expectations in the guide that promotion will follow.

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Describe the impact you want to have on your projects, clients, your team or the firm next year.

In your statement you might include:

• What you want to deliver (or your areas of focus) • How you will deliver it
• What improvements do you want to make to your performance? • Who you will collaborate with
• Why that is important • What is the approximate timeframe for this? 3/6/12/18 months?

Example #1 of someone in the early to mid-stages of their career

1. This year I would like to research and prototype 4D modelling process and investigate how it will help us better deliver our projects. It should enable us to use our BIM tools to
validate and optimise project delivery at every stage.

4D modelling process allows us to take a construction programme with a 3D model and by linking components of the model to tasks in the programme you can show
the project being built against a timeline. It should help us identify interferences, resource requirements and new possibilities for assembly in advance of construction,
previously we could only do this on a site visit.

I will identify an opportunity on an existing project to use the 4D modelling process.

• Use the process to model and monitor a programme, to allow the client / team to understand phasing and sequence of tasks
• Produce a real example that can be used to showcase to other clients / teams within six months

What support do you require to make this happen?

Arup will need to invest in a software license £3k.

2. I find our current Project Management software un-intuitive and feel that if we could make some small tweaks to our process and the way we use the software
we could make the tool work better for us and the business. None of these changes would involves any software redesign. I propose to draft a short proposal on
how we might achieve this and I would like to discuss this with you and then team within six weeks.

What support do you require to make this happen?

None

3. As the Digital Workspace champion for our group I would like to setup a couple of lunchtime sessions to help our group get the most out of the new tools available.
I can also provide some one-to-one help where necessary. Firstly this could be how to use Yammer on projects to improve efficiencies and outcomes.

What support do you require to make this happen?

Group leader backing that DW is the way to go.

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Describe the impact you want to have on your projects, clients, your team or the firm next year.

In your statement you might include:

• What you want to deliver (or your areas of focus) • How you will deliver it
• What improvements do you want to make to your performance? • Who you will collaborate with
• Why that is important • What is the approximate timeframe for this? 3/6/12/18 months?

Example #2 of someone in the early to mid-stages of their career

1. I think our relationship with the client team could be better. There isn’t anything ‘wrong’ per se – it’s just that we could be more collaborative, and I think there is room for a
better design ethic in what we’re trying to do (without incurring more cost!). If we were able to work more closely, more often together focusing on how to make the elements of
the solution better (by which I mean more effective, more pleasing, faster and maybe cheaper) then I think we stand a great chance of follow-on work from that.

What support do you require to make this happen?

None

2. In practice, I think this means:

• Existing deadlines and budget have to be managed better – if they’re not, we won’t have time for collaboration. I think I can influence deadline management in my immediate team.

• There are three key people on the client side that I think would be receptive – I will enlist their support, and we’ll set up a small scale prototype of what we mean.

• I’ll report on the results of that in September, and let the PM decide whether to scale it up.

What support do you require to make this happen?

None

3. I need you to say yes and back me up in the early stages. If the PM would visibly buy into this, it would help enormously.

What support do you require to make this happen?

Three to six months

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Describe the impact you want to have on your projects, clients, your team or the firm next year.

In your statement you might include:

• What you want to deliver (or your areas of focus) • How you will deliver it
• What improvements do you want to make to your performance? • Who you will collaborate with
• Why that is important • What is the approximate timeframe for this? 3/6/12/18 months?

Example #3 of someone in a mature career

1. The office I lead has 60 people in 12 main disciplines. While we are performing well commercially, there are two things on my mind; firstly some of our engagement scores in
the recent Working At Arup survey were worrying – I think we might start to lose some great people next year, secondly our skill set is starting to look ‘traditional’, particularly
against our Cities strategy and the Transport elements of that. This makes us less attractive to our local market than we were, say, five years ago.

What support do you require to make this happen?

None

2. In response to this I think there are three things that I want to tackle this year:

• I want our best people to feel recognised and have confidence they’re developing – I will undertake to talk to 20 of these people (identified by our leaders) and discuss their
medium to long term development.

• I will start an initiative to identify where the office is really well skilled for our market and where we need to do some work. This will involve clients and our local leaders, and I’ll
make this happen by the end of December.

