Appraisal Handbook August 2010 Version

Transcription

1 Appendix 2: Appraisal Handbook A. Introduction B. The purpose of Appraisal Appraisal Handbook August 2010 Version C. The Process 1 Before the Appraisal meeting 3.1 Appraisal training 3.2 Considering 360 Appraisals 3.3 Paperwork 3.4 Appraiser preparation 3.5 Appraisee preparation 2 The Appraisal Meeting 2.1 Skills for Appraisers 2.2 Reviewing performance 2.3 Using the KSF 2.4 Using the Management Development Framework 2.5 Setting work related objectives 2.6 Writing a personal development plan / objectives 3 After the Appraisal meeting 3.1 Appraisal Moderators 3.2 Reporting 3.3 Gateways 3.4 Deferral of pay progression 3.5 Ongoing reviews 1:1s D. Appendices 1 The Performance Management Cycle 2 Appraisal checklist Feedback form 4 Appraisal Form (incorporating Guidelines for completion) 5 Preparing for my Appraisal form 6 Development list examples 1

2 A. Introduction This Handbook is designed to guide both managers (Appraisers) and Appraisees (Appraisees) through the Appraisal process. It describes best practice guidance on how to conduct Appraisals to ensure both parties get the best possible outcomes from the process. It is extremely important that throughout the process Appraisers and Appraisees are aware of and working to achieve the purpose of Appraisals ultimately to deliver better future performance through: 1. Reviewing past performance 2. Setting future objectives 3. Putting a plan in place to support development needed to achieve these objectives The purpose and benefits of Appraisal is examined more fully in Section A. This Handbook is designed as a guide only and Appraisers are encouraged to adapt processes to ensure they meet the needs of their staff and department. This handbook should be used in conjunction with the Trust's Appraisal Policy which contains information on mandatory Appraisal responsibilities. B. The Purpose of an Appraisal Appraisal is part of a continuous cycle of performance management in which an Appraisee s work objectives, KSF outline and developmental needs are identified, reviewed and planned for. A formal Appraisal meeting should take place at least once a year but during the time between Appraisals (the review period), continuous informal reviewing should take place. Appendix 1 sets Appraisal within the performance management context. It provides an opportunity for Appraisers to provide constructive feedback and recognition of the Appraisee's performance as well as discussing both future career aspirations and any workplace issues the Appraisee may have. The Appraisal meeting is intended to be a positive and constructive discussion between Appraiser and Appraisee, with the aim of supporting Appraisees to do their jobs better and therefore maximising their contribution to the performance of the Trust as a whole. Our commitment to Appraisals is important because amongst numerous other benefits it: 2

3 Improves the Appraisee's job performance, which ultimately improves quality and efficiency across the Trust and for patients Ensures Appraisees have clear objectives that align with and support the Trust's objectives Supports the Trust in identifying potential issues and can determine an Appraisee s suitability for promotion and development Supports the development of staff enabling us to identify key skills gaps and provide training solutions to meet these Promotes dialogue between managers and staff, improving communication and building relationships Improves the quality of working life by increasing mutual understanding between managers and staff and allowing for workplace issues to be addressed Allows us to celebrate success by enabling constructive feedback and recognition Improves morale, commitment and motivation C. The Process A best practice checklist for Appraisers is in Appendix 2. The department should ensure that, wherever possible, the same person carries out the Appraisee s Appraisal throughout their time in the post to provide consistency. 1. Before Appraisal 1.1 Appraisal training To ensure the quality of the process, it is essential that all Appraisers receive Appraisal training. The Trust runs regular workshops for managers, full details of which, including available dates, can be found on the Appraisal intranet pages. These can be booked via ESR. Appraisers may also wish to consider the following options, to help support and develop skills: Shadow a more experienced manager through the Appraisal process. Invite your manager to sit in on a Appraisal meeting, in order to give you feedback. They will also benefit from an increased understanding of your team and their contributions. Consider asking for 360 feedback from your team, to identify your strengths and areas for improvement. Coaching of less experienced managers Appraisals Before starting the Appraisal process, Appraisers and Appraisees may wish to consider the use of a '360 ' Appraisal. 360 Appraisals recognise that, particularly where the Appraisee has a large remit, or their job involves working with a large range of staff in multiple areas, it is not always possible for an Appraiser to give as full feedback on all 3

