Version: 4.0. Date adopted: November Name of originator/author: Name of responsible committee: Date issued for publication:

Transcription

1 Appraisal Policy This Policy describes the process to be followed for all appraisals, including performance and personal development. Key Words: Version: 4.0 Appraisal, PDR, PDP, Performance, Development, Review Adopted by: Workforce and OD Committee Date adopted: November 2014 Name of originator/author: Name of responsible committee: Date issued for publication: Elaine Curtin, OD Lead Michelle Brookhouse, Head of Learning & Development Healthy Organisation Group (HOG) 3 November 2014 Review date: 3 November 2015 Expiry date: 2 November 2017 Target audience: All employees of the Trust covered by Agenda for Change Terms & Conditions Type of Policy Clinical Non Clinical (tick appropriate box) NHSLA Risk Management n/a Standards if applicable: Relevant CQC Standards: 14 1

2 CONTRIBUTION LIST Key individuals involved in developing the document Name Alan Duffell Anthony Bailey Lisa Laws Sarah Willis Kathryn Burt Sandy Zavery Laura Hughes Elaine Curtin Michelle Brookhouse Nicola Ward Designation Director of HR and OD Practice Learning Manager HR Corporate Services Manager Head of Employment Services Head of Operational Human Resources Equality and Human Rights Lead Workforce Planning, Systems and Information Manager Organisational Development Lead Head of Learning & Development Systems Assurance Manager Circulated to the following individuals for comments Name LPT senior managers band 8a and above JSCNC Divisional Workforce Groups Members Healthy Organisation Group (HOG) Members Learning & Development Group (L&DG) Members Workforce & Organisational Development (WOD) Committee Members Policy Group Members Designation 2

3 Contents Page Definitions that apply to this Policy & Procedure 5 Equality Statement Summary Introduction Duties within the organisation Key Principles of appraisal New starters/new to Role Pay Progression Right of Review Process Due Regard Training Needs Analysis Monitoring Compliance and Effectiveness Standards and Key Performance Indicators Dissemination and Implementation References Associated Policies References and Associated Documentation Appendix 1 Appraisal Standards Appendix 2 Performance outcomes Appendix 3 Request for Review Template Appendix 4 Policy Training Requirements Appendix 5 NHSLA Policy Monitoring Appendix 6 NHS Constitution Checklist Further guidance to support this policy is available via e-source Version Control and Summary of Changes 3

4 Version number Date Comments (description change and amendments) 1 Initial draft policy developed with SLG feedback. This policy will supersede the Performance and Development Review (PDR policy) 2 10/06/13 Incorporated feedback following consultation with staffside and management feedback. 3 16/01/14 Incorporate Agenda for Change incremental progression linked to performance. 4 29/10/14 Incorporated feedback following Organisational Consultation and agreement with staff side All LPT Policies can be provided in large print or Braille formats, if requested, and an interpreting service is available to individuals of different nationalities who require them. Did you print this document yourself? Please be advised that the Trust discourages the retention of hard copies of policies and can only guarantee that the policy on the Trust website is the most up-to-date version. For further information contact: Learning & Development on

5 Definitions that apply to this Policy Appraisal Appraisal Document Appraisee Appraiser Due Regard Incremental Pay Progression Management Standards Organisational Expectations Patient safety/experience Standards An opportunity for appraiser and appraise to discuss and review contribution over the past 12 months, recognise performance, discuss behaviours, set future objectives and agree personal development plan. The document which records the appraisal conversation, including performance outcome and development needs discussed. The individual being appraised. The person who undertakes the appraisal (usually the line manager or can be delegated to another appropriate person). Having due regard for advancing equality involves: Removing or minimising disadvantages suffered by people due to their protected characteristics. Taking steps to meet the needs of people from protected groups where these are different from the needs of other people. Encouraging people from protected groups to participate in public life or in other activities where their participation is disproportionately low. Progression through all incremental pay points in all pay bands to be conditional on individuals demonstrating that they meet locally agreed performance requirements in line with Annex W (England) of the handbook. Performance standards set only for staff in management roles within the Trust against which performance over the previous year is appraised and recognised. Performance standards set for all staff which reflect organisational expectations, values and priorities and against which performance is appraised and recognised. Performance standards set for all staff in relation to patient safety and experience against which performance is appraised and recognised. These standards apply to all staff whether in clinical or non clinical roles so as to reflect the impact of all roles on patient safety and experience. Appraisers are required to discuss and reflect this in relation to individual roles. Performance A performance criteria against which the appraiser and appraisee discuss and agree a level for each objective to reflect 5

