TRUST POLICY AND PROCEDURE FOR APPRAISAL AND DEVELOPMENT REVIEW

Transcription

1 TRUST POLICY AND PROCEDURE FOR APPRAISAL AND DEVELOPMENT REVIEW Reference Number HR Version: 4 Status: Final Author: Jayne Dickenson Job Title: Head of Learning and Education Amendment History Version Date Author Reason 1 April 2006 T Riley Original Policy 2 August 2009 Linda Garnett Update 3 March 2011 Jayne Dickenson Major Amendments 4 May 2011 Jayne Dickenson Minor Amendments to respond to consultation feedback Intended Recipients: All employees excluding Directors and Medical staff. Training and dissemination: Update through intranet. HR support and advice team & KSF project team to provide ad hoc advice and support. To be read in conjunction with: Capability Policy, Health & Attendance policy, Employee Friendly policy, Equality, Human Rights and Inclusion Policy In consultation with and Date: KSF Project Team and relevant Stakeholders, March May Partnership Forum April 2011, Education, Training and Development Committee April 2011 and Trust Joint Council July HR and Workforce Committee, June 2 EIRA stage one completed Stage two N/A Procedural Documentation Review Group Assurance and Date Yes, July 2011 Trust Policy and Procedure for Appraisal and Development Review Human Resources July

2 Approving Body and Date Approved TMT July 2011 Date of Issue July 2011 Review Date Contact for Review Executive Lead Signature Approving Executive Signature July 2014 ( then every three years) Head of Learning and Education Director of Workforce Management Director of Workforce Management Trust Policy and Procedure for Appraisal and Development Review Human Resources July

3 Contents Page 1 Introduction 4 2 Purpose Aims and Scope 4 3 Definitions Key Responsibilities/Duties Reviewer/Line Manager Reviewee/Staff Member HR Information Team Directorate / Departmental Managers Director of Workforce Management Partnership Forum Education, Training & Development Committee HR & Workforce Committee Trust Joint Council 9 5 Principles of the Annual Development Review Outcomes of the Annual Development Review Deferment of pay at Gateway Review Dealing with capability problems Long term absence 11 6 Monitoring Compliance and effectiveness 11 7 References 11 Appendices Appendix 1 Personal Development Plans and SMART objectives 12 Appendix 2 Appraisal and Development Review Evidence 14/15 Appendix 3 Appraisal and Development Review Paperwork Appendix 4 Process for Annual Appraisal and Development Review 31 Appendix 5 Pay Progression Through Agenda for Change Gateways- Guidance Trust Policy and Procedure for Appraisal and Development Review Human Resources July

4 TRUST POLICY AND PROCEDURE FOR APPRAISAL AND DEVELOPMENT REVIEW 1. Introduction Derby Hospitals NHS Foundation Trust is committed to developing and maintaining a system of Appraisal and Development Review which aims to enhance the patient experience and ensure that all staff work to common goals to support the Trust s vision of Taking Pride in Caring. The NHS Knowledge and Skills Framework (KSF) supports this commitment by enabling the Trust to link the activity of its staff directly to competence and development. The KSF provides a framework for all staff (except Doctors, Dentist and Board Level Directors) to work to. It aims to ensure that staff are effective in their current jobs and provides them with support and the opportunity to develop and progress whilst working in the NHS. The Appraisal and Development Review process is intended to be ongoing and undertaken throughout the year with a formal appraisal and development review meeting taking place at least once during a 12 month period. Staff performance should be reviewed against the KSF outline for their job (which also incorporates behaviours) and the agreed SMART objectives (Appendix 1) for the individual within their post. 2. Purpose The Trust recognises that all staff are entitled to receive feedback on their performance and be given equal opportunity to develop the skills, knowledge, attitude and behaviours needed to do their job effectively. Everyone is responsible for ensuring the Appraisal and Development Review process is embraced and implemented across the Trust Aims and Scope This policy applies to all staff in the Trust (except for Doctors, Dentists and Board Level Directors). The policy identifies the roles, responsibilities and processes for 3 key activities: Reviewing progress against the requirements of the KSF outline for the role including associated behaviours and agreed objectives for the individual. Review of performance over the last 12 months including a review of previously agreed objectives and goals. Agreeing a Personal Development Plan and the setting of new SMART objectives for the coming year. (Appendix 1) 3. Definitions Appraisal and Development Review On an annual basis you and your appraiser (usually your line manager) will meet formally to discuss your progress during the last 12 months against your KSF outline and associated behaviours, agreed objectives and personal development plans. You will jointly identify and agree any development needs for the coming year and set new SMART objectives Trust Policy and Procedure for Appraisal and Development Review Human Resources July