4 aspects of their job. It is recommended that, particularly at gateway points, 360 Appraisals are undertaken for staff in Bands 7 and above. However, they can be equally useful for roles in other Bands. The main benefits of effective 360 Appraisals are that they can: give Appraisers and Appraisees more wide ranging information about the effectiveness of their skills, their performance and their working relationships help to make the process more objective and fair increase Appraisee self awareness confirm behaviour that is most likely to get results boost confidence in good working practices and working relationships demonstrate the difference between the way Appraisees see themselves and how they are perceived by others demonstrate the differences between the perceptions of different groups of respondents (for example, if the Appraisee's direct reports have a different view to his or her peers or manager) How to arrange an effective 360 Appraisal The Appraisee should be consulted about the use of a 360 and the rational for conducting one. A joint decision should be made as to who would be appropriate / able to give relevant, appropriate and useful feedback. This ensures the Appraisee will view the feedback received as credible. Feedback should be sought from 4 8 people who should rang from staff junior to, on a level with, and senior to, the Appraisee. The Appraiser should approach these staff members to explain the process and rationale and request the feedback within a specified timescale. They should use the 360 Feedback Form (Appendix 3) for this. Feedback should be produced objectively and use examples to back up opinions stated. If staff members are unhappy or unwilling to take part in the process, they should not be forced or coerced, although the Appraiser should try to allay any concerns they may have about the process. The feedback should be given direct to the Appraiser to maintain the confidentiality of all participants. The Appraiser should summarise the feedback prior to the Appraisal meeting, taking care not to attribute specific feedback to an Appraisee. The results should be discussed with the Appraisee in a sensitive and fair manner and the Appraisee should always be offered support to act on feedback. This should be reflected in the objectives set and development plan (see Section 2). 1.3 Appraisal paperwork 4

5 The Trust have developed Appraisal forms to support Appraisers and Appraisees with the Appraisal process, copies of which are in the Appendices to this Handbook. These are: Appraisal form (Appendix 4, also available electronically via the intranet) 'Preparing for your Appraisal' form (Appendix 5) 360 feedback form (Appendix 3) However, these are template documents only and managers are encourage to adapt or develop forms to ensure that they best meet the needs of their department and Appraisees. However, whichever Appraisal form is used, it is important that it covers the key areas of: a review of performance during the review period work objectives for the next twelve months a Personal Development Plan to support the achievement of these objectives mandatory training required If the role involves working with medical equipment, whether the Appraisee is competent in this (when the Appraisee is at a gateway) the Appraisee s position against the KSF Outline The form should also be dated and signed by both Appraiser and Appraisee, who should each keep a confidential copy. 1.4 Appraiser preparation Prior to the Appraisal, with reference to the Appraisee s job description, previous work and development objectives (and where necessary, KSF and Management Development Framework (see Section2)), the Appraiser should consider: how well the Appraisee has performed during the review period, and the evidence to support this to what extent any agreed development plans for the review period have been implemented the factors that have affected performance (both those within and outside the Appraisee s control) possible objectives for the next Appraisal period possible actions that can be taken by both parties to develop or improve performance to deliver on those objectives possible directions the Appraisee s career might take In additional, logistical factors to consider are: To confirm date and time with the staff member well in advance To set aside plenty of time you don t want the meeting to be rushed (approx 1 2 hours) To book a meeting venue where the meeting can be in private. There should be no interruptions 5

6 To provide the member of staff with the Preparing for your Appraisal form and clarify what they need to do before the meeting. This could include explain the purpose and process to them, directing them to the Appraisal section of the Intranet and ensuring they have seen a copy of this Handbook and the Appraisal Policy if necessary. You may want to ask the member of staff to return their preparation form before the Appraisal to give you time to think about any questions that are raised. Avoid cancelling the meeting except in extreme circumstances if this is unavoidable re arrange immediately. 1.5 Appraisee preparation Self assessment can only work if Appraisees have clear targets and standards against which to assess themselves so the Appraiser should ensure that the Appraisee has copies of their job description, previous work and development objectives (and KSF and Management Development Framework where necessary). The Appraisee should use these to fill in the Preparing for your Appraisal form which will ask them to consider: What has been achieved during the Appraisal period, with examples and evidence, including where they are against the KSF outline (when applicable) Any examples of objectives not achieved with explanations. What the Appraisee most enjoys about the job and how they might want to develop the role. Any aspect of the work in which improvement is required and how this might be achieved what development, knowledge or support may be required to help the Appraisee improve skills and develop in the role What level of support and guidance the Appraisee requires from their manager The Appraisee s aspirations for the future both in the current role and in possible future roles Objectives for the next Appraisal period The quality of the Appraisal discussion can be improved dramatically where Appraisees have prepared thoroughly beforehand as this enables them to feel more actively involved in the process. In addition, it also gives Appraisees an opportunity to properly reflect on the review period to provide well thought out and meaningful feedback to their Appraiser. 2. During Appraisal 2.1 Skills for Appraisers Setting a supportive and encouraging environment It is important that the Appraiser and Appraisee have the same expectations of the Appraisal meeting from the outset, to ensure the Appraisee feels engaged with and committed to the discussion. Therefore the Appraiser should ensure that it is clear that the purpose of Appraisal is to support best performance in the Appraisee through reviewing past performance, setting objectives for the future, and developing a plan to 6