6 outcome Personal Development Plan (PDP) Role/Individual Specific Standards ulearn the appraisee s performance over the previous year. The part of the appraisal process where a development plan for the coming year is discussed and agreed in relation to identified individual developmental needs. Additional objectives and standards agreed in relation to the appraisee s specific role against which performance is appraised and recognised. The online system used for recording and monitoring appraisals in LPT. All staff and managers have access to ulearn. 6

7 Equality Statement Leicestershire Partnership NHS Trust (LPT) aims to design and implement policy documents that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account the provisions of the Equality Act 2010 and advances equal opportunities for all. This document has been assessed to ensure that no one receives less favourable treatment on the protected characteristics of their age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex (gender) or sexual orientation. In carrying out its functions, LPT must have due regard to the different needs of different protected equality groups in their area. This applies to all the activities for which LPT is responsible, including policy development, review and implementation. 1.0 Summary This document describes the key principles and process of appraisal which contributes to the performance of the organisation by providing an assurance mechanism that staff are equipped with the right knowledge, skills, competence and behaviour to support them in demonstrating care, compassion and openness in their work. This policy applies to all employees of the Trust covered by Agenda for Change Terms & Conditions. This policy excludes medical staff, bank staff and executives. 2.0 Introduction 2.1 The appraisal process plays a critical part in achieving the Trust s objectives and helps each of us understand our contribution and the importance of our role in the organisation. Through appraisal our people are recognised and valued as critical to the effectiveness and quality of the service we provide. 2.2 The delivery of high quality, compassionate care within LPT critically depends on every member of staff having a well-structured appraisal. Effective appraisal and staff development contributes directly to improved patient experience, satisfaction and outcomes. Recent research undertaken by The Kings Fund 1 identifies a well-structured appraisal leads to increased staff engagement, motivation, better health and wellbeing. 2.3 The process will clearly articulate and promote the standards expected by the organisation in relation to the delivery of its services and allow the resulting data to be measured and reviewed to support continued excellence and development across the Trust. It will contribute to a broader organisational understanding of trends to support staff development and provides a mechanism for recognising and rewarding efforts relating to incremental pay progression. 1 Leadership and Engagement for Improvement in the NHS Kings Fund Leadership review May

8 2.4 Appraisal is a joint responsibility of the individual and line manager and should be a two-way process with agreed outcomes and expectations. This should not be solely an annual event but part of a continuous process with regular discussion and feedback which is vital to an effective working relationship between managers and individuals within their team. 2.5 The whole focus of the appraisal meeting should be on the conversation between the appraiser and appraise, supported by a record of this captured on ulearn. 2.6 Identified performance issues should be dealt with as they occur outside of appraisal using the Performance Management Policy and Procedure for the Trust. However overall performance should be considered and reviewed as part of the annual appraisal allowing developmental opportunities to be identified and accessible to enable the individual to address performance issues. 2.7 Throughout the process all members of staff should be treated fairly and consistently and reviewers should take into account the diversity of staff and individual needs when implementing the appraisal process. The appraiser s manager will be utilised to ensure appraisals are undertaken to the required standard and do not disadvantage individuals. 3.0 Duties within the Organisation 3.1 The Trust Board: Has a legal responsibility for Trust policies and for ensuring that they are carried out effectively The Healthy Organisation Group, Learning & Development Group and the Workforce and OD Committee: Have the responsibility for signing off and adopting policies and protocols, in accordance with Trust governance procedure. Have responsibility to support and consider implications arising from the appraisal process. 3.3 Divisional Directors and Heads of Service are responsible for: Ensuring the Appraisal Policy and Process is effectively implemented and monitor appraisal completion rates. Reviewing and considering the implications of data arising from the performance outcomes across and within their responsibility. Supporting the equitable resourcing and support for opportunities for developments as identified through the appraisal process (supported by the Trust Study Leave Policy). 8