5 for the forthcoming year. KSF e-ksf KSF Outline The Knowledge and Skills Framework relates to nearly all roles within the NHS (not Directors or medical staff). It reflects the level of skills and knowledge, responsibility and required behaviours within a role. It does not define qualifications and does not change pay banding. The electronic system for the Knowledge and Skills Framework, used for recording evidence, personal development planning and objective setting. The KSF full outline focuses on the knowledge and skills that need to be applied in an NHS job. The KSF outline will contain the 6 Core Dimensions, which staff will be measured against and the associated behaviours and actions. NB. The KSF outline is based purely on the role, it does not focus on the person in post. Foundation Subset Dimensions A reduced outline which shows the knowledge and skills required to be met and applied by the end of the first year in post. Dimension is the name of the criteria needed to be met e.g. Communication, Equality & Diversity. There are 6 core dimensions, which apply to all jobs. Specific Dimensions Level Examples of Application Positive Indications (Behaviours) Warning Signs (Behaviours) There are 25 role specific dimensions. These are optional requirements of an outline and can be selected for development purposes as required. Dimensions are split into 4 levels. The level goes up with the increasing range and/or complexity within a role. The level may not automatically increase as roles become more senior. These give examples of the behaviours and actions that need to be displayed to meet the requirements of the role. These are the behaviours and actions which demonstrate that the knowledge and skills in a dimension are present. These are the behaviours and actions which demonstrate that the knowledge and skills in a dimension are absent. Trust Policy and Procedure for Appraisal and Development Review Human Resources July

6 Foundation Gateway Second Gateway Personal Development Plan SMART Objectives Reviewer/Line Manager Directorate/ Departmental Managers Twelve months after you start in a new role, you need to demonstrate that you are meeting the minimum requirements in the subset outline. You need to demonstrate that you can meet all the requirements expected in the full outline for your role in order to progress above this pay point to the top of the pay band. (You move out of the highlighted pay point) From your Appraisal and Development Review you and your appraiser will identify learning activities and any aspects of your role in which you need to develop and help you to achieve your objectives. SMART objectives must be specific, measurable, achievable, realistic and timely. The person who undertakes the Appraisal and Development Review The Reviewer/Line Managers manager. Reviewee The staff member being reviewed 4. Key Responsibilities/Duties 4.1 Reviewer/Line Manager Reviewers/Line Managers are expected to deal with all staff equitably and fairly. Reviewers/Line Managers need to continually assess the overall work performance of staff they are responsible for and meet with them regularly to feed back on their performance. Feedback should also be provided informally on a regular basis. All feedback is to be given in a positive, constructive and supportive manner. Appraisal and Development Review meetings must take place in line with incremental progression. Evidence should be provided by the reviewer/line manager to substantiate decisions on an individual s development and achievement of agreed objectives. There should not be any surprises raised at the appraisal and development review meeting. Any issues regarding performance must have been raised prior to the formal annual appraisal and development review meeting. Where a gateway review is being undertaken it is the directorate/departmental manager s responsibility to ensure the completion of the gateway return form. (available from Directorate HR Manager). Under normal circumstances the directorate/departmental manager should undertake an individual s appraisal and development review. The Trust recognises that in some circumstances the role of appraiser needs to be delegated. The role of appraiser can be Trust Policy and Procedure for Appraisal and Development Review Human Resources July

