Development
Department
Appraisal Guidelines
Version 1.1
Author: Ian Turnbull
Copyright
LS 2003 Limited, 2003 . All rights
reserved.
Laser-Scan
Cavendish
House
CB4
0WZ
Tel:
(+44) (0) 1223 420414
Fax:
(+44) (0) 1223 420044
http://www.laser-scan.com/
Version
History
|
Version |
Date |
Description |
|
1.0 |
|
Initial release of the guidelines. |
|
1.1 |
|
4. Pre-appraisal Checklist : added reminder to check remaining
holiday entitlement 5. Giving the Appraisal :
added reminder to check remaining holiday entitlement 7. Post-Appraisal Actions : added location of competencies
spreadsheet . |
1. ABOUT THE GUIDELINES
These
guidelines describe the steps that the appraisee and their line manager (the
'appraiser') should follow when an appraisal becomes due. They consist of the
following:
§
Section 2: an outline of the appraisal administration procedures
§
Section 3: a flowchart for the appraisal process
§
Section 4: a checklist against which the appraisee should provide a
written review of their work over the previous review period
§
Section 5: a short summary of the objectives of the appraisal meeting
§
Section 6: further information for the appraiser about the topics that
should be covered in the final write-up of the appraisal,
and a template for the heading to the written appraisal
§
Section 7: actions that the appraiser and appraisee should
take after the appraisal, and guidance on writing or updating the appraisee's
sales CV
2. APPRAISAL ADMINISTRATION
The
appraisal administrator maintains a spreadsheet that lists, for each employee,
the date that person joined the company and the weeks in which their appraisals
fall due. It records the fact that notification has been issued, and tracks the
progress of each appraisal.
Appraisals
are made at 3-monthly intervals while staff are in their first year of
employment. In subsequent years, appraisals are at 6-monthly intervals.
The
administrator gives the appraiser and appraisee two weeks notice of an
appraisal being due. In those two weeks the appraiser and appraisee should
prepare for the appraisal meeting.
In
order to record the status of appraisals, the administrator needs to know:
§
When an appraisal takes place
§
When the written and signed appraisal is given to the Development
Manager
Upon
receipt of this information, the administrator updates the spreadsheet
accordingly.
It is the responsibility of
the appraiser to provide the administrator with the required information in a timely manner. Failure to do
so undermines the appraisal system by making it difficult for the administrator
or Development Manager to know the status of appraisals across the department.
3. THE APPRAISAL PROCESS
Week 2
Appraiser gives signed appraisal to Development Manager, and copy to appraisee. Informs
appraisal administrator.
4. PRE-APPRAISAL CHECKLIST
The
appraiser should give this checklist to the appraisee as soon as advanced
notification of the appraisal is received from the appraisal administrator.
Approximately one week prior to the appraisal meeting, the appraisee provides
the appraiser with a typed response to the questions. It is important for the
appraiser to make the appraisee aware that this reponse will form part of the
final written appraisal (see section 6, Completing
the Written Appraisal).
The
checklist consists of the following questions:
§
What have you worked on since your last review?
§
For each job you have worked on:
- what have you achieved?
- what went well, and why?
- what went badly, and why?
§
Is there any training that you think would help you?
§
Have you been asked to do any things that you particularly enjoyed or
did not enjoy?
§
Which of the objectives and actions in your previous appraisal have been
met, and how? Which have not been met, and why?
§
Are there any improvements you would like to see in the way we do
things?
§
What would you like to do over the next year?
§
What would you like to do in the longer term?
§
Do you need to update your training and competencies
record?
§
Do you need to update your online sales CV?
§
Have you planned when to take holiday? Will you be able to use your full holiday
entitlement for the current year?
§
Have you any other comments about your job or Laser-Scan?
§
[You may also want to ask about a
specific current issue within Laser-Scan].
5. GIVING THE APPRAISAL
The
appraiser and appraisee need to discuss the appraisee's responses to the
pre-appraisal checklist. The appraisee should also be given the opportunity to
discuss any subjects that they did not wish to include in their written
response.
During
the discussion the appraiser should give feedback on the performance of the
appraisee, their strengths and weaknesses.
The
outcome of the appraisal should be agreement on:
§
Current skills and training requirements
§
Actions for the appraiser and appraisee
§
Objectives for the appraisee over their next review period
§
Updates to the appraisee's online sales CV
At the start or end of the appraisal, the accuracy of key
documents from the appraisee's personnel file should be reviewed (e.g. address,
emergency contact, beneficiaries). Confirm also that the appraisee is on
target to use up their holiday entitlement.