9 3.4 Appraiser s Manager Provide assurance for the quality and consistency of appraisal. Provide challenge and support for appraisers so that appraisals are undertaken in a fair and consistent manner for all individuals. Support appraiser and/or appraisee to resolve any disagreements arising from the appraisal discussions and performance rating. Where there is failure to agree, the appraiser s manager s decision is final and there is no further right of review. 3.5 Line Managers Ensure all staff they are responsible for participate in appraisal annually Promote the appraisal process to the staff they are responsible for so that they understand its purpose, value and their role within it. Ensure fair, equal access to opportunities for all staff under their responsibility and demonstrate positive standards of behaviour in line with Trust values. Support individuals in participating in their appraisal and facilitate ongoing development agreed within PDPs Ensure all registered professionals, e.g. Nurses, Allied Health Professionals, demonstrate the maintenance of up to date knowledge, meet the requirements of their registration and display commitment, compassion and a caring approach. Familiarise themselves with professional/clinical requirements for staff that work in their area of responsibility. Ensure all employees they are responsible for are provided with sufficient time within work to prepare for their appraisal meeting. Appraise all direct reports, delegating this duty as appropriate to another suitable individual. Ensure all necessary documentation is completed via ulearn and submitted to the required deadlines. This also applies to appraisals that they have delegated, through checking with the appraiser. 3.6 All Appraisers Arrange a suitable date and time for the appraisal meeting, giving at least 2 weeks in advance of this. Ensure they are familiar with the process and undertake relevant appraisal training as required. Provide the employee with sufficient time within work to prepare for the appraisal, including time to log on to ulearn. Ensure all necessary documentation, via ulearn, is fully completed and relevant sections submitted to required deadlines. This is both pre and post appraisal review meeting. Monitor, review and together with the employee, rate performance and progress in relation to the objectives throughout the year, via one-to-one, supervision and informal discussions, taking appropriate action where there is 9

10 a failure to meet acceptable standards of performance Ensure equity of approach for all employees they appraise. Support individuals in participating in their appraisal and facilitate ongoing development agreed within PDPs Ensure all registered professionals, e.g. Nurses, Allied Health Professionals, demonstrate the maintenance of up to date knowledge, meet the requirements of their registration and display commitment, compassion and a caring approach. Familiarise themselves with professional/clinical requirements for staff that they are responsible for appraising. 3.7 Appraisee Take responsibility for their own appraisal. Adequately preparing for their appraisal, including consideration of their performance over the previous twelve months against the Trust appraisal standards (see Appendix 1), previously agreed individual/role specific objectives (including examples to demonstrate this), their behaviour and attitude aligned to Trust values. Accessing u Learn. Articulate their personal and career ambitions. Identify any developmental needs they may have to support their job performance, achievement of objectives and professional or CPD requirements. Registered professionals, e.g. Nurses, Allied Health Professionals, must further demonstrate the maintenance of up to date annual learning portfolio to meet the requirements of their registration and demonstrating commitment, compassion and a caring approach. Fully participate and contribute to the annual appraisal meeting and, together with appraiser, review and rate performance and progress Monitor and assess own achievements throughout the year against the agreed objectives and standards. Take personal responsibility for their own development and accountability in their job role by demonstrating positive standards of behaviour in line with Trust values. To raise concerns in respect of own issues arising from appraisal via the appraiser and/or line manager. Support for resolution of any disagreements arising from the appraisal discussions and performance rating will be provided by the appraiser s manager. Where there is failure to agree, the appraiser s manager s decision is final and there is no further right of review. 3.8 Learning & Development Provide organisational support to make training available in relation to the appraisal policy and process. Record, report and monitor appraisal completion rates across the organisation. 10