7 delegated to an individual s supervisor or other appropriately trained member of staff. Both the delegated appraiser and the individual must be made aware of the delegated responsibility. Where an appraisal and development review is delegated, the directorate/departmental manager retains responsibility for ensuring that this has been satisfactorily completed. Appraising teams In some circumstances team appraisals may be a viable option. Team appraisals may be appropriate if a group of staff: Do the same or complimentary jobs Works as a highly interdependent team to achieve a common objective Works from the same location or mobile unit In these circumstances team appraisals must: Be approved by the Director/Head of Service responsible for the area where team appraisal is taking place. Be with a team no larger than 12 staff ideally less Never be viewed as an easy alternative. Team appraisals should follow the same format as an individual appraisal and development review being led by the line manager/reviewer and the following considered: Performance against current team objectives Planned objectives and goals for the team for the coming year The application of knowledge and skills within the workplace The development needs of individual staff All team members must have the opportunity to request an individual follow up with their appraiser and it is imperative that any staff absent from the team appraisal are updated separately, at the earliest opportunity. Team appraisal must not be undertaken with staff that are being appraised and reviewed for either the foundation or second gateway. 4.2 Reviewee/Staff Member Reviewee/Staff Member is the person whose performance, achievement and overall development is being reviewed. The reviewee and the reviewer are jointly responsible for making sure they are familiar with the KSF outline for the job as well as the previously agreed objectives and personal development plan. The reviewee is expected to take an active part in the appraisal and development review including collecting evidence to support the skills and knowledge gained and/or developed over the 12 month period. Records of learning and development should be maintained and individuals show how they have applied their learning and development in the workplace. Evidence can be demonstrated in a number of ways. (Appendix 2) Trust Policy and Procedure for Appraisal and Development Review Human Resources July

8 4.3 HR Information Team It is expected that the majority of appraisals and development reviews will be undertaken using e- KSF. Once this is signed off by the reviewer/line manager and the reviewee, notification is automatically sent to confirm the appraisal has been completed. Where there is a service need to continue using the paper based system this should be completed in full and the personal details form sent, by the appraiser, either via internal post to the HR Information Team at 5 th Floor, Royal Derby Hospital or via to Appraisals-HR@derbyhospitals.nhs.uk This will confirm that the appraisal and development review has been completed. If the personal details form is not sent/ ed the staff member will show as non-compliant for having an appraisal in the last 12 months. Reporting Appraisal compliance reports are sent on a monthly basis to Directorate HR Managers to disseminate to all service managers and senior nurses. These reports provide the following information: Details of appraisal and development reviews completed against agreed targets Who is due for an appraisal and development review and when (rolling 12 months) Details of anyone who is due a Gateway review In the first instance, any queries relating to these reports should be directed to the relevant line manager responsible for appraisals and development reviews. 4.4 Directorate/ Departmental Managers Directorate and departmental managers are expected to ensure compliance, consistency, equity and fairness across the directorate/department. They should review the collated PDP s and agreed objectives and assess training needs for the directorate/department and determine priorities dependent on financial and service needs. Managers retain overall accountability to ensure Appraisal and Development Reviews are undertaken for all staff they are responsible for and any decisions relating to Gateway progression. 4.5 Director of Workforce Management The Director of Workforce Management has responsibility for ensuring implementation and monitoring of HR Policies and Procedures. This work is operationally overseen by the HR and Workforce Committee, and appropriate briefings will be made to both Partnership Forum and Trust Joint Council. 4.6 Partnership Forum This Forum is responsible for the development of HR Policies and Procedures to ensure that the Trust meets employment legislation, good workforce practice and NHSLA Standards. 4.7 Education Training and Development Committee This Committee contributes to the strategic direction for education, training and development in the Trust and monitors implementation of key objectives. It leads and coordinates organisation wide education, training and development. The committee provides Trust Policy and Procedure for Appraisal and Development Review Human Resources July

