PERFORMANCE REVIEW AND DEVELOPMENT POLICY HR07

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1 PERFORMANCE REVIEW AND DEVELOPMENT POLICY HR07 Applies to: ALL EMPLOYEES Date of SMT Approval: May 2015 Date of JNC Approval: June 2015 Date of Board Approval: Expected July 2015 Review Date: July 2017

2 1. Introduction Effective performance management supports NHS LA to develop staff members, to identify and foster talent and to succession plan throughout the organisation. The performance appraisal review process provides an opportunity to review and assess a staff member s performance during the previous year against team Key Performance Indicators or objectives (which relate back to NHS LA s strategic aims), individual objectives and against behavioural competencies outlined in job descriptions. The performance appraisal review process is aimed to be positive and motivating and this is why positive characteristics have been identified against the behavioural competencies. The performance appraisal review process should be fair, objective and the scoring should be consistently applied throughout the NHS LA. Good performance management helps everyone in the organisation to know: Their role in helping the NHS LA achieve its goals What is expected of them The skills and competencies they need to fulfil their role The standards of performance required How they can develop their performance and contribute to the NHS LA s achievements How they are doing. This policy, the NHS LA s performance appraisal framework and guidance notes should be read alongside the NHS LA Learning and Development Policy (HRXX) and the Learning and Development Guidance. It draws upon the principles outlined in the NHS Constitution and the Agenda for Change terms and conditions of service. This is a new approach to performance appraisal review for an integrated NHS LA. All staff members should feel that the annual performance appraisal review process is a foundation for the following year s work, helping to work out where a staff member s own contribution fits in and identify the support they will need. 2. Scope This Policy will apply to all staff employed by the NHS LA. Line Managers who are not directly employed by the NHS LA but have responsibility for staff will be expected to fulfil the line manager responsibilities outlined below. Agency staff are not covered by this Policy. Staff members who are seconded to the NHS LA from another employer will not be expected to complete the NHS LA performance appraisal review process; however it is good practice for their line manager to provide input into a secondee s performance with their employer. Employed staff who are medically qualified and who are completing revalidation for the purposes of fulfilling their licence of fitness to practice with the GMC will be expected to complete the NHS LA appraisal process along with additional information through a revalidation appraisal and should contact the NHS LA s Responsible Officer for further information. Staff who are new in post (for one year or less) will be expected to complete a midyear performance appraisal review part way through their first year in post and will be expected to identify objectives within the first three months of their employment with NHS LA, as outlined in their induction. 1

3 This Policy does not seek to address capability concerns where staff member is being formally performance managed in accordance with the NHS LA Capability Policy & Procedure. The performance appraisal review meeting cannot be the first time a staff member is informed of concerns about their performance. In the very unlikely event that significant concerns about performance only become evident during the performance appraisal review process, the process will stop and guidance sought from the HR team about starting the capability process. 3. Purpose of the NHS LA Performance Appraisal Review The performance appraisal review process is an opportunity for staff members and their line managers to engage in a dialogue about each individual s performance and development, as well as the support required from the line manager. The five key elements of the performance appraisal review process are: 1. Measurement assessing performance against agreed targets and objectives, and behaviour and attitudes against NHS LA s espoused vision and values 2. Feedback providing information to individuals on their performance and progress and on what is required to continue to perform well in the future 3. Positive reinforcement emphasising what has been done well and making only constructive criticism about what might be improved, and drawing out the importance of how things are done, as well as what is done, and ensuring effort is directed at value-adding activities 4. Exchange of views a frank exchange of views about what has happened, how members of staff can improve their performance, the support they need from their line managers to achieve this and their aspirations for their future career 5. Agreement jointly coming to an understanding by all parties about what needs to be done to improve and sustain performance generally and overcome any issues raised in the course of the discussion. The approach to the NHS LA appraisal is underpinned by NHS LA s values: 2

4 These values have also been translated to the NHS LA behavioural competencies which can be found within the Performance Appraisal Guidance notes on the intranet. 4. Equality Impact Assessment and/or equal opportunities As part of its development, this Policy and its impact on equality have been reviewed in consultation with trade union and other staff representatives in line with the NHS LA s Equal Opportunities Policy and the Public Sector Equality Duty. The purpose of the assessment is to minimise and if possible remove any disproportionate impact on staff members and service users in relation to the protected characteristics: race, sex, disability, age, sexual orientation, religious or other belief, marriage and civil partnership, gender reassignment and pregnancy and maternity. No detriment was identified. 5. Link to NHS LA s strategic aims, vision and values The NHS LA places its people at the heart of the delivery of its strategic aims, building with them a clear and shared understanding of what we do, what we aim to do to and how we will support them to do their best. The NHS LA will continue to do this by developing the skills and knowledge of its staff members, providing relevant learning and development opportunities for those in technical and specialist functions and enabling everyone to embed its values. This Policy together with the Learning and Development Policy and Guidance support the delivery of the L&D strategy and plan. The L&D strategy and plan have been developed to support the successful delivery of the NHS LA s strategic objectives and business plan. This Policy aims to support the NHS LA s values (Professional, Expert, Ethical and Respectful) by promoting these through effective performance management and supporting staff to adhere to and achieve departmental and individual objectives. Living the NHS LA vision and values is of crucial importance to the NHS LA. The NHS LA will ensure that its values and vision are embedded into all its working practices and communication. It will encourage staff members to live by its values through including them in its approach to all performance management activities and arrangements. 6. Training Training will be provided for all line managers and staff members on how to conduct the NHS LA performance appraisal. Both the Education & Learning and HR teams are also available to assist with all aspects of performance and management. Training will be provided for all line managers on how to conduct a performance appraisal review meeting and briefings will be provided for all members of staff. Line managers cannot conduct a performance appraisal review meeting unless they have received the relevant training. Drop-in sessions, for line managers and members of staff, will be scheduled throughout the performance appraisal review period to provide support, guidance and advice on the process. 7. Roles & Responsibilities Staff member The staff member should fully engage with the process of the performance appraisal review and provide their line manager with enough information so that a fair 3

5 assessment can be made. The staff member should come to the performance appraisal review meetings having prepared beforehand. Line manager The line manager should complete performance appraisal reviews and personal development plans for all direct reports and if they manage line managers, should ensure that all team members in their area have completed performance appraisal reviews within the allocated time scales. The line manger should provide feedback in a constructive and evidence based manner, including collecting feedback in advance of the performance appraisal review meeting from anyone with professional supervision responsibilities for their staff members. The line manager is encouraged to schedule review meetings at least one month in advance. Senior Management Team Senior Management Team members have a specific role in ensuring that performance appraisal review meetings are completed throughout NHS LA and that the scores for each team have been consistently applied throughout NHS LA. Where there are discrepancies or inconsistencies in team/divisions scorings of overall performance against expected targets, Senior Management Team will moderate the scores accordingly and feed this information back to the relevant head of service. HR and Education & Learning teams The HR and Education & Learning teams are responsible for ensuring that performance appraisal reviews have been completed. HR will collate the information on the performance appraisal review. E&L and HR will provide advice to line managers and staff members on how to complete the performance appraisal review. E&L will collate and analyse the personal development plans so that training needs analyses can be conducted. E&L will oversee and evaluate the effectiveness of the performance appraisal review. HR and E&L will evaluate the new performance appraisal review process, including themes from across teams and divisions, and will report this back to the Senior Management Team. 8. Personal Development Plans The NHS LA is a learning organisation which builds and shares knowledge, learning from success and failure and taking responsibility for personal development. The NHS LA believes that people are one of the keys to organisational success, recognises the value of its staff members and is fully committed to the development of staff and maximising each individual s potential. The NHS LA is committed to providing all staff members with the training and development they need to contribute to the achievement of NHS LA s strategic aims. When considering how learning and development needs will be met, consideration should be given to the various learning and development methods available, including: Discussions with subject experts Mentoring Work experience or secondments Training courses (internal and external) Peer group contacts 4

6 Peer review/case review and case discussions Community involvement Involvement with other aspects of the NHS LA work Work shadowing Coaching On the job training Team meetings Learning Lunches 9. Record Keeping and Confidentiality Performance appraisal review forms are kept securely and confidentially with HR on staff members personnel file. The ratings and scoring from the forms will be analysed by the Education & Learning team for consistency across divisions, performance moderation and calibration purposes only. 5

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