7 support this. There should be an agreement that to achieve this: Appraisees should do most of the talking Appraisers will listen actively to what they say There will be scope for reflection and analysis Both sides will be honest with their feedback The Appraiser will listen actively to feedback on their role in providing support to the Appraisee Performance will be analysed, not personality The whole period will be appraised and not just recent or isolated events Achievement will be recognised and reinforced The focus will be on positive and constructive solutions through an agreed Personal Development Plan The discussion will be kept confidential. Feedback from the Appraiser The aim of feedback should be to ensure the Appraisee is better aware of the impact of their performance and behaviour. The golden rules of feedback are: Be empathetic remember feedback (both positive and negative) can be hard to absorb or deal with. Allow the Appraisee time to work through the feedback for themselves Encourage insights through self reflection ask how they felt something went and then develop this with your own reflections which should compliment theirs as appropriate Keep the discussion on track and don't allow the meeting to become about other issues that aren t relevant Make it specific feedback should be based on facts, not subjective opinion, and should always be backed up with evidence and examples Say thank you for positive performance and encourage similar future performance Involve the Appraisee in your feedback ask questions during the feedback soliciting their opinion as to how they see the situation you are describing Put your feedback into context by explaining the impact they have on others, the department and the Trust to ensure they understand their contribution with regard to the 'bigger picture' Above all, make feedback practical and relevant the Appraisee has to be able to use the feedback to improve in the future. It can be useful to discuss future situations and how Appraisees would adapt, change (or replicate when giving positive feedback) their behaviour / performance to achieve the desired results. How to deliver feedback on poorer aspects of performance / behaviour Remember the purpose of feedback is to modify the Appraisee's behaviour not to vent your emotions it should be constructive, not critical Describe the behaviour/results you have observed 7

8 Check you have understood correctly and listen to any mitigating circumstances Ensure they are aware of the desired behaviour/results and describe accurately and concisely what you want Seek confirmation they'll do it Maintain focus on behaviour/results; don't drift on to comments about them as a person Do not exaggerate what you say to boost your case Make reference to approved policies / procedures where appropriate, for example the Trust s Code of Expectations; the Respect Behaviours Code; the RCN Code of Practice. Encouraging feedback from the Appraisee to ensure a two way exchange Appraisers should be careful to listen and ask as appropriate, and ensure they give the Appraisee enough time to give feedback. Golden rules for listening: Concentrate on the Appraisee and be aware of behaviour, body language and nuances that show you are listening Respond quickly when necessary but don t interrupt Ask relevant questions to clarify meaning and check understanding, but keep these short so as to not inhibit the flow of the speaker Listen for any issues they may be struggling to express this may involve some reading between the lines Ensure the Appraisee has finished speaking before you resume the discussion Golden rules for asking questions: Open questions can be useful to encourage the Appraisee to talk freely and more generally. They are useful to get the Appraisee to think and reflect and they hand control of the conversation to the Appraisee. Open questions begin with such as: what, why, how, describe. Examples include: How do you feel things have been going? How do you see the job developing? How do you feel about that? Tell me, why do you think that happened? Probing questions dig deeper for more specific information on what happened or why. They should encourage the Appraisee to provide more information about their feelings and attitudes and they can also be used to reflect back to the Appraisee and check information. Examples would be: 5 That s very interesting. Tell me more about.? 6 To what extent do you think that? 7 Have I got the right impression? Do you mean that.? Other things to consider when asking questions are: 8

9 8 Can you express statements as questions to encourage the Appraisee to think issues through for him/herself 9 Avoid leading or 'gotcha' questions 10 Encourage a deeper level of analysis from the Appraisee by asking why something happened, not just what it was that happened 2.2 Reviewing performance over the review period Using evidence and examples provided by both parties, the Appraiser and Appraisee should form a consensus of opinion of how the Appraisee has performed against their work objectives, job description (and where appropriate KSF / MDF see Sections 2.3 and 2.4). This should be recorded on the Appraisal form or the equivalent used by the department. The Trust s Appraisal form uses an assessment system for the Appraisee that if they have fallen short in the majority of objectives, then the rating would be more is expected. If the Appraisee has achieved all of the objectives (on balance) then the rating would be meets expectations. If they have at least met all of the objectives and exceeded in the majority, then the rating would be exceeds expectations. Where appropriate this section also allows for a half yearly Appraisal summary and a full yearly Appraisal. This is particularly helpful for Appraisees to keep on track and better enable the Appraisee to achieve their objectives. Performance evaluation should take into account any factors that affected the Appraisee's ability to perform (both within and outside of the Appraisee's control). 2.3 KSF Outlines KSF identifies the knowledge and skills that an Appraisee needs to use in his or her job. These are set out in the KSF outline for that job.in summary, the NHS KSF is designed to : Promote equality for all staff with every member of staff using the same framework, having the same opportunities for learning and development and having the same structured approach to learning, development and Appraisals. Promote effectiveness at work with managers and staff being clear about what is required within a post Support effective learning and development of Appraisees and teams with all members of staff being supported to learn throughout their careers to develop in a variety of ways and being given the resources to do so. Provide a fair and equitable career and pay progression mechanism The KSF should be used wherever possible at Appraisals to demonstrate to Appraisees what is expected and review their performance. It will then be possible to identify any gaps in knowledge and skills which will be used, in conjunction with the Appraisee s objectives, to determine any relevant personal development needs. When at a foundation or second gateway (see Gateway section), the Appraisal must assess the 9

10 Appraisee against their KSF outline. There are two levels of KSF outline the foundation outline (for Appraisees who are new to their job) and the full outline (for Appraisees who are at the second gateway). Managers are responsible for confirming which KSF outline applies to an Appraisee, which is made up of both Core and Specific Dimensions. The 6 Core dimensions that apply to all jobs are Communication Personal and people development Health, safety and security Service improvement Quality Equality and Diversity The specific dimensions will vary from job to job, but are made up of up to 7 dimensions taken from the following four categories Health and Wellbeing Estates and facilities Information and knowledge General Behind each dimension, is a set of indicators and suggested areas of application, which can help assess an Appraisee s competency level. Further detailed information on KSF can be found in the KSF Handbook and on the Appraisal pages on the intranet. Template job outlines can also be found on these pages but if further help is required, managers are advised to contact the Education Centre. 2.4 Using the Management Development Framework If an Appraisee has management responsibilities then during the review period and prior to the Appraisal, the Appraiser and Appraisee should refer to the Management Development Framework to identify the Appraisee s management level and subsequent management skills needed. The Appraisee and Appraiser should then assess performance against these skills to plan training and development accordingly, and ensure talented Appraisees are recorded on the Trust s Talent Map. These should be taken into consideration when writing the development objectives and plan. Further information on this is available via the Management Development Framework pages on the intranet. 2.5 Medical Equipment Competencies If the Appraisee is responsible for using any medical equipment in their role, then their ability to use it safely and accurately must be assessed at Appraisal. This is to ensure compliance with Department of Health requirements, and the Trust's Medical Equipment Policy. The Appraiser and Appraisee should discuss the Appraisee s competence in using the equipment, together with any further training needs. The Appraiser should make reference to their observations of the Appraisee s use of the 10

11 equipment. The Appraisee should have agreed competency documentation as evidence of their ability to safely use medical equipment. Should the Appraiser be unable to fully assess the Appraisee s competence themselves, advice should be sought from a manager who has sufficient expertise to make this assessment, or from a member of Medical Physics & Bioengineering. A record must be made on the Appraisal paperwork that this assessment has been completed. The ESR record system will contain a section on medical equipment competency and Appraisers and Appraisees should make use of this when it becomes available. 2.6 Setting work related objectives for the next review period Objectives help clarify exactly what level of performance is expected from the Appraisee during the review period and in doing so they help staff focus and prioritise. Objectives should be linked to department and Trust objectives in order that it is clear how the Appraisee contributes to the bigger picture. It is important to remember that agreeing objectives should be a joint process, ensuring that Appraisees clearly understand what is expected of them in their roles and are committed to delivering them. Objectives should be based on the review of performance, KSF outline, Management Development Framework (where applicable), and upcoming changes / needs for the Appraisee and Department, including career progression aspirations. Objectives can be agreed about: What has to be achieved and when How it has to be achieved (that is, the way the Appraisee works) Development of competencies and skills Objectives are most useful when they are written in the SMART format: Specific does the objective describe what I really want to achieve? Is it clear and well defined Is it clear to anyone that has a basic knowledge of the work area Does it detail the outcomes to be worked toward Measurable What is the measurable outcome? Know if the goal is obtainable and how far away completion is How will you know if you have been successful Use action verbs as they are much easier to measure such as: to write to identify to produce to maintain to improve to build to recite to develop to solve to complete to present to draft to manage to explain to analyse Achievable how long will this take to achieve? Is it achievable? Agree with all parties what the goals should be to ensure clarity 11

12 Is there availability of resources, knowledge and time Is the right support in place Relevant will the objective result in a relevant improvement? Does the objective link to the team/departments goals Does the objective support the overall goals of the organisation Is the objective stretching enough to ensure performance improvement Time framed what is the date for completing this objective? Is there enough time to achieve the goal or a time limit How often will it be reviewed Beware of allowing too much time, which can affect motivation or dilute performance Below are some examples of good and bad objectives: Bad example Able to administer medicines to patients without supervision To get better at achieving deadlines. To attend a health and safety course. Good example To be able to administer medicines to patients without supervision by following correct procedures for drug administration through being aware of the NMC s requirements; Trust guidelines / policies and legal responsibility in the management, checking and administration of controlled drugs. This will be demonstrated by effective communication with patients ensuring that they are aware of the drugs given and why; accurate documentation on the drug charts; ordering drugs from pharmacy when required; appropriately requesting TTA s; administering medication via a NG / PEG tube; and by demonstrating the ability to safely and correctly check IV fluids, IV antibiotics and blood transfusions (as the 2 nd nurse but not to administer IV fluids, IV antibiotics or blood transfusions). To achieve all deadlines within your control from now on. Where a deadline is likely to be missed, the reasons, revised estimate and any contingency plans are to be discussed and agreed within 24 hours of it becoming known that a deadline is unlikely to be achieved. As a result of attending a health and safety course, to produce a risk analysis and recommendations for the department, verified by the course trainer as likely to reduce days lost due to accidents by 20% by the end of the year. 12