9 assurance and evidence to assist in meeting national, regional and local education standards. 4.8 HR and Workforce Committee This Committee is responsible for the approval and monitoring of HR Policies and Procedures to ensure that the Trust meets employment legislation, good workforce practice and NHSLA Standards. 4.9 Trust Joint Council This council provides formal channels for consultation and negotiation by agreeing and providing the scheme of work for the Partnership Forum and considering and agreeing the recommendations from the Partnership Forum in the formulation of this policy and it s associated procedures 5. Principles of the Annual Appraisal and Development Review The following principles underpin the annual Appraisal and Development Review process: Every post will have a current job description, person specification and KSF outline. The KSF outline will consist of the 6 Core Dimensions, Positive Indicators/Warning Signs (Behaviours). SMART objective(s) will be agreed for each staff member. Each member of staff will have an annual Appraisal and Development Review which will take place no less than 8 weeks before the employee s increment date. Incremental dates are identified in the Trust Starting Salaries on Appointment Policy. Existing staff who were at the top of their pay scale at the time of Agenda for Change assimilation have an increment date of 1 st October, all other staff will retain their current increment date. Staff working towards their Foundation Gateway must have reviews at 3 and 6 months. During the Appraisal and Development Review all decisions must be recorded. The Trust will ensure that all staff are provided with the appropriate training required for KSF. This training is available in 3 modules as follows: 1. KSF Knowledge information session to provide knowledge and understanding of KSF to managers. Managers will cascade this information to their staff. 2. Appraiser Training provides skills to carry out effective Appraisal and Development Reviews 3. e-ksf Training shows you how to use the e-ksf tool for Appraisal and Development Reviews both reviewers and staff members If agreement can t be reached between both parties on the Appraisal and Development Review, recourse will be through the Trust s Grievance Procedure. Trust Policy and Procedure for Appraisal and Development Review Human Resources July

10 Appendix 4 outlines the key steps within the Annual Appraisal and Development Review process. 5.1 Outcomes of the Annual Development Review The joint formal annual Appraisal and Development Review meeting will normally end in agreed decisions between the reviewer/line manager and the reviewee/staff member. This will include: A completed review of the individual s work against the KSF outline using the positive indicators/warning signs to inform the discussion and decisions. A review of previously agreed objectives Identification of progress and development needs Appraisal and Development Review, signed off by both parties to confirm the review has been completed At the gateway Appraisal and Development Review a gateway return form must be completed and forwarded to Payroll, by the directorate/departmental manager. Information relating to staff at a gateway must be collated and reviewed by the Associate Director, prior to notification of pay progression. Collated review outcomes will be used to inform the Trust/Directorate training needs analysis. 5.2 Deferment of pay at Gateway Review There should not be any surprises raised at the Appraisal and Development review meeting. If an individual is not able to meet the requirements of the gateway, further support, training and development must have been identified and provided as per the Trust s Capability Policy. If Reviewers/Line Managers wish to defer payment they must seek advice from HR Support & Advice team. If deferment is confirmed, it is the directorate/departmental manager s responsibility to complete the gateway return form and ensure that HR has all the necessary details relating to dates of deferment and subsequently when deferment is lifted. Please refer to the Pay Progression through Agenda for Change Gateways - Guidance Notes. Once an individual has attained the required gateway levels for the role, the increment will be paid from that date. Deferment of pay progression does not change the individual s future incremental date. Pay can not be deferred at the gateway Appraisal and Development Review if, through no fault of their own, the reviewee is unable to demonstrate the knowledge and skills required at the gateway, due to any of the following: Financial constraints imposed by the Trust Inadequate managerial support Time constraints resulting in being unable to be released from workplace Required training being unavailable Trust Policy and Procedure for Appraisal and Development Review Human Resources July

11 5.3 Dealing with capability problems Capability issues should be dealt with separately from career and pay progression. Advice should be sought from the HR Support & Advice team at the earliest opportunity. However, where the Trust Capability Policy process is underway, pay progression can be deferred until issues are resolved. 5.4 Long term absence Where it is known that a staff member will be undertaking a planned period of long term absence and the incremental date is within 6 months of the initial start date of absence then the appraisal and development review process can be brought forward to a mutually convenient time. A staff member needs to have completed 12 months on a pay point before a further increment(s) are paid e.g. career break. Where an unplanned period of sickness absence means that the staff member is unavailable to attend their gateway appraisal and development review and they have been performing at a satisfactory level, their pay review will be backdated on their return to work 6. Monitoring Compliance and Effectiveness The key requirements will be monitored in a composite report presented monthly to Education, Training and Development Committee and Bi-monthly to HR and Workforce Committee: Monitoring Requirement : Monitoring Method: Report Prepared by: Monitoring Report presented to: Frequency of Report Reporting of Appraisal and Development review compliance rates in line with Trajectorys Monthly reports to Directorates and Corporate Service Heads Analysis of percentage compliance rates for the Trust and Directorates HR Information Team Education Training and Development Committee Monthly and HR and Workforce Committee Bi-Monthly Monthly The HR Information Team produces monthly reports, which are sent to Directorates for dissemination to establish compliance and commitment to following the process. This will support Appraisal and Development Reviews taking place in line with policy. This will also be reported to the Education, Training and Development Committee and the Partnership Forum 7. References Further information can be found on the KSF webpage at the following address or the KSF team on dhft.eksfqueries@nhs.net Trust Policy and Procedure for Appraisal and Development Review Human Resources July