• F
 ollowing that, I’ll identify 3-4 key skill areas that we’ll develop in the office over the next two years, and I’ll liaise with L&D over that, but I’ll identify the skill gaps and I’ll set the
target levels of skill that we’re aiming for. At least one skills building programme will be up and running by March.

What support do you require to make this happen?

None

3. I’ll need Learning & Development to help, and to make this a priority. In addition, it’s likely that the 3rd part of the plan – the skills building
– will need a modest budget that we didn’t have last year. I will need support for that when the time comes, given that this will be a key
business development tool.

What support do you require to make this happen?

Ongoing

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Learn from experience

Learning and developing through
Development day-today tasks, challenges and practice 70:20:10 is a way of explaining how learning occurs at work. It represents
a ratio of learning from experience (70%), learning from others (20%)
The development plan sets out what Learn skills, knowledge or behavioural and learning in a formal setting (10%). It is important to keep in mind that
from others
personal
changes are needed to support theLearning and developing
appraisee’s careerwith and through and agreed
progression 70:20:10 is a guideline, not a fixed ratio. The key take away is that for rich
others from informal learning, coaching,
impact plan. networks and other collaborative and learning to take place, over time there needs to be an integrated mix of work
co-operative actions experience, learning from others and formal training to be effective.
The appraisee should come to the meeting with a view of the development
Formal
they need over the coming year, both for learning
their current role and their longer You will find that this ratio flexes as you move throughout your career.
Learning and developing through structured
term career direction. In the meeting, both parties should discuss what For example, it is common for someone at the beginning of their career to
courses and programs
is realistic, agree what to aim for and how in practical terms that will be have a higher ratio of formal learning whereas someone who is an expert
achieved. in their field would likely have very little formal learning or would be
delivering learning to others.
The previous sections of appraisal, Career Direction and next year’s
Impact Plan will suggest development needs. So the development
plan should reflect both of those sections.
10%
Follow this link to a more detailed explanation Formal learning
Learning and developing through
of the 70/20/10 principle. structured courses and programs.

70%
Examples:
– Classroom courses
– Formal e-learning
Learn from experience – Virtual Classroom learning
Learning and developing
through day-to-day tasks,
challenges and practice.
20%
Examples: Learn from others
– Project assignments, Learning and developing with and through
– Team assigments others from informal learning, coaching,
– Mobility networks and other collaborative and
– Discussion of work co-operative actions.
– and feedback
– Project reviews, design Examples:
– Charettes - Team members - Conferences
– Reading - Experts - Coaching
– Research - Clients - Mentoring
- Collaborators

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4. Development plan
1 Review of last year
Example
For the examples given earlier, in which someone at mid-grades wants more experience of multidisciplinary working:
70%
Learn from experience
I will meet informally and
regularly with key people
from the following disciplines:
– Facades
– Lighting
– Buildings Performance
– Acoustics
– Fire
The purpose of those meetings
is to discuss progress on a
current project, and how their
disciplines could add value or
need to be better represented
on the project.
In determining development needs it will prove very helpful to spend some
time during the conversation being clear (and reaching agreement) on what
development is really required and why. A good check for any development
need is “if this piece of development (course/coaching/reading etc) is
completed the way I’ve described it, will I be sufficiently developed in that
area that the development need will be met or no longer apply”?
The role of the appraisee is to think through what the priority development
needs are, relative to both the short-term demands of the current role and
their longer term career, in advance of the face-to-face meeting. The role
of the appraiser is to do the same from their perspective. In the face-to-
face meeting, both parties will agree on priorities, and the best way, using
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10%
Formal learning
Existing learning in Arup University on
‘basics’ in key disciplines that frequently
interact with my own. Highest priorities are:
1. Daylighting Fundamentals
2. Introduction to BIM processes
3. Introduction to Structural Fire Engineering
3. for Non-Practitioners
20%
Learn from others
I have asked a broadly influential Arup Fellow
for some mentoring this year. She has agreed
four meetings, in which we’ll mostly discuss
cross disciplinary working and how to make
projects more integrated.
70/20/10, to develop against these priorities. The development plan
section is populated by the Appraisee with the Appraiser able to
add comments after the appraisal conversation and before
sign off.
Professional qualification
Professional qualifications remain an integral part of expected
development in most disciplines in Arup. The Contribution
Guide sets out when your region expects professional
qualification to occur, with more, and definitive,
guidance available from local HR teams.