11 Receive and store data in relation to the Rating scores of individuals arising from the process and identified Personal Development Plan needs. Provide reports in relation to rating scores. Provide advice, guidance and support on the appraisal process 3.9 Operational Human Resources Provide support for the appraiser s manager with resolving disagreements between appraiser and appraise if required. Provide advice, guidance and support on the appraisal process 3.10 Employee Services Employee Service Centre will input increments for employees onto ESR subject to receipt of the appropriate paperwork from line managers by the monthly deadlines. 4.0 Key Principles of Appraisal 4.1 Every employee will participate in an annual appraisal. This provides an opportunity for the appraisee and appraiser to reflect on the appraisee s contribution, performance, attitude and behaviour during the previous 12 months. Identify what is required for the next year and agree a personal development plan. All employees will achieve a performance rating which will determine annual incremental pay progression. 4.2 Appraisals must take place between 6-8 weeks before the employee s next increment date so that pay progression can be implemented for those who satisfy the performance criteria. 4.3 To avoid delaying appraisals and incremental progression, appraisal can be delegated to another appropriate appraiser, for example, where the identified appraiser is on prolonged leave. Delegation can be upwards to the appraiser s manager. Appraisal should be delegated to someone who has an understanding of the post and the duties of the appraisee. 4.4 Appraisal is a two-way discussion, and provides the opportunity to reflect on the appraisee s contribution during the previous 12 months and will consist of: Review and recognition of performance against agreed standards Discussion about behaviours aligned to organisational values Revalidation of competence in role Agreement of future work related objectives Identification of future development needs Establishment of a performance outcome. 11

12 4.5 All individuals will be appraised against the following criteria: Organisational Expectations Role / Individual Specific Objectives Patient Safety/Experience Objectives Managers will also be appraised against specific Management Standards. Performance outcome will be agreed using the following: Definition of performance outcome Outcome Score Outstanding in all areas 7 Excellent in all areas 6 Exceeded expectations in some areas 5 Acceptable in all areas 4 Some areas for improvement 3 Significant areas for improvement 2 Unacceptable 1 A full explanation of the performance outcomes is provided at Appendix The appraisal should be carried out, where possible, by the immediate line manager/supervisor of the employee. However, managers with large numbers of direct reports can delegate to another appropriate appraiser. The maximum number of individuals an appraiser should be responsible for appraising in a 12 month period is To get the most from the annual appraisal review meeting it is important for both the appraiser and appraisee to give some thought and preparation about the appraisee s achievements in advance. Time will be facilitated during working hours to enable this of one hour. If it is felt further time is required individuals should raise this with their manager. 4.8 The annual appraisal review meeting is only one element of effective performance management. Discussions regarding work performance, progress with objectives, and development needs should take place regularly throughout the year between the individual and their line manager. This could be undertaken via one-to-one meetings, supervision sessions, informal discussion etc. However at least a formal half year review will be carried out as a minimum. 4.9 Where agreement cannot be reached, between the appraiser and appraisee, regarding the performance rating, the appraisee will have the right to request a review by the appraiser s manager, whose decision will be final The appraisal discussion will be formally recorded using u Learn. The content of the appraisal discussion and associated documentation should be treated confidentially. 12

13 4.11 The appraisal must be signed off by both appraiser and appraise on ulearn by the required deadline so that monitoring of compliance and performance ratings can be maintained. All appraisers are deemed appropriate to authorise approval of incremental progression following appraisal. 5.0 New Starters/New to role/secondments 5.1 Managers should discuss the principles of appraisal at LPT with new employees within their first two weeks in post, providing an opportunity to clarify expectations. 5.2 An initial appraisal will take place with all new starters (either new to the organisation or to role) within 3 months of commencement in post, to measure initial performance in the role, set any role specific objectives, and identify areas for development. Progress should then be regularly monitored, and a further appraisal will take place prior to completion of 12 months in post. 5.3 Newly qualified healthcare professionals should be appraised with consideration to the requirements of Preceptorship Policy and programme. 5.4 Individuals on secondment should have an appraisal before taking up the secondment to discuss and document progress to date within that appraisal year. Whilst on secondment they should participate in appraisal for the seconded role. 6.0 Pay progression 6.1 Guidance on timings for undertaking appraisal is available on e-source and further explanation on incremental progression is contained within the Starting Salaries & Pay Progression Policy. 7.0 Right of Review Process 7.1 Where agreement cannot be reached, between the appraiser and appraisee, regarding the performance rating, the appraisee will have the right to request a review by the appraiser s manager, whose decision will be final. 7.2 Requests for reviews must be lodged with the appraiser s manager within 14 calendar days of the appraisal in writing ( s are acceptable) using the template provided at Appendix 3. In requesting a review the individual must state clear grounds for a review, including details of where they believe their appraisal has not been an accurate assessment of their performance and provide examples. 7.3 The appraiser s manager will hear the review within 21 calendar days of receiving the request for a review. It may be appropriate for the appraiser s manager to use peer review or specialist support in considering a review if they do not have sufficient knowledge of the role of the individual under review. It is the responsibility of the appraiser s manager to decide if they wish to use peer review 13

14 or specialist support in the review. 7.4 Should a review result in incremental progression being reinstated, the employee will receive their increment backdated to their increment date. 8.0 Due Regard 8.1 The Trust s commitment to equality means that this policy has been screened in relation to paying due regard to the general duty of the Equality Act 2010 to eliminate unlawful discrimination, harassment, victimisation, advance equality of opportunity and foster good relations. A full Due Regard assessment has been undertaken. 9.0 Training Needs Analysis 9.1 There is a need for training identified within this policy. In accordance with the classification of training outlined in the HR & OD Strategy and the Learning & Development Approach, this training has been identified as role specific for managers and appraisers. There will also be support available for appraisees via e-source. 9.2 The course directory e source link below will identify who the training applies to, delivery method, the update frequency, learning outcomes and a list of available dates to access the training A record of the event will be recorded on OLM. 9.4 The governance group responsible for monitoring the training is the Learning & Development Group Monitoring Compliance and Effectiveness Systems Monitoring and/or audit Criteria Measurables Frequency Reporting to Action plan/ monitoring All staff will have an annual appraisal Reports from u Learn IQPR As soon as the annual Appraisal is completed Divisional Directors Directors of Enabling Services. WOD Director of HR and OD A sample audit of 10% of completed appraisals will be undertaken Quarterly HOG Director of HR and OD 14

15 11.0 Standards and Key Performance Indicators: 11.1 The table below details the standard and performance indicators that relate to this policy. TARGET/STANDARDS Care Quality Commission outcome 14 KEY PERFORMANCE INDICATOR All available staff have received an appraisal within the previous 12 months Dissemination and Implementation 12.1 In order to ensure organisational readiness, the policy will be implemented in two phases: Year 1 Incremental progression will be achieved by: Participating in an appraisal Completing all mandatory training as per the Mandatory Training Register for the role Not being subject to a sanction under the Disciplinary Policy and Procedure where it has been determined that an increment should be withheld. (Effective for year 1 only of sanctions applied on or after 1 November 2014). Not currently being managed under the formal stages of the Trust s Performance Management Policy and Procedure Performance ratings will operate in shadow format only Year 2 - Incremental progression will be achieved by: Achieving year 1 criteria, PLUS Award of a performance rating of 3 or above The policy is approved by the Leicestershire Partnership NHS Trust Workforce and OD Committee and is accepted as a Trust wide policy. This policy will be disseminated immediately throughout the Trust following adoption References 13.1 This policy was developed with reference to the following: NHS Constitution Francis Report NHS Outcomes Framework The Equality Delivery System 2 Agenda for Change Terms & Conditions NHS Staff Council NHS Employers 15

16 14.0 Associated Policies 14.1 To support effective implementation and understanding the following policies are signposted for additional guidance. Bullying & Harassment Policy Disciplinary Policy Equality and Human Rights Policy Grievance Procedure Recruitment and Selection Policy Capability Policy Sickness Absence Management Policy and Procedure Study Leave Policy Professional Registrations Induction Policy Pay Progression Policy Preceptorship Policy These policies can be found on e-source 16

17 APPENDIX 1 Appraisal Standards 1. Organisational Expectations 1.1 Reliability, contribution and participation Arrives on time to work, activities, meetings Has a good attendance record at work Can be relied on to complete work accurately, completely and within agreed timescales 1.2 Team Working & Relationship Building Works effectively with other members of the team and supports others in the workplace Contributes fully and effectively to team projects, activities, meetings Builds and maintains effective working relationships with colleagues and other key partners across, and outside, the organisation Demonstrates a positive attitude towards colleagues 1.3 Demonstrates Trust values Trust Takes on responsibility, completes work and maintains confidentiality Use positive language Be reliable and punctual Be as good as your word Fulfil your commitments to others Be accountable and professional Integrity Be honest and transparent Admit when you are wrong Apologise Be self aware Talk straight and use simple language Right wrongs Compassion Understand the needs of others Show genuine empathy and understanding Be sympathetic Be kind and considerate Show tolerance Respect Listen first Be attentive and make eye contact Be polite Smile Say please and thank you Embrace differences Address people by their names 17