13 Badly written and unclear objectives means they may never be achieved or it could be unclear as to whether objectives have actually been achieved or not. 2.7 Writing a personal development plan/objectives Having agreed an Appraisee s work related objectives, you will be able to jointly agree the personal development or training objectives that will support them in achieving these as well as promoting their longer term career aspirations. Development may include bridging any skills gaps in the role, developing readiness for future roles, developing management skills, developing skills required by the KSF outline, focussing on behavioural skills, activities to support continuous professional development or any other activities that support continued performance and motivation in the role. Appraisers and Appraisees should consider the following sources of information regarding Training and Development when deciding what is appropriate: 1 The Development opportunities guidelines, many of which will have little or no cost implications but can have huge benefits to the Appraisee and department. (Appendix 5 also available via the Appraisal intranet pages) 2 Mandatory Training matrix (available via the intranet training pages) 3 Management Development Framework training examples (see the MDF paperwork available on the MDF intranet pages) 4 information on available funding and how to access it (see the intranet training pages) 5 information on the benefits of gaining formal recognition or accreditation (see the intranet training pages) Reference should be made to the Trust Study Leave Policy and consideration given to resources available to accommodate training and development. T&D must be closely linked to the work objectives. Once agreement has been made about objectives and Training and Development to support this, this should be confirmed on the Appraisal form. It may be possible to finalise this during the meeting; alternatively it may need to be completed after the meeting. Either party can do this but it may be useful for the Appraisee to do so in order to ensure understanding, with the Appraiser signing off the final version within an agreed timescale. 3 After Appraisal 3.1 Appraisal Quality Moderators Once the Appraisal meeting has taken place, and the objectives and development plan have been finalised and agreed by both parties, these should be reviewed and agreed by an approved manager senior to the Appraiser (an Appraisal Quality Moderator ). The Moderator will, in the majority of cases, be the Appraiser s line manager, however alternative local agreements may apply. 13

14 The Moderator must keep a check on Appraisals dates and rates within their agreed area of responsibility to ensure they are being completed promptly when due, and in accordance with the Trust s target rates of compliance. The Moderator should consider the objectives that have been set to ensure that: They meet the SMART criteria They are aligned to the departmental/trust objectives. Where appropriate, the Management Development Framework has been used to support management training objectives. Objectives should also be assessed by the Moderator to check that objectives set are fair and consistent with those for other staff across the department. This may include reference to other Appraisals reviewed by the Moderator, or consultation with other Moderators within the department. The Moderator should also give consideration to any Equality and Diversity issues that my affect the ability to carry out an Appraisal on time, or affect the Appraisal outcomes. The Moderator should ensure that where necessary, alternative arrangements are made to ensure that all employees are equitably supported through their development. The Managing Staff Equality and Diversity Policy gives further information on this. If there is any reason for the Appraisee to not receive a pay progression, either at a gateway or other points, the Moderator should be consulted and the proposed course of action to improve performance discussed and agreed with them. The Moderator should ensure that all aspects of their role are completed promptly. 3.2 Reporting Appraisers will be required to report monthly Appraisal activity. This is a national as well as a local requirement. A report will be sent by HR to the local service manager every month with details of any employees whose Appraisal is overdue, or will be due the following month. The manager will be responsible for updating this in the manner requested by the Workforce Information Team. This should be done every month, ideally within a week of receiving the report. 3.3 Gateways In most years pay progression will take the form of an annual increase in pay from one incremental (pay) point to the next. This increase will be actioned automatically by payroll except at two defined points in the payscale, where Appraisees are required to demonstrate performance against the KSF. These defined points are: Foundation Gateway this relates to the knowledge and skills that need to be applied from the outset in a post coupled with the provision of planned development in the foundation period of up to 12 months. The foundation gateway will be formed from a subset of the NHS KSF outline for that post. 14