5. Summaries and sign off
1 Review of last year
Summary
This section is where the key parts of the conversation are captured as actions
for the appraiser, appraisee and often the group leader. This section will
provide easy follow up in the check in, but also will provide quick guidance
for other stakeholders, such as the group leader and future managers.
The summaries will be used to inform (though not exclusively) key
decisions about salary review, promotion – where applicable – and
development activities. More guidance about the other factors involved in
these decisions is available.
Anyone involved in these decisions who is not the immediate appraiser
will have access to the Recommendations section through the online
appraisal tool in order to make sure the right decisions are being made.
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The appraiser provides their own summary of the performance overall.
They should provide a clear, concise summary of performance. It should
also be easily understood by those involved in the key decisions referred
to above. In particular, the appraiser needs to indicate clearly where
performance overall has fallen short of or exceeded expectations.
The actions are intended to focus on the coming year:
• Specific development actions
• Specific performance actions (changes in scope or standards to deliverables)
• Specific performance improvements
They should be in the form of short bullet points or prose.
The actions should never be in the form of commitments or
promises for specific roles, promotions or development activities.
Please refer to the Appraisal Pay and Promotion document
The sign off summary is to be completed by the appropriate Cost Centre
Leader or Group or Sector Leader. You will be notified who this is via the
online tool and or your appraiser.
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Throughout the year it is expected that the appraiser and appraisee Additional Guidance Notes
will want to review progress against the Impact Plan, agreed actions,
development and overall performance. The frequency of these conversation The purpose of the check in is to address the question “how are you getting
is up to the appraiser and appraisee but we recommend at least once during on against the Impact Plan that we agreed at your appraisal?” It is a very
the year. informal conversation that will help to keep things on track, and the format
of the conversation can be flexed to the needs of the appraiser and appraisee.
This section provides the opportunity to record this conversation and
can be completed by either the appraiser or appraisee. When evaluating performance and progress during the check-in
conversations; both appraiser and appraisee should consider the
Guidance and help around the newer elements is available through following in relation to the agreed Impact and Development Plans:
your local HR teams and several remote learning tools on moodle –
Appraisee Appraiser Overall performance since the last review:
• Progress with projects
The “Check In” Section in the online form should be used to record a - what has been delivered and how it’s been delivered?
summary of this conversation; any changes to the Impact Plan in terms of - collaboration and relationships with others (internal and external)
activities or timelines; any changes to the Career Development Plan and - performance against agreed timelines and budget
noting progress to date. • Are there areas where improvement could be made?
• What support is needed to address this?

How are the development activities progressing?

• What has been achieved to date?
• What further or additional support is needed to progress,
from the appraiser or anyone else?
• Have any other areas for development been identified
since the last review?

Optionally, If the appraisee is working closely with others

on a project then it may be worth considering gaining
their feedback.

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 Arup Appraisal 2 Career direction 5 Summaries and sign off

Link to pay and promotion Process and preparation 3 Impact plan 6 Check-in

1 Review of last year 4 Development plan Link to pay and promotion

The annual appraisal is a summary and assessment of overall performance Promotion factors and inputs
and the time to agree the appraisee’s contribution for the coming year. For any potential promotion the following will also be considerations:

The outcomes of the annual appraisal conversation are:
• Summary assessment of the individual’s past year’s
performance and contribution
• Agreement on the contribution and impact for the following year
• To identify support needed to achieve these activities and plan
how to meet those needs
• To identify the development needs and plan how to meet those needs
• To plan, in advance, the on-going performance and contribution to
support the individual’s career aspirations
• To agree with the individual future action plans as a result of the
appraisal
The Appraisal does not make a specific recommendation to either
salary review or promotion.
• Business requirement; alignment with the strategy
• Shape and needs of the Group and/or Region
• Individual skills and contribution
• Professional Qualification
The summary sections of the Appraisal Form will be shared with the
appropriate accounting centre Leaders and Group/Sector Leaders who
are part of the decision making and approval process for either the Salary
Review or Promotion.
Further information on the Salary Review and Promotion process for your
region can be found in the HR pages of Digital Workspace.

Salary review factors and inputs

In addition to the assessment of the individual’s performance,
there are other factors that are considered and help inform the salary
review process which include:

• Internal and external salary benchmark data

• Economic factors such as inflation
• Salary review budget
• Group and Regional financial position

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