18 2. Patient safety/experience 2.1 Communication (written and verbal) Listens to others Communicates information clearly and appropriately Uses appropriate methods of communication effectively Takes personal accountability for good record keeping (including entries in patient notes 2.2 Personal and People Development Takes responsibility for their own development, including attendance at mandatory training Supports and enables others to learn and develop their skills and knowledge 2.3 Health, Safety & Security Takes responsibility for promoting and ensuring the health, safety and security of themselves and others 2.4 Service Improvement Makes suggestions for how services could be improved Proactively takes steps to plan and implement improvements to service 2.5 Quality, Safeguarding and Patient Safety Understands the needs and expectations of others and ensures their work meets the required standards. Ensures the accuracy of data and information they provide Reviews the quality of the services they deliver Proactively takes steps to improve the quality of their own work and the overall service they provide. Follows Trust safeguarding processes and requirements Follows Trust information governance policies and requirements Follows Trust and professional requirements in relation to confidentiality Is focussed on ensuring that the users of services have an excellent experience Understands their role in enhancing the experience of service users and proactively takes steps to further improve the experience of service users 2.6 Equality & Diversity Promotes equality through acting fairly and equitably Takes appropriate steps to address any unfair discrimination Respects and values the diversity of all people within the workplace 3. Management and Leadership 3.1 Managing People Manages fairly and equitably and in accordance with Trust policies Engages and motivates effectively and gains commitment Actively manages performance against set standards Recognises and values diverse needs and abilities 3.2 Managing Teams Builds, develops, encourages and updates their team appropriately Enables and supports their team to work together and achieve its objectives Recognises and deals with potential conflict in the team 18

19 Develops and maintains effective working relationships within and with their team Communicates effectively with the team, including team briefing 3.3 Managing the Service Understands the quality of service required and takes proactive steps to address shortfalls. Provides excellent customer service Monitors and ensures delivery of a consistently high standard Identifies opportunities for innovation and service improvement and actively drives their implementation 3.4 Managing Resources Ensures all resources are well maintained and used safely by staff, visitors and service users Ensures that all resources are used as effectively and efficiently as possible (e.g. finances, staffing, other materials and equipment) ensuring value for money Works within standing financial instructions. 3.5 Achieving Performance Objectives Develops clear plans and achieves results Consistently achieves performance objectives set for their service (e.g. waiting times, contact targets, DNA rates, appraisal completions, sickness targets, mandatory training) Actively manages and takes steps to address underperformance against objectives Completes all staff appraisals in line with Trust policy Ensures all staff remain up-to-date and compliant with mandatory training as per the register. 3.6 Accountability, Flexibility & Adaptability Delivers personally to a high standard Holds others to account in meeting expected standards Flexible approach to work, open to ideas and suggestions and seeks creative solutions to problems Adapts positively to changing circumstances 3.7 Leadership Sets a clear vision and clear expectations for the service and the team Has a clear business focus, drives for continuous improvement and leads change. Is able to positively persuade and influence others Keeps up-to-date with national/local policy and politics, understands the implications and is able to translate this meaningfully for staff within their area Leads by example and demonstrates a clear determination to achieve results 19

20 Appraisal Policy Performance Outcomes Definition of performance outcome Outstanding An exceptional demonstration against requirements. Goes way beyond expected levels of achievement and demonstrates discretionary effort outside of their role. It is recognised that only a few individuals will achieve this level of performance. Excellent in all areas Consistently exceed requirements in all areas of their work. Consisently delivers to deadlines and produces a high level of quality to their work. Only individuals who consistently achieve high standards will achieve this level of performance. Exceeds expectations in some areas Meets requirements consistently in all areas of their work AND exceeds this at least 50% of the time. Acceptable in all areas Meets requirements consistently in all areas of their work. Some areas for improvement Meets requirements in some areas of their work BUT inconsistently deliver to deadlines and/or fail to meet the level of quality required for some of their work. Significant areas for improvement Does not meet requirements for majority of the areas of their work. Improvement is required. It is recognised only individuals who are new to their role or where there are noticeable performance issues will fall into this level of performance. Robust support and development must be put in place to allow individuals to reach an acceptable level of performance. Unacceptable Does not meet requirements for any area of their work. Significant improvement is required. Robust action plans required to address this level of performance. It is recognised that few individuals should reach this stage of performance. This should be managed in line with the APPENDIX 2 Outcome Score 7 Capability Policy. The aim of this is to help managers to assess their staff against the 1 to 7 scale. The vast majority of staff (like most organisations) will fall into the 3 to 5 range, with the majority achieving a level of 4, as they will be performing as required, where as some staff may be slightly below or above of what is required (3 or 5). Statistically, much fewer trust staff would be operating significantly below or above (2 or 6) what is required and a smaller percentage still would fall into either the lowest or highest levels (1 or 7)

21 APPENDIX 3 Appraisal Policy - Request for Review Please refer to the Appraisal Policy prior to completion of this form. SECTION A to be completed by the Appraisee Name of employee requesting review Job Title... Employee Number.. Department/Service Area... Contact Telephone Number... Work Address I am requesting a review of the outcome of my annual appraisal review meeting in line with the Appraisal Policy. I have discussed this with my appraiser: Name and job title of appraiser... Name of appraiser s manager Date of appraisal.. Please indicate where you believe there has not been an accurate assessment of your performance and provide exa: Area Example Organisational Expectations - Reliability, contribution and participation - Team working & relationship building - Demonstrates Trust 21

22 values Patient Safety/Experience - Communication - Personal and people development - Health, safety and security - Service improvement - Quality, safeguarding and patient safety - Equality and diversity Role/Specific Objectives (provide details of objective) Leadership & Management - Managing People - Managing Teams - Managing the Service - Managing Resources - Achieving, Flexibility and Adaptability - Leadership Overall performance Signature.. Date completed. 22

23 SECTION B to be completed by the Appraiser s Manager following the review. Name of employee requesting review Job Title... Employee Number.. Department/Service Area... Contact Telephone Number... Work Address... Section Below for Completion by appraiser s manager Outcome Appraiser s Manager signature Date Completed Date individual informed. *IMPORTANT* SECTION B MUST BE RETURNED TO WORKFORCE INFORMATION TO ENSURE ACCURATE RECORDS OF INCREMENTAL PROGRESSION ARE MAINTAINED. SECTION A TO BE MAINTAINED ON INDIVIDUAL PERSONAL FILE. 23

24 APPENDIX 4 Policy Training Requirements The purpose of this template is to provide assurance that any training implications have been considered Training topic: Type of training: Division(s) to which the training is applicable: Staff groups who require the training: Appraisal Mandatory (must be on mandatory training register) Role specific Personal development Adult Learning Disability Services Adult Mental Health Services Community Health Services Enabling Services Families Young People Children Hosted Services Please specify People who are responsible for appraising staff Update requirement: Who is responsible for delivery of this training? Have resources been identified? Has a training plan been agreed? Once only. Available as refresher should the individual require it. Learning & Development Yes Yes Where will completion of this training be recorded? Trust learning management system Other (please specify) How is this training going to be monitored? Course evaluations. Quality of appraisal through review of policy in first 12 months and feedback from staff appraised. The monitoring will be through L&D Group. 24

25 NHSLA Policy Monitoring Section Appendix 5 Criteria Number & Name: Appraisal Policy Duties outlined in this Policy will be evidenced through monitoring of the other minimum requirements Reference Minimum Requirements Self assessment evidence Process for Monitoring Responsible Individual / Group Frequency of monitoring 80% of all staff have an annual appraisal Monthly Appraisal rates IQPR Michelle Brookhouse/Nicola Ward/WOD Monthly Where monitoring identifies any shortfall in compliance the group responsible for the Policy (as identified on the policy cover) shall be responsible for developing and monitoring any action plans to ensure future compliance 25

26 Appendix 6 The NHS Constitution NHS Core Principles Checklist Please tick below those principles that apply to this policy The NHS will provide a universal service for all based on clinical need, not ability to pay. The NHS will provide a comprehensive range of services Shape its services around the needs and preferences of individual patients, their families and their carers Respond to different needs of different sectors of the population Work continuously to improve quality services and to minimise errors Support and value its staff Work together with others to ensure a seamless service for patients X Help keep people healthy and work to reduce health inequalities Respect the confidentiality of individual patients and provide open access to information about services, treatment and performance 26