15 Second Gateway this is the knowledge and skills that need to be applied and demonstrated by someone fully developed in a post. This will be formed from the full NHS KSF outline for the posts. Having gone through the second gateway, Appraisees would progress to the top of the pay band provided they continue to apply the knowledge and skills contained within the NHS KSF outline for that post. In order for an Appraisee to progress through both their foundation and second gateways, Appraisers must send a change of conditions E form to the E Forms Coordinator in HR. This will action the appropriate salary increase. To ensure that the increase is applied by the incremental date, it is advised to submit the form 8 weeks prior to the anticipated payment date. It is the joint responsibility of the Appraiser and Appraisee to ensure that the Appraisal is completed in time to get this actioned. Further details, including payroll deadlines and pay bands can be found on the Appraisal intranet pages. 3.4 Deferral of pay progression due to concerns about performance In exceptional cricumstances, Appraisers can seek to defer pay progression. This will normally be where the Appraisee does not meet the KSF outline expected, or if there are serious weaknesses in performance at any other point in the payscale. Appraisers must develop a time framed action plan to the support the staff member to achieve the expected level of performance, however Appraisers should refer to the Trust s Managing Performance Policy for further information on this. Deferment will last until any problems are resolved. Should it be necessary to defer a payment at a gateway, the change of condition form should not be actioned. If it is not at one of the gateways then a change of conditions form will need to be actioned to state that the Appraisee is not to receive their pay progression. 3.5 Ongoing reviews (1:1s) It is important that the Appraisal process is not seen as a one off event, but rather an ongoing cycle. There should be no surprises in an Appraisal meeting, as issues should be raised with the Appraisee as they occur, as part of the ongoing performance management responsibilities during the review period. Therefore regular reviews or 1:1 support meetings are encouraged throughout the year, as frequently as possible. This will maximise the success of an Appraisee and avoid surprises in the formal Appraisal meeting. The Review / Performance Management Cycle (Appendix 1) illustrates the responsibilities of both manager and Appraisee during the review period. 15

16 D. Appendices Appendix 1: The Review / Performance Management Cycle Managers Role Joint Roles Appraisees Role For Appraisee s new in post Identify & agree work objectives and KSF Outline for post. Where appropriate, use Management Development Framework (MDF) to outline management responsibilities Issue KSF portfolio to Appraisee, explain process & where to get more information During the 12 month review Period Meet regularly to review Appraisees progress, ensuring objectives remain relevant in light of business changes Provide timely and constructive feedback on a regular basis Support Appraisees development activity and provide coaching as required Help Appraisee to review and evaluate effectiveness and benefits of training and development, in order to plan Take responsibility for own development and carry out agreed development activities Keep Manager informed of any work related issues affecting progress Keep a record of achievements and progress against objectives and KSF Outline in portfolio Review and evaluate effectiveness of any training and development undertaken Review performance, with examples and reference to KSF / MDF if necessary The Appraisal Meeting Discuss Appraisees ongoing career development and aspirations Set objectives for the next period and ensured they follow the SMART format Set personal development objectives with a plan to achieve these Make a record and ensure both parties have a copy to guide you during the next review period Make arrangements to meet regularly for reviews/1:1s 16

17 Appendix 2: Appraiser checklist Prior to the Appraisal meeting: Have you Attended Appraisal training within the last 3 years (Ed Centre 5502) Considered the use and benefits of a 360 Appraisal for the Appraisee Considered whether to use Trust paperwork or adapt to your own needs Agreed a date and time with the Appraisee, and booked a room (If doing 360 Appraisal) Agreed with Appraisee staff to ask for feedback, discussed the process with these staff and given the feedback forms, received forms back and collated the results Asked the Appraisee to prepare for the Appraisal, and given them a copy of the Preparing for your Appraisal form Asked for and reviewed the completed form from the Appraisee Considered Appraisee s performance for the review period, with examples Reviewed the Appraisee against their KSF outline (Where appropriate) Reviewed the Appraisee against the Management Development Framework (MDF) Considered objectives for next period Considered training and development that could be put in place to support this During the Appraisal meeting: Remember to give and ask for feedback, using listening and questioning skills The focus should be positive and constructive The tone should be supportive Have you Reviewed performance, with examples and reference to KSF / MDF if necessary Discussed Appraisee s ongoing career development and aspirations as appropriate Set objectives for the next period and ensured they follow the SMART format Set personal development objectives with a plan to achieve these After the Appraisal meeting: Have you Confirmed the objectives and plan in writing, and dated the document Confirmed the objectives with the Appraisal Moderator Provided a copy to the Appraisee and put a confidential copy on their file Updated the monthly report to the Workforce Information Team (If a gateway) Completed a changes E Form to action pay uplift (If poor performance resulting in no pay uplift) Consulted Appraisal Moderator, started Managing Performance process / given support to allow staff member to develop quickly, actioned changes E Form to retain Appraisee at current pay point Booked in a date for the next informal review/1:1 17

