PERFORMANCE APPRAISAL AND DEVELOPMENT AND KSF ANNUAL REVIEW

SECTION: HUMAN RESOURCES POLICY AND PROCEDURE No: 10.16 NATURE AND SCOPE: SUBJECT: POLICY AND PROCEDURE TRUST WIDE PERFORMANCE APPRAISAL AND DEVELOPMENT AND KSF ANNUAL REVIEW This policy explains the Performance Appraisal and Development (PAD) process and Knowledge and Skills Framework (KSF) annual review which ensures a structured meeting between a line manager and a member of staff to discuss the individual s performance, progress towards meeting agreed objectives, assessment of the individual s competencies against the KSF outline, personal learning and continuing professional development needs. DATE OF LATEST RATIFICATION: DECEMBER 2010 (REISSUED SEPTEMBER 2014) RATIFIED BY: HR CORE GROUP IMPLEMENTATION DATE: DECEMBER 2010 REVIEW DATE: DECEMBER 2014 ASSOCIATED TRUST POLICIES AND PROCEDURES: NONE ISSUE 5 DECEMBER 2010

NOTTINGHAMSHIRE HEALTHCARE NHS TRUST POLICY AND GUIDELINES FOR PERFORMANCE APPRAISAL AND DEVELOPMENT AND KSF ANNUAL REVIEW 1.0 Policy Statement 2.0 Single Equality Scheme. CONTENTS 3 0 Guidelines for Conducting Performance Appraisal & Development Reviews 3.1 Line Manager (Appraiser) Responsibilities 3.2 Individual (Appraisee) Responsibilities 3.3 Grandparent Responsibilities 3.4 Objective Setting 3.5 Identifying Continuous Professional Development and Learning Needs 3.6 Behavioural and Professional Competencies 3.7 Meeting Learning Needs 3.8 Recording Continuous Professional Development 3.9 Documenting the Discussion 3.10 Decisions reached at the end of the PAD/KSF review 4.0 Implementation 5.0 Training 6.0 Target Audience 7.0 Review Date 8.0 Consultation 9.0 Relevant Trust Policies 10.0 Monitoring Compliance 11.0 Equality Impact Assessment 12.0 Legislation Compliance 13.0 Champion & Expert Writer Appendix 1 - Record of Changes Appendix 2 - Employee Record of Having Read the Policy ISSUE 5 DECEMBER 2010 1

NOTTINGHAMSHIRE HEALTHCARE NHS TRUST PERFORMANCE APPRAISAL AND DEVELOPMENT KSF ANNUAL REVIEW POLICY AND GUIDELINES 1.0 POLICY STATEMENT 1.1 Nottinghamshire Healthcare NHS Trust (the Trust) is committed to the delivery of high quality care and believes that through valuing, developing and motivating staff within a sound framework for service improvement, it will be able to deliver the highest standards of healthcare to its population. 1.2 Performance Appraisal and Development (PAD) is a regular and systematic process which ensures a structured meeting between a line manager and a member of staff to discuss the individual s performance, progress towards meeting agreed objectives, personal learning and continuing professional development needs. 1.3 The Knowledge and Skills Framework (KSF) defines and describes the knowledge and skills which NHS staff need to apply in their work in order to deliver quality services. It provides a single, consistent and explicit framework on which to base review and development for all staff. The KSF framework, in conjunction with the PAD process, will enable all staff who come under the Agenda for Change Agreement to progress through the Agenda for Change pay gateways within their Band. 1.4 The KSF is NHS-wide and applicable to all staff who work in the NHS across the UK (except doctors, dentists and some board level and other senior managers), for all the roles that they undertake now and are likely to undertake in the foreseeable future, and has been developed. The framework has been implemented through partnership working between management and trade unions and professional bodies. 1.5 Leaders at all levels within the organisation have a personal responsibility to ensure that all members of their team have a Performance Appraisal and Development meeting at least annually. 1.6 The process will ensure: 1.6.1 that key tasks and responsibilities are updated in light of changing service need; 1.6.2 that there is a clear understanding of the skills, competencies and behaviours required to be effective within the role; 1.6.3 that personal objectives are agreed; 1.6.4 that there is a clear personal development plan to support continuous improvement; 1.6.5 that the review monitors how the individual is applying their knowledge and skills and developing to meet the demands of the post as described in the KSF outline for that post. 1.7 The PAD/KSF process will be used pro-actively to support the Trust s wider Workforce Strategy through: 1.7.1 promoting a culture of learning and development; 1.7.2 encouraging improved levels of competence and performance within the organisation; ISSUE 5 DECEMBER 2010 2

1.7.3 the creation of a corporate learning and organisational development plan based on a systematic identification of individual and organisational learning needs, focused on service improvement; 1.7.4 enabling more informed and systematic workforce planning; 1.7.5 helping to build effective and efficient teams; 1.76 enabling every member of staff to have a clear understanding of their role, tasks, priorities and responsibilities and how those fit in with colleagues and the wider organization; 1.7.7 ensuring effective communication; 1.7.8 encouraging and motivating staff in their work performance, increasing job satisfaction; 1.7.9 promoting career and personal development; 1.7.10 ensuring fairness and equity to all staff regardless of post, full or part time, day or night worker; 1.7.11 giving individuals a sense of direction through a process of involvement; 1.7.12 encouraging staff to influence and contribute to service improvement through clear individual objectives; 1.7.13 giving performance feedback which enables staff to build on strengths and identify and improve weaknesses; 1.7.14 identifying rising stars to support leadership development and succession planning. 1.8 For those in leadership positions, the PAD will be enhanced through a system of 360- degree feedback. 1.9 PAD is a key process within the Trust s Governance arrangements and is core to our strategy to improve the working lives of staff and retain recognition as an Investor in People. Leaders are therefore required to evidence that all staff have had a PAD review through the annual report to the Trust Governance Committee for their service area. 1.10 An effective PAD/KSF review process for direct reports must in itself be a personal objective for all those in leadership roles throughout the organisation. Feedback will be sought on the effectiveness of the process through the annual staff attitude survey. 1.11 A PAD/KSF review discussion must take place with all staff at least annually and timing for objective setting should be linked to the Trust s Business Planning Cycle. Personal objectives should be set within the wider context of corporate, service and team objectives linked to agreed Annual Delivery Plans. 1.12 A key part of the process is interim review. The frequency is by agreement between parties, but would normally be after six months. This is essential for all new employee s to ensure they are developing accordingly to enable them to progress through the Foundation Gateway at the end of their first 12 months. For members of the Executive Leadership Council, three times a year should be the norm. ISSUE 5 DECEMBER 2010 3

1.13 Leaders should use the information gathered from discussions around Personal Development Needs to develop their workforce training plans. Training Plans are required by the end of March each year and should be signed off by Executive Directors before submission to the Head of Workforce Development, in line with the Trust s Education and Workforce Strategy. 1.14 Standard documentation will be used across the Trust to record PAD/KSF discussions. 1.15 PAD review for the Chief Executive and Executive Directors will be managed and documented in accordance with the agreed national scheme. 1.16.1 Performance Appraisal for Medical Staff should follow guidelines and principles agreed nationally. The Executive Director for Clinical Governance and Medical Affairs shall oversee the process for non-training grade medical staff and ensure, through the Post Graduate Director for Medical Education that appraisal and development review is a cornerstone of support for those in training. 2.0 SINGLE EQUALITY SCHEME 2.1 In applying this procedure, managers, employees and their representatives will have regard to the principles and requirements of the Trust s Single Equality Scheme. The Trust is committed to equality, diversity and human rights accordingly the implementation of this policy and its impact will be monitored across all equality strands and reported regularly to the Trust Board. 2.2 Managers will not discriminate in the application of this policy and procedure in respect of age, disability, race, ethnic or national origin, gender, religion, beliefs, sexual orientation, marital/partnership status, social and employment status, gender identification, language or trade union membership or mental health status. 3.0 GUIDELINES FOR CONDUCTING PERFORMANCE APPRAISAL AND DEVELOPMENT REVIEWS 3.1 Line Manager (Appraiser) responsibilities The line manager s role in the PAD/KSF process is crucial in ensuring that the process is seen and understood by staff to be fair, honest, and open and to provide a genuine opportunity for them to discuss and receive honest, constructive feedback on their performance and to develop a Personal Development Plan. The line manager is responsible for ensuring that: 3.1.1 as far as possible the PAD is perceived as a positive process for staff; 3.1.2 the PAD is not used as an opportunity to deal with performance issues that have not previously been raised with the individual - there should be no surprises for the individual; 3.1.3 each member of staff for whom they are responsible has an annual PAD/KSF meeting with regular reviews. A six-monthly review is a minimum requirement. For those in senior management roles (members of the ELC) three times a year should be considered the norm; 3.1.4 the member of staff is given adequate time to prepare for the discussion; 3.1.5 the process is carried out fairly, equitably and consistently in line with good employment and management practice; ISSUE 5 DECEMBER 2010 4

ISSUE 5 DECEMBER 2010 5 Performance Appraisal and Development & KSF Annual Review 10.16 3.1.6 they participate in relevant training programmes to adequately equip them to undertake PAD/KSF reviews; 3.1.7 the PAD/KSF meeting is arranged at a mutually convenient time, date and venue which is as quiet and comfortable as possible in which the discussion can take place without interruption; 3.1.8 an individual s learning needs are identified and a personal development plan agreed to meet these as appropriate; 3.1.9 the required documentation is completed appropriately and a copy made available to the individual. Wherever possible the documentation should be completed on line and an electronic record kept, paper versions should become the exception rather than the rule; 3.1.10 they are open and honest about their own management performance and encourage feedback from staff; 3.1.11 Continuous Professional Development CPD plans are followed through and that the individual is asked to bring their record of learning to the PAD/KSF review; 3.1.12 they understand the KSF outline for the post that they are reviewing; 3.1.13 that they identify if an individual has particular needs for support to ensure that the process is fair for that individual and ensures reasonable adjustments are made accordingly for those covered by the Disability Discrimination Act; 3.1.14 they provide guidance to the individual to assist them to gather relevant information pertaining to the individual s work against the KSF outline for the post, this could be their own views of the individual s work, outputs from the individual s work, ie records, portfolios, or be information from other people who have worked with the individual; 3.1.15 appraising staff is seen to be part of their continuous management responsibility and not a one-off exercise. 3.2 Individual (Appraisee) Responsibilities 3.2.1 For a PAD/KSF process to be effective, it is important that the individual to be appraised understands that it is a two-way process and that they have certain responsibilities to: 3.2.1.1 co-operate with their Line Manager in arranging and conducting the PAD/KSF meeting; 3.2.1.2 prepare themselves for the PAD/KSF meeting by reviewing relevant documentation and the KSF outline; 3.2.1.3 ensure that they understand the KSF outline for their post; 3.2.1.4 consider how they have met the KSF post outline; 3.2.1.5 act upon constructive feedback that is given; 3.2.1.6 consider their own personal objectives; 3.2.1.7 consider their own learning needs creatively and flexibly and consider how meeting these will benefit the service and them personally;

3.2.1.8 engage with the process openly and honestly; 3.2.1.9 offer constructive feedback to their manager; 3.2.1.10 consider and offer ideas for service improvement; 3.2.1.11to participate in agreed learning activities and to take responsibility for maintaining a record of their own learning. 3.3 Grandparent Responsibilities 3.3.1 The Grandparent role in PAD/KSF review is important to ensure fairness and objectivity in any assessment. In addition the grandparent can help ensure consistency and focus on key organisational objectives across the team. 3.3.2 The Grandparent should: 3.4 Objective Setting 3.3.2.1 be notified of any areas of concern or significant disagreement within the PAD process and agree a way forward; 3.3.2.2 contribute ideas to the Personal Development Plan; 3.3.2.3 comment on the end of year review and PDP arrangements and sign off. 3.4.1 Objectives should always be agreed jointly and not imposed by the manager. The individual should be asked to consider what they perceive to be their key objectives prior to the review meeting. Objectives should always be agreed in the light of Corporate and Service Development Plans and team objectives. The focus should always be on service improvement and/or the development of skills competencies and behaviours to effectively undertake the role. 3.4.2 Objectives should be SMART (Specific, Measurable, Achievable, Realistic and Timescaled) 3.5 Identifying Continuous Professional Development and Learning Needs 3.5.1 Continuous Professional Development (CPD) is defined by the Department of Health as a process of life-long learning for all individuals and teams which meets the needs of patients and delivers the health outcomes and healthcare priorities of the NHS and which enables professionals to expand and fulfil their potential. 3.5.2 CPD is relevant to all staff in the NHS and should be an ongoing and continuous process of review and evaluation. The PAD/KSF process provides the vehicle for identifying these learning needs. 3.5.3 The identification of learning needs for the individual and the managers should always begin with the question: What do I need to learn, rather than What training courses do I want to go on or What courses do I think they should go on 3.5.4 The commitment is to enable individuals to learn and develop in their posts and throughout their working lives. The commitment is not about everyone attending a set number of hours or courses it is about learning and development as a whole. 3.5.5 Some of the prompts for this question might include: ISSUE 5 DECEMBER 2010 6

ISSUE 5 DECEMBER 2010 7 Performance Appraisal and Development & KSF Annual Review 10.16 a) improving performance areas identified through PAD/KSF review; b) to build on strengths; c) to achieve objectives identified through PAD; d) personal/professional development for the future; e) to gain experience - vertical/lateral; f) organisational change; g) new role; h) broader role; i) secondment opportunities; j) succession planning; k) service changes; l) changes in legislation. 3.6 Behavioural and Professional Competencies 3.6.1 Assessment against behavioural competencies is an important part of the review process and should wherever possible be used as a framework for development discussions. Behavioural competencies have been identified for those who have a senior leadership role within the Trust and professional competency frameworks are available for many clinical roles. 3.7 Meeting Learning Needs 3.7.1 An important principle of CPD is that it includes much more than going on courses and has work-based learning at its core. Individuals and managers should be encouraged to think creatively and flexibly about the most effective and appropriate way of meeting learning needs. For example: a) coaching on the job; b) mentoring; c) job rotation; d) job shadowing both shadowing and being shadowed offer valuable opportunities for learning; e) action learning sets; f) work-based projects; g) learning from the results of clinical audit and research; h) making better use of information systems; i) learning the lessons, both individually and within a team, from relevant experiences, including adverse events and service failure;

j) delivering teaching sessions, formal and informal; k) sharing information gained at conferences, courses, etc with colleagues; l) e-learning; m) scenario-based learning. 3.8 Recording Continuous Professional Development 3.8.1 It is becoming an increasing requirement for professional groups to maintain a record of their learning for registration and validation purposes, and it is generally accepted as good practice for all staff to do so for the following reasons: a) because the process of recording is, in itself, an aid to learning; b) because it helps to demonstrate learning to employers; c) because it can be used as evidence to support an Accreditation of Prior Experience and Learning process when individuals wish to access additional, higher and /or further qualifications, e.g. National Vocational Qualifications, diplomas and degrees; d) because it helps to identify future learning needs based on identified gaps; What should be recorded? For courses and programmes: a) the date, the duration, the learning objectives; b) any assessment that took place; c) for other sorts of learning, e.g. shadowing, mentoring, etc.; d) the date, why the experience was taking place, and all other relevant details, e.g. the mentor or shadow s name, others involved. Then the following should be considered: a) what was learned from this experience what knowledge and skills were gained? b) what is known now that was not known before? c) what will be done differently as a result of the learning? d) how can the learning be used in day-to-day practice? e) how can this learning be shared with colleagues? f) what are the implications for the job and the way it is done? 3.9 Documenting the Discussion 3.9.1 The Trust has developed a common pro-forma to record the PAD discussion. It is important that this is done as soon as possible following the PAD review. The proforma may be completed by either party and a copy retained. ISSUE 5 DECEMBER 2010 8

ISSUE 5 DECEMBER 2010 9 Performance Appraisal and Development & KSF Annual Review 10.16 3.9.2 For medical staff there is nationally agreed documentation together with a clear process to support appraisal discussions 3.9.3 The Performance and Development of the Chief Executive and Directors will be managed and documented in accordance with the agreed National Scheme. 3.10 Decisions reached at the end of the PAD/KSF review 3.10.1 If the individual and the reviewer cannot agree, either one has the right to seek support on an informal basis from third party, such as the Grandparent, Personnel Business Manager or staff side representative. The third party may seek further information from the reviewer and the individual and reach an objective decision that is non-discriminatory. If this informal process does not address the problem, the individual as the right to use Trust Grievance Procedures. 3.10.2 If the individual s pay has been withheld, if the case is upheld pay will be backdated to the point at which pay progression should have occurred. 4.0 IMPLEMENTATION 4.1 As this policy has already been implemented, no implementation plan is required. 5.0 TRAINING 5.1 As this policy has already been implemented, no implementation plan is required. 6.0 TARGET AUDIENCE 6.1 All Trust employees, excluding medical staff. 7.0 REVIEW DATE 7.1 This policy will be reviewed in December 2014 or in light of organisational or legislative changes. 8.0 CONSULTATION 8.1 Consultation will be via the Core Group and ELC. 9.0 RELEVANT TRUST POLICIES 9.1 None 10.0 EQUALITY IMPACT ASSESSMENT 10.1 This policy has been assessed using the Equality Impact Assessment Screening Tool. The assessment concluded that the policy would have no adverse impact on, or result in the positive discrimination of, any of the diverse groups detailed. These include the strands of disability, ethnicity, gender, gender identity, age, sexual orientation, religion/belief, social inclusion and community cohesion. 11.0 MONITORING COMPLIANCE 11.1 The implementation of this agreement and its effectiveness will be monitored on an ongoing basis by relevant General Managers/Heads of Service, senior members of the Human Resource Departments and members of the Core Group. This monitoring process will include the consideration of employment relations statistics provided to management groups.

12.0 LEGISLATION COMPLIANCE 12.1 Department of Health NHS Terms and Conditions of Service Handbook circular (A for C 4/2010 amendment 19. 12.2 Department of Health NHS Knowledge and Skills Framework & The Development Review Process October 2004 12.3 Department of Health Agenda for Change Final Agreement December 2004 13.0 CHAMPION & EXPERT WRITER 13.1 The champion of this policy is Associate Director of Human Resources and the Expert Writer is Employee Relations Specialist. ISSUE 5 DECEMBER 2010 10

APPENDIX 1 Policy/Procedure: PERFORMANCE APPRAISAL AND DEVELOPMENT AND KSF ANNUAL REVIEW (previously 12.01) Issue: 05 Status: Author Name and Title: Approved Owen Fulton, Employee Relations Specialist. Issue Date: DECEMBER 2010 (RE-ISSUED SEPTEMBER 2014) Review Date: DECEMBER 2014 Approved by: Distribution/Access: HR CORE GROUP Normal RECORD OF CHANGES DATE AUTHOR PROCEDURE DETAILS OF CHANGE 11.06 J Fleet PE/15 Changes to house style and review date only 02.08 A Gymer PE/18 Update and review only 10.10 O. Fulton 12.01 Update, house style legislative compliance, review date, Single Equality Scheme. May 14 P Hall 10.16 Policy number updated only ISSUE 5 DECEMBER 2010 11

EMPLOYEE RECORD OF HAVING READ THE POLICY APPENDIX 2 Title of Policy/Procedure: PERFORMANCE APPRAISAL AND DEVELOPMENT AND KSF ANNUAL REVIEW I have read and understood the principles contained in the named policy. PRINT FULL NAME SIGNATURE DATE ISSUE 5 DECEMBER 2010 12