The
next section gives further guidance on the topics that the written appraisal
should cover. The appraiser needs to ensure that at the end of the appraisal
meeting they have sufficient information to be able to cover all these topics.
After the meeting, the
appraiser should notify the appraisals administrator that the meeting has taken
place.
6. COMPLETING THE WRITTEN
APPRAISAL
The
written appraisal is in two parts:
§
The first part is the appraisee's written responses to the
pre-appraisal checklist. It is acceptable for the appraisee to amend this part
of the appraisal after discussing it at the appraisal meeting.
§
The second part is the appraiser's contribution. The appraiser should
aim to complete the written appraisal within at most two weeks of the appraisal
meeting.
Remember
to include the dated signatures of the appraiser and appraisee at the end of
the appraisal. Remember also to notify
the appraisals administrator when the write-up has been given to the
Development Manager.
There
is considerable flexibility in the presentation of the written appraisal, to
enable both appraiser and appraisee to express themselves as freely as
possible. However, the appraiser should ensure that the written appraisal
covers the following topics.
Responsibilities And
Performance
Describe
the appraisee's responsibilities, tasks or objectives over the review period
i.e. what have they been doing. It will probably be possible to list a number
of major activities. Ensure that, for each activity, the appraisal describes:
§
What the appraisee has been doing
§
How well they have been doing it
§
Whether they have enjoyed it
§
What their strengths and weaknesses have been
§
What new techniques or concepts they have encountered
§
Any obstacles the appraisee has encountered that have reduced their
efficiency (e.g. it might be Laser-Scan procedures, or lack of training).
Other Comments
Describe
any additional issues that do not fit into the section on responsibilities and
performance. Give the appraisee the opportunity to comment on company issues.
Objectives and Actions for
the Previous Three/Six Months
Specify
whether the objectives agreed at the previous appraisal have been met, and actions completed. Describe what has been
done. Explain why objectives have not been met or actions not completed.
Aspirations
Describe
what the appraisee would like to be able to work on during the coming year, and
what longer term ambitions they have. Specify any actions agreed.
Training Requirements
Describe
any training requirements.
Objectives For The Next
Three/Six Months
You
should have agreed a set of objectives for the next review period. An objective
is a specific short-term task, ideally with a realistic measurable goal that
the appraisee can aim for. This helps clarify the manager's expectations of the
appraisee over the next review period and provides something against which
performance can be measured. The appraisee's work may be such that objectives
cannot be tightly defined, but it is unfair to the appraisee not to make every
effort to define your expectations, and the measures of success, as clearly as
possible.
Actions
List
all the actions on the appraiser or appraisee that have been agreed in the
course of the appraisal.
6.1 Heading Template
The
appraisal heading should be presented in the following format:
Appraisee: [name]
Job Title: [appraisee's job title]
Date of Appraisal: [when appraiser and appraisee met]
Date of Previous Appraisal:
Appraiser: [name]
7. POST-APPRAISAL ACTIONS
When the appraiser and appraisee have agreed the written
appraisal, the appraiser should:
§
Update the training and competencies spreadsheet
(\\lsla1a-samba\lslwww\technical\tech-devt\qa\personnel\competencies.xls)
§
If necessary, update the appraisee's personnel records,
then return the documents to the appraisee's personnel file
Where necessary, the appraisee should update their online CV. It
is the responsibility of the appraiser to ensure that the update occurs. The
CVs are held in \\Chopin\Mkting\DOCREPOS\Cvrepos\New
layout.
7.1 Writing the
CV
The CV should be presented as an MS Word document. Keep it to one
A4 page, with sufficient space for headers and footers to be added when the CV
is included in a tender document.
Formatting should be very simple, so that the salesman can cut and
paste the CV into a new document without then having to fix complex formatting
glitches. For a template, refer to the file \\Chopin\Mkting\DOCREPOS\Cvrepos\New
layout\CVtemplate.doc.
For guidance on the type of information to put in the CV, refer to
other recent CVs.
Staff Appraisal and Training
|
Author |
K Willingale & M Sanderson |
|
Owner |
Facilities & HR Manager |
|
Issue
date |
|
|
Distribution |
Intranet |
Change Record
|
Date |
Issue No. |
Change Reason |
Author |
|
|
1.0 |
First ISO9001:2000 issue |
K Willingale & A P Cornell |
|
|
2.0 |
Introduction of “Training Sponsor”, Training records |
K Willingale |
|
|
2.1 |
Minor word change in |
K Willingale |
|
|
2.2 |
Changes as a Result of Audit 46 |
M Sanderson |
|
|
2.3 |
Minor changes to Scope. Minor changes to training
sponsor. |
K Willingale |
|
Keywords ·
Appraisal ·
Objectives ·
Training ·
Training Needs ·
Training Records ·
Training Sponsor ·
Career Development |
0.1 Terms and Definitions
1 Scope
Current staff appraisal arrangements and employees career development including assessment of employees' training needs are outlined. This guideline is a significant tool in supporting Laser-Scan’s passion for working together.
2 Appraisal
Staff appraisals are carried out regularly for the benefit of all employees and their line managers. Other staff may be consulted if appropriate. Appraisals are a forum for review, and improvement if appropriate, of
both performance and opportunity. Appraisals are the opportunity to set objectives. These are the basis for improvement assessment. Appraisals should not be the only time that objectives are reviewed, because objectives need dates set against them to be meaningful. This means that they need to be reviewed at or about the time they are due. It is too late to review them at appraisal time as the individual may be struggling with events outside their control.
Training needs may be identified at appraisal, and at other times.
The details of the Development appraisal process are described at [1]. Appraisal forms can be found at [4] and [5]
3 Appraisal Frequency
3.1 New Staff
Departmental Managers will assess the frequency of appraisal required in the first year of employment. While appraising at 3,6,9, and 12 months may well be appropriate for development, a lesser frequency may be more in keeping with Pre Sales department. The general principle is that a starter needs more care and guidance in the first year of employment.
3.2 After First Year
After the initial year of employment, each member of staff and their line manager should continue to review regularly performance, opportunities and problems.
The interval between appraisals should be appropriate to the work being carried out, but it is recommended that an appraisal should be carried out at least once a year. Suggested periods of review are: upon project completion, prior to hand-over to a new line manager, or on the anniversary of the employee's start date with the company.
4 Reminder of Appraisal & Objective Due Date
Departments need to have a trigger mechanism that alerts the Line Manager and employee when an appraisal is due.
5 Actions upon Completion of Appraisal
The Manager passes the appraisal report(s) to the Senior Management Team who is responsible for following up on any recommendations made. The member of staff should be kept informed of any decisions taken.
6 Training Needs (outside the appraisal process)
Any identified training needs are to be passed to the Senior Management Team for the allocation of resources. If the training sought is from a third party then at this stage a training sponsor is nominated – see Training Sponsor, below at para. 8.
7 Training records
Employees are responsible for keeping their own training record up to date. These are recorded primarily in the employees “Staff profile”. This is normally located at [3]. Formal written training records are kept in the employee’s personnel folder; this includes all training, internal and external. The “Staff profile” should be inspected at each appraisal.
Employees who undertake external training are required to fill in the form found at [2].
8 Third Party Training and the role of the Training Sponsor
Laser-Scan has introduced the Training Sponsor. The role is concerned with getting the best value out of any 3rd party training given to company personnel. The detailed duties of the “Training Sponsor” are as follows:
· Gain authority from the Senior Management Team to go ahead with the training.
· Inspect the Supplier Assessment list with Finance function to confirm the desired supplier is an appropriate choice.
· Brief all the attendees prior to the course; on what the company hopes the students will learn from the course.
· On completion of the course the Training Sponsor should formally debrief all the attendees and seek any feedback regarding value of the course. They should further seek any suggestion’s/ideas that may improve the way we do things. They should then devise an action plan for bringing appropriate ideas and suggestions into general use (owners and time scale should be defined)
·
Finally after three months the training sponsor
conducts an evaluation that seeks to determine the courses effectiveness. The output for this evaluation is to go to
the following:
a) Supplier Assessment list
b) Into a matrix that assesses the benefit of the course either in terms of
efficiency, productivity.
c) Senior management team.
9
Referenced Documents
[1] http://www/tops/guidelines/ref/Development_Appraisal_guidelines_v1-1.pdf
The word file for this is available at:
\\Chopin\personnel\Appraisals\Development_Appraisal_guidelines_v1-1.doc.
[2] \\Chopin\training\Admin\post_third_party_training_questionnaire.doc
This is available as a word template under “Training courses”.
[3] \\chopin\staff_profiles
[4] \\Chopin\personnel\Appraisals\Appraisal - Line Manager.doc
[5] \\Chopin\personnel\Appraisals\Appraisal - Appraisee.doc