18 Appendix 3: 360 Feedback form 360 Feedback Form. Person requesting feedback Job Title Department Line Manager NB If you are an individual requiring feedback, please ensure you list any KSF Dimensions on which you require feedback and insert your line managers name and date required at the bottom of the form. You have been selected to provide feedback in relation to the above named to assist them in their forthcoming Appraisal. Gathering this information is a really useful way for the individual to identify both their strengths and their development areas, as well as providing information in support of their achievements throughout the review period. The success of the Appraisal process relies on the quality of information received from staff working closely with their colleagues and as such you are asked to provide as much information as possible in the form below. Completed forms should be returned to the Appraisee s line Manager, either by or in envelope, marked strictly confidential. DO NOT send feedback directly to the individual as it is intended that a summary of the feedback is to be given by the Manager as part of the Appraisal process. NB. All feedback is dealt with confidentially and anonymously. What is the nature of your work/contact with the individual? What does the individual do that you find particularly useful, helpful or appropriate that you would like them to continue to do more of? Why? What does the individual do that you do not find useful, helpful or appropriate that you would like them to stop doing, or do less of? Why? What does the individual not do that you would find particularly useful, helpful or appropriate and that you would like them to start doing? Why? 18

19 results, exce Please also provide your comments on the individuals performance in relation to the dimensions of their KSF outline, as listed below. Core or Specific Dimension Feedback/Comments: Please return this form to by (date). Thank you for your time and support. 19 Meets expectat expectation

20 Appendix 4: Appraisal Form (incorporating Guidelines for completion) Employee Name Appraisal Review. Job Title Department Line manager Review Period Type of Review MY KNOWLEDGE & SKILLS How I m progressing against my KSF outline, which support me achieving my work objectives (see last page for summary KSF outline) Level required Areas requiring development this review period to Core Dimensions current level How may this be evidenced? of post enable progression to the next dimension level? Communication Personal and people development Health, safety and security Service improvement Quality Equality and diversity Specific Dimension s (up to 7) Level required of post current level Areas requiring development this review period to enable progression to the next dimension level? How may this be evidenced? 20

21 SUMMARY OF ACHIEVEMENT AGAINST OBJECTIVES Manager & Individuals summary of appraisal against objectives Mid year rating More expected /meets expectations /exceeds expectations Whole year rating More expected /meets expectations /exceeds expectations SUMMARY OF ACHIEVEMENT AGAINST MY DEVELOPMENT OBJECTIVES & KSF OUTLINE Mid year rating More expected /meets expectations /exceeds expectations Whole year rating More expected /meets expectations /exceeds expectations Line manager summary of career discussion Employee's overall comments NB. Ensure Change of Conditions form is sent to HR if Foundation or Second Gateway has been achieved. Line manager signature Date Employee signature Date 21

22 MY WORK OBJECTIVES list here the business or work related objectives set for the review period (e.g. what needs to be achieved or delivered) Business or Work Related objectives (up to 6 recommended) Include measures of success & Timeframe MY PERSONAL DEVELOPMENT PLAN List the development objectives that will support achievement of above & reflect individual development aspirations Personal development & Training objectives (up to 3 recommended) Include details of development activity & Timeframe MY MANDATORY TRAINING REQUIREMENTS Is Mandatory Training up to date? If Not, List actions to be taken during review period and timescales Is Medical Equipment Training up to date? If Not, List actions to be taken during review period and timescales 22

23 expected on KSF Summary Outline Core Dimensions Level 1 Level 2 Level 3 Level 4 Communication Personal and people development Health, safety and security Service improvement Quality Equality and diversity Specific Dimension categories Health & Communicate with a limited range of people on day-to-day matters Contribute to own personal development Assist in maintaining own and others health, safety and security Make changes in own practice and offer suggestions for improving services Maintain the quality of own work Act in ways that support equality and value diversity Communicate with a range of people on a range of matters Develop own skills and knowledge and provide information to others to help their development Monitor and maintain health, safety and security of self and others Contribute to the improvement of services Maintain quality in own work and encourage others to do so Support equality and value diversity Develop and maintain communication with people about difficult matters and/or in difficult situations Develop oneself and contribute to the development of others Promote, monitor and maintain best practice in health, safety and security Appraise, interpret and apply suggestions, recommendations and directives to improve services Contribute to improving quality Promote equality and value diversity Next Steps. Wellbeing o Copy to Appraiser and Appraisee See intranet site for level o descriptors of specific and 1:1 s dimensions o Estates & Facilities Information & Knowledge General o Develop and maintain communication with people on complex matters, issues and ideas and/or in complex situations Develop oneself and others in areas of practice Maintain and develop an environment and culture that improves health, safety and security Work in partnership with others to develop, take forward and evaluate direction, policies and strategies Develop a culture that improves quality Develop a culture that promotes equality and values diversity Book dates for subsequent review meetings Inform Workforce Information via monthly report to update ESR If Foundation or Second gateway has been achieved, send a change of conditions form to HR to action their salary uplift Exceeds expectations on results, more is 23

24 Appendix 5: Preparing for my Appraisal form Name Job Title A guide to preparing for your Appraisal Department Line Manager The success of the Appraisal process relies on the quality of the discussions taking place between Individuals and their Managers. In order to get the best from your Appraisal meeting, it is strongly advised that you prepare as much as you are able. Preparation needn t be onerous, especially if you have had regular feedback discussions with your Manager and you have been keeping a record of your evidence and achievements and progress in your portfolio. To help you prepare for Appraisal, ask yourself the following questions. If you wish, you may use this document to record your thoughts and provide a copy to your manager along with your evidence prior to the review. The questions are designed to help you reflect on the previous review period and enable you (with your Manager) to determine objectives, priorities, development needs, support and actions required and for the next review period. How well have I performed against my objectives over the last review period? What evidence do I have to support my achievements? How do I measure against the KSF Outline for my role? (review both the core dimensions and the specific dimensions for your role, asking your manager for advice if needed) What evidence do I have to support this? What aspects of my role am I really good at? What areas could I improve in? 24

25 What specific contribution do I feel I have made to my team or department? Am I working in line with the respect behaviours? What development activity have I carried out during the last review period and how has this helped me in my role? What additional skills, knowledge or support would help me improve my performance in my role? What elements of the KSF outline do I need to develop in? How can I demonstrate continued application of my KSF outline? Is my mandatory training up to date? How might I benefit from e-learning? Do I have any particular career aspirations I would like to discuss? Any other work related issues? 25

26 Appendix 6: Development Opportunities Guidelines Many different types of development can be undertaken to aid advancement, progression, change or growth in areas such as specific work-related skills, management skills and personal development skills. It is important that staff are not given development for the sake of it development opportunities should be clearly linked to areas identified for improvement in Personal Development Plans, the Management Development Framework and the KSF. Points to note: After development takes place, all development should be reviewed and reflected on by the Appraisee, with help from their manager, to help understand key learning points, what was effective and why. This can help inform future development. This list does not include details of training - details of specific training is available from the training pages on the intranet. This is not an exhaustive list and managers are encouraged to involve Appraisees in examining any other ways in which development could be sought. Description Uses / specific skills to be developed Resource How to arrange Being coached Acting as a coach or trainer Being mentored Working alongside someone who will expertly talk through and demonstrate handling a particular activity. Working with someone to talk through and demonstrate handling a particular activity. An experienced manager meets regularly with the Appraisee to support development, and perhaps career progression. Builds on specific skills or gives knowledge of different approaches / styles. Develops coaching and staff development skills;, relationship building, assertiveness, communication, presentation, problem solving, negotiating and influencing skills; develops initiative; develops confidence to act as a role model Gives a fresh view outside the limitations of your line management. Can help to develop management / leadership styles, selfawareness, networking, assertiveness and self-belief. implications Coaching time Coaching time Mentor time Manager and Appraisee together to choose someone who is especially good or insightful. (Could tie in to someone else s development objective of acting as a trainer). Does not have to be limited to someone within the department. Ensure your manager is aware that you would be willing to act as a coach. This can be done informally, however coaching qualifications are available - contact the Education Centre for further information on this. Manager to assess Appraisee's specialist areas that may be lacking in other staff and set up a training session. These relationships should not normally be the line of accountability of the Appraisee. See Mentor section on intranet: tors.asp?menu_id=8. 26

27 Acting as a mentor You meet regularly with an Appraisee to support development, and perhaps career progression. Can develop the mentor's communication, negotiation and influencing, listening and coaching skills. Develops confidence to act as a role model Mentor time See mentor section of intranet sp?menu_id=4 Shadowing Visits Delegation Job Expansion Secondment Following someone on their shift to see how they do their job - can be peers or more senior or junior staff. Care must be taken to ensure the person being shadowed is comfortable with the process. Similar to shadowing, but can meet / visit people away from their specific job to learn in more detail about what they do and ask questions Taking on a task usually done by a more senior colleague. The Appraisee is given extra and permanent new areas of responsibility. The Appraisee is loaned out to a different department or in some cases a different organisation for a fixed period of time. Useful to broaden or gain more in depth knowledge of a department / the Trust / a pathway / the NHS, improve business knowledge, understand operational plans, encourage improvements/innovation, build relationships and network. Develop a broader understanding of the role of management, management, time management, initiative & problem solving skills. Develops time management skills and additional skills in new area taken on. Builds additional skills, develops confidence, communication, networking, self belief & assertiveness skills, develops innovation/improvements, improves knowledge of the Trust and general NHS and business knowledge. Staff time Staff time Time from senior colleague to explain task. Training time for new task/s Impact on; potential costs of cover Determine a respected member of staff who is willing and able to give the time. Explain to them what the objectives of the shadowing is. Determine a few respected members of staff who are willing and able to give the time. Explain to them what you are trying to achieve through visits Manager to assess if there are tasks currently being done by management that would be appropriate to delegate, bearing in mind risk and time implications. Manager to evaluate whether there is scope for extra tasks in current job role but be aware of not overloading the Appraisee The Trust s Secondment Policy gives details on how to identify secondment opportunities. 27