12 Appendix 1 Personal Development Plans and SMART Objectives Personal Development Plans Each department/directorate is expected to collate individual Personal Development Plans in order to identify and prioritise the overall learning and development activities that will be required, this will be presented in an annual training needs analysis. In setting priorities Reviewers and/or departmental managers need to consider the following; Employees who need to achieve the requirements of their KSF gateway Planned Service developments and the training needs that arise from this Changing work roles in the department/directorate and the training needs that arise from this Succession planning and career development requests Resources available including time and funding SMART Objectives Each department/directorate is expected to have SMART objectives in line with the organisational objectives (PRIDE). In setting individual objectives reviewers and/or departmental managers need to consider the following: Understanding of the Trust s organisational objectives and the relationship to their department The link between the objective being agreed for the individual and the intended outcomes in relation to service improvement and quality agendas Reference to the Trust s agreed SMART objective framework Trust Policy and Procedure for Appraisal and Development Review Human Resources July

13 Appendix 2 Appraisal and Development Review Evidence In order to effectively and fairly review an individuals performance in their job, both the reviewee/staff member and the reviewer/line manager need to be clear about what is to be achieved, what the expected outcomes are, how it will be measured and by when. There are 2 sources of reference for the review process: The KSF outline for the post the individual holds Previously agreed objectives At the appraisal meeting, the KSF outline and the previously agreed objectives for the post should be used for the basis of discussion. Who should collect evidence? Both the Reviewer/Line Manager and the reviewee/staff member should collect and present evidence to support the levels of achievement being claimed. Employees can access a Portfolio from the KSF intranet pages. The Portfolio enables employees to collect evidence and reflect on development opportunities. What is evidence? Evidence is proof that either the Reviewer/Line Manager or the individual provides in order to demonstrate achievement of a particular area of their KSF outline or an agreed objective. In the context of the KSF, examples of application related to the outline will identify how this will be recognised. Evidence can be used to demonstrate: achievement towards dimensions in the KSF outline progress towards agreed objectives progress towards an activity in the individuals current personal development plan Evidence can be taken from a number of sources and can include: Verbal feedback from the individual, the Reviewer or others questioning, reflection, learning from meaningful events. Written work produced by the employee reflective diaries, staff portfolios Electronic work produced by the employee s, reports, project work Records of work - such as minutes/notes of meetings showing the individual s contribution Five rules of evidence Trust Policy and Procedure for Appraisal and Development Review Human Resources July

14 Valid Authentic Sufficient Current Reliable Does it meet the needs of the dimension it is being put against? Can it be attributed to the individual? Is there enough evidence to confirm achievement? Is it up to date and still relevant? Does it reflect the required knowledge and skills? Factors to consider when providing evidence: Both parties have a responsibility, to collect evidence for the appraisal and development review meeting The appropriate form of evidence should be identified and agreed with the KSF outline or when setting objectives Wherever possible use the same piece of evidence for several dimensions and /or objectives - for example resolving a problem with a patient/colleague may provide evidence for both the communication and the service improvement core dimension Evidence must be appropriate to the post The appraisal of performance should not be a paper chase as all of the evidence should be available naturally in the workplace. Trust Policy and Procedure for Appraisal and Development Review Human Resources July

15 Appraisal and Development Review Process The Appraisal and Development Review Policy should be read before completing this paperwork. Appendix 3 Information on KSF /e-ksf can be found on the Trust intranet under the tab For staff The completed appraisal and development review paperwork must be kept in the reviewee s personal file and a copy retained by the staff member. These files will be subject to normal Data Protection legislation. Evidence collected for a review shows that an individual is meeting the indicators within the dimensions that are applicable to the job role. Reviewing evidence is an on-going process between the Reviewer and Reviewee. The appraisal and development review meeting is to evaluate the evidence and formulate the next year s Personal Development Plan and Objectives. Both parties need to prepare for the annual review meeting and the following should be considered: What the individual and the reviewer feel has gone well since the last review. Is there something specific that has helped this e.g. training/shadowing/support Discuss this year s development and how it has been applied in the job role. Identifying any development needs for the forthcoming year Where the individual has achieved against last years Personal Development Plan (PDP) Discuss and ensure the individual understands the team objectives for the coming year & how they can contribute. If there is anything the individual could do differently over the following year Any career ambitions Anything else that the reviewee or reviewer wishes to discuss 15

16 Development Review Information Name: Job title: Department: Employee number (from pay slip): Date review undertaken: Is this a gateway review? (If yes please state which) Name & Job title of reviewer: Please forward a copy of the information above to the Human Resources Information Team, Human Resources, 5th Floor Royal Derby Hospital or Appraisals-HR@derbyhospitals.nhs.uk with the subject of the stating Appraisal and Development Review Completed. 16

17 KSF Review Using the KSF outline relevant to this post review and record the progress made. NOTE* Evidence has a lifespan maximum of 3yrs; Only at Gateway Reviews do all indicators within all the dimensions have to be met, therefore after going through the foundation gateway (1 st year subset) you may agree that certain indicators/dimensions may be the focus for the forthcoming year. KSF Core Dimension Outline Level Current Level Evidence Communication Behaviour Behaviours demonstrated Evidence for decision Comments Positive Indications Warning Signs 17

18 KSF Core Dimension Outline Level Current Level Evidence Personal & People Development Behaviour Behaviours demonstrated Evidence for decision Comments Positive Indications Warning Signs 18

19 KSF Core Dimension Outline Level Current Level Evidence Health Safety & Security Behaviour Behaviours demonstrated Evidence for decision Comments Positive Indications Warning Signs 19

20 KSF Core Dimension Outline Level Current Level Evidence Service Improvement Behaviour Behaviours demonstrated Evidence for decision Comments Positive Indications Warning Signs 20

21 KSF Core Dimension Outline Level Current Level Evidence Quality Behaviour Behaviours demonstrated Evidence for decision Comments Positive Indications Warning Signs 21

22 KSF Core Dimension Outline Level Current Level Evidence Equality & Diversity Behaviour Behaviours demonstrated Evidence for decision Comments Positive Indications Warning Signs 22

23 NOTE* Specific dimension(s) to be added for Career Development KSF Specific Dimension(s) Evidence 23

24 Development Review Staff Comments: Signed: Date: Reviewer Comments: Signed: Date: 24

25 Personal Development Plan Lists the activities that will enhance your performance in your job or as part of succession planning NOTE* This will include all mandatory training identified for the job. Priority Key: Mandatory, Essential to role, Desirable for organisation, Desirable for individual Status key: achieved/not achieved Activity Target Completion Date Learning Aim/Purpose Priority (see key) Linked to which KSF dimension(s) Status 25

26 Activity Target Completion Date Learning Aim/Purpose Priority (see key) Linked to which KSF dimensions Status 26

27 Personal Development Plan Staff Comments: Signed: Date: Reviewer Comments: Signed: Date: 27

28 Objectives (SMART) for the forthcoming year Status key: achieved/not achieved/carried forward Performance Objective Target Completion Date Constraints Identified Action Plan & Evaluation Process Status/ comments 28

29 Objective(s) Staff Comments: Signed: Date: Reviewer Comments: Signed: Date: 29

30 Appendix 4 Process for the Annual Appraisal and Development Review Timescale Who Action 3 months prior to increment date To take place no less than 8 weeks prior to incremental date Minimum of 2 weeks prior to the review meeting At the Annual Development Review e-ksf system/ monthly reports via HR Information Reviewer/Line Manager Reviewer/Line Manager Reviewer/Line Manager / Reviewee/Staff Member s the reviewer/reviewee to notify that appraisal is due. Arranges annual appraisal & development review meeting with reviewee. Prepares for the annual appraisal and development review using either the development review paperwork or e-ksf The Appraisal & Development Review meeting in which the following is discussed: Review KSF Outline through the discussion of evidence - appraisal Agreeing and reviewing objectives - appraisal Exploring development opportunities Dev Review Creating a Personal Development (PDP) PDP s signed off and agreed. Annual Appraisal and Development Review forms completed and confirmation sent to the Directorate Appraisal co-ordinator Both the reviewee and the reviewer prepare evidence throughout the year for the discussion are at evidence the annual throughout development reviewer meeting. Informal discussions held over the 12 month period 30

31 Appendix 5 Pay Progression Through Agenda for Change Gateways Guidance Notes

32 Contents Page No. 1. Introduction 2 2. Scope 2 3. Gateways Appointing New Staff 3 5. Process to follow to progress through Gateway Dealing with a problem at the Gateway Review Appraisal/Development Reviews 6 8. Extenuating Circumstances Review of Deferral Decision Monitoring of Pay Progression Integration with Other Trust Policies 8 Appendices Gateway Management Template i Frequently Asked Questions ii Foundation Gateway Process Flowchart iii Second Gateway Process Flowchart iv - 1 -

33 Pay Progression through Agenda for Change Gateways Guidance Notes 1. Introduction 1.1 These guidance notes set out the process of pay progression through the Agenda for Change (AfC) Gateways. 1.2 AfC Gateways occur at times during a career when a particular level of performance and application of knowledge/skills is expected of a person in their role in order to ensure pay progression. Before progression through a Gateway can occur, a Gateway Review should take place in order to assess an employee s performance. 1.3 The existing knowledge and skills of the employee should fully meet those specified in either their KSF sub-set (Foundation) or full KSF Outline for their post. 2. Scope 2.1 These guidance notes apply to all employees employed under Agenda for Change Terms and Conditions of Employment. In accordance with the Trusts commitment to equality and diversity, these guidelines must be applied fairly and consistently to all AfC employees. 2.2 The guidance seeks to underpin the importance of providing individual support and feedback on an employee s performance and progress. 2.3 Pay Progression at incremental points other than Gateway points will occur as per the Agenda for Change Terms and Conditions Handbook. 3. Gateways 3.1 There are two gateways in each of the nine pay bands: Foundation Gateway this takes place no later than 12 months after an employee is appointed to a pay band regardless of the pay point. This applies to newly appointed or promoted employees. Second Gateway this is set at a fixed point towards the top of a pay band as set out in the National Agreement and reproduced in the table below: - 2 -

34 Pay Band Position of Second Gateway Pay band 1 Before final point Pay band 2-4 Before first of last two points Pay band 5-7 Before first of last three points Pay band 8, ranges A-D Before final point Pay band 9 Before final point 3.2 At both the foundation and second gateway, the employee will be required to provide evidence to demonstrate they have met their objectives and/or application of the knowledge and skills necessary to progress through the Gateway. 4. Appointing New Staff 4.1 All newly appointed employees to the NHS should under most circumstances commence at the entry point of the pay band in accordance with AfC. Managers should have a discussion with any newly appointed employees within the first month to ensure that they understand their objectives and KSF Outline. 4.2 A further meeting should be held approximately 5/6 months after the employee commenced their post in order to review their performance and progress against their objectives/ksf outline. A Gateway Review should take place approximately 9/10 months after commencement (2/3 months prior to Foundation Gateway Increment), to determine if the individual should progress through the Foundation Gateway. 4.3 Newly appointed employees entering the pay band beyond the Second Gateway Point should demonstrate and provide evidence that they are meeting their objectives or full KSF Outline. 5. Process to follow for progression through a Gateway 5.1 It is the responsibility of the line manager to conduct annual appraisals/development reviews and Gateway Review meetings. Managers will be provided with reports detailing the dates for second Gateway

35 5.2 Within the Gateway year, it is advisable to schedule two Gateway Review discussions. The first discussion regarding approaching Gateway Review should take place at approximately 5/6 months into the Gateway year; in order to allow time for discussion and/or action where the employee may not be meeting a satisfactory level of performance or progress. The Gateway Review (either foundation or second Gateway) should take place approximately 9/10 months into the Gateway year (2/3 months prior to the Gateway Increment date). At this point a discussion should take place with the employee to consider whether they are to progress through the gateway or whether there will be a deferment. 5.3 Any decision to defer pay will be the responsibility of the line manager. In cases where there is deferral of pay progression it is advised that the manager discuss the case with their line manager and a member of Human Resources before the employee is informed. The manager may be asked to provide information to support their decision. 5.4 It is the responsibility of the manager to ensure that they complete the Gateway Management Form (Appendix 1), providing details of whether an employee is able to proceed through their Gateway Increment or if a deferral needs to take place. The Gateway Management Form should be ed to Pay Services and copied into the Directorate Human Resources Manager (HRM) no later than 8 weeks before the Gateway Increment Date. A delay in completing this form (Appendix 1) will result in the employee not progressing through the Gateway increment. If there is a delay in submitting this form, the increment date will be backdated along with any monies owed to the employee. Managers will be held to account for any delays in submitting this form this may include a sanction being given. 5.5 Managers should be consistent in their management of gateway progression. 6. Dealing with a problem at the Gateway Review 6.1 Deferment may be deemed appropriate due to a variety of reasons for example; Unable to demonstrate the application of the knowledge and skills outlined within the KSF Outline Not met their personal development plan including attendance on training/development programmes (not as a result of an organisational reason) Not met objectives Not met a performance improvement plan Been unable to apply learning and development Criminal Proceedings Disciplinary Sanctions Where there are any concerns regarding an employee s performance, discussions should take place with the employee as soon as possible

36 Managers may refer to the Performance and Competence Policy for guidance on the principles of holding such a discussion or contact the HR Support and Advice Team. Where significant weaknesses or gaps in performance in their current post have been identified, discussed and documented with the employee concerned, the Performance and Competence Policy should be invoked. 6.2 Considerations of Organisational Issues In reaching their decision managers should give due consideration to whether there are any justifiable organisational reasons (see below) why the employee has been unable to demonstrate they have met their objectives and/or necessary skills for the appropriate Gateway and in these circumstances there should be a full discussion and decision as to whether the reasons would justify progression. Examples of organisational reasons could be: a) No opportunities given for the employee to discuss any performance issues with their manager b) The manager has failed to raise performance issues prior to the final Gateway Review c) Lack of support/training, i.e. manager not providing agreed development opportunities. The above list is not exhaustive. 6.3 Deferment - Actions to be taken In the event that deferment is to take place, the following actions should be taken: The decision to defer pay progression at a gateway should be communicated to the employee both verbally and in writing by the line manager. The employee must be informed if the Performance and Competence Policy has been invoked. A short term Gateway Action Plan for gateway achievement should be completed and agreed * The action plan should clearly identify the personal development objectives/ksf dimension and levels to be achieved. The action plan should outline any training or development programmes that should be attended. The action plan should state timescales to reflect the work required and set out review periods. A further review meeting date should be arranged; where the employee must provide evidence that they have met their Gateway Action Plan. Advice sought from the HR Support and Advice Team

37 * Please note that an action plan could be one instance of training to be undertaken within a set timescale. Pay progression will resume from the date on which the line manager confirms that the employee s performance is of a satisfactory standard to progress through the Gateway. The manager will need to complete the Gateway Management form (Appendix 1) and return this to the Directorate HR Manager in order for the employee to progress through the Gateway. The pay increase is not backdated to the original due date; however, the deferral does not affect the employees incremental date and pay progression will continue as normal once the employee has progressed through the Gateway. 7. Appraisal/Development Reviews 7.1 Appraisal/Development Reviews should continue regardless of whether the employee has achieved the full KSF outline and/or are at the top of their pay band. This is to ensure performance continues to be of a satisfactory standard and that the employee is continuing to meet any performance objectives and develop as appropriate. