Guidelines for conducting appraisals and individual performance reviews with staff: some practical tips

Transcription

1 Division of Clinical Psychology Information Leaflet No. 5 Produced by SDSC: The Service Development Subcommittee Guidelines for conducting appraisals and individual performance reviews with staff: some practical tips Christine D Netto, Head of Service, Department of Clinical and Counselling Psychology (MH), Campbell Centre, Milton Keynes Primary Care NHS Trust The British Psychological Society St Andrews House 48 Princess Road East Leicester LE1 7DR

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3 Introduction This paper aims to provide general guidelines on conducting appraisals and Individual Performance Reviews (IPRs) with staff. It may be helpful to use this guidance in conjunction with the specimen log included in the Division of Clinical Psychology (2001) booklet. These guidelines are not meant to replace local processes and structures that may already be in use, but simply to provide a helpful framework within which this important personal development review can be completed within the current requirements of clinical governance and professional self regulation. The phrases IPR Individual Performance Review and PDR Personal Development Review may also be used in this context. The guidelines are for appraisers and appraisees to use in preparation for, and during, the IPR. The purpose of appraisal There are many reasons for carrying out appraisals, some of which are listed below: to promote dialogue between individuals and their managers that offers a chance to express feelings and provide a fair exchange of views about the job; to provide an opportunity for successes to be acknowledged; to ensure that problem areas are acknowledged and addressed; to obtain and share information; to have a constructive discussion about how a person does his or her job which can be helpful to the individual and revealing to the manager; to establish acceptable standards of behaviour and performance and to assess how, in fact, the job is being done; to establish objectives for the future within the job. The appraisal interview should not be used as a sole opportunity to reprimand staff for poor performance or inappropriate actions. These should be dealt with at the time they occur. What is important is that everyone understands and agrees the purpose of the appraisal they are about to take part in. What to cover in an appraisal The appraisal should cover the following concerns in a balanced way: reviews of previous performance; assessment of the appraisee s aspirations; identification of the goals for the job over the next year; identification of a plan for professional development which affects training needs that: 3

4 - are required to help the appraisee to do the job effectively; - will meet some of the appraisee s personal professional development needs. identification of a longer-term career plan should the appraiser wish to cover this. The Appraisal Process There is no right way to conduct an appraisal interview. This is because it requires interaction between the manager and the appraisee, and, indeed, in some cases the collection of views and impressions from peers. The right way is whatever works best for the individuals involved. Ideally the manager should be a senior psychologist, and if he or she is not, another psychologist should be involved at some stage in the process. It is important to allow whatever time is necessary for the appraisal, even if this requires more than one meeting. A useful division is to have one meeting to review a defined period in the year and a second meeting to plan the future. It is important, therefore, to involve appraisees by asking them to prepare for the meeting and making sure that the appraiser does quite a bit less talking than the appraisee. Appraisals require preparation. An appraisal is not something which can just take place without any preparation. Thought needs to be given to the people involved, the environment in which it will take place, equipment, materials and the method to be used. For an example of a preparation check list, please see Appendix 1. Suggested appraisal interview structure As with other types of interview, the appraisal should have a clear structure to ensure that all parties are aware of what will be involved, to avoid digressions and to ensure that future actions are agreed and recorded. It is important that the appraisal interview is followed by actions and reviews not just placed in the personnel file. An appraisal interview with no further action is demotivating for the appraisee and a waste of time for everyone involved. Suggested headings Purpose Why is this appraisal being undertaken at this time and what are the expected outcomes? Agenda This could include a summary of the topics to be discussed, items on the preparation checklist and setting of objectives. Review Once all the items on the agenda have been discussed, the appraiser should summarise what has been said. Actions Any issues which require action should be listed on an action plan. Both parties should agree target dates for the completion of each item on the action plan. Personal development plan Agreed between the appraiser and appraisee. Signing off Both parties and relevant others should sign the action plan to signify that they agree with the contents. Review dates Interim and annual. 4

5 Personal development plan This part of the process should be set within the wider context of the person s aspirations, taking account of the demands of the present job. The appraiser s role is to help the person think through their long-term development and to advise them appropriately. Success criteria may be set. Objectives should be measurable and achievable within the context. From the wider long-term perspective, more specific short-term priorities can be derived. These will involve a balance of personal choice and the requirements of the job. It may be helpful at this point to decide whether it is important for objectives to be tied to timetables such as the organisation s financial year or strategic development goals. General discussion in this area might cover the following topics: the main aims of the job; medium-term and long-term aims and implications for the job; training implications and requirements, if any. In terms of personal and professional development the following checklist of options could be: working in other specialisms; short courses; private study; long-term study options such as further degrees and management courses; writing (papers or books); conference presentations; new working opportunities in the existing specialty; other. Include as many ideas as possible at this stage of the process. Determine a specific plan Decide how many days are allocated to private study and, or, training (this would depend on the local guidelines and agreements). Include any proposals for changes in the job description. Record long term career plans. It may be helpful to develop a personal log of continuing professional development for each member of the department. This could be along the lines of the Division of Clinical Psychology Guidelines (2001) or a local adaptation of these. 5

6 Reflection Having planned and undertaken any professional development activity, it is helpful to ensure that there is an opportunity for reflection on it within the appraisal interview. Reflection consists of: deliberation giving serious consideration to the activity; metacognition thinking about how one learns from activities. It can be facilitated by: allocating discrete time for reflection within the interview; recapturing experiences accurately, for example by replaying or recounting the activity; gaining perspective, for example by discriminating between development activities, drawing out practical implications of an activity; attending to the related feelings, for example by encouraging their expression; re-evaluating the activity, for example by connecting it to prior learning or by testing emergent ideas in the work context. These process of guided reflection can promote awareness of the relative benefits of the different development activities, consolidate effective learning strategies and assist the transfer of the learning to the work context. Constructive Feedback One of the most important requirements of appraisal is the need for effective feedback without feedback there can be no learning. Feedback should be specific, objective and timely, and clear. Wherever possible, there should be supporting evidence and actual examples. The amount of feedback given in appraisal is important. Feedback should be balanced between positive and negative feedback, where this is indicated. Positive feedback should be given before and after each item of negative feedback. Negative feedback should always be seen as a development opportunity and appraisees encouraged to seek their own solutions to problems encountered. The appraiser is responsible for providing support which will enable the appraisee to resolve any problem areas identified. Conclusions The appraisal process takes time and should allow for reflection and preparation. There should be no surprises. The discussion should focus on key issues and agree a reasonable job plan for the following year. This would include agreeing achievable objectives and relevant personal development plans for a defined period in the year. It is important to set up success criteria and milestones for this period and to set dates for interim and annual reviews. When agreement cannot be reached in some areas, a third party can be asked to help achieve agreement. 6

7 Suggested further reading Fletcher, C., and Williams, R. (1992) Performance Appraisal and Career Development. London: Stanley Thornes Ltd Division of Clinical Psychology (2001) Guidelines for Continuing Professional Development. Leicester: British Psychological Society 7

8 Appendix 1: Preparation Checklist Both the manager and member of staff can make the process work well and get the most out of it by preparing thoroughly and working positively together during the actual discussion. The preparation checklist is optional, but it can help the appraisee focus on the most important issues. Looking at the job description and person specification may also be useful. The following checklist of questions can form the basis of a discussion during the interview. What is it about your present job that you: like? dislike? What are your main strengths and weaknesses? Do you have skills or knowledge not used in your job? In doing your present job, what extra skills would you find helpful? Are there any changes you would like to make in your job? Did you have any major achievements or disappointments over the last year? How do you feel your job contributes to the overall purpose of the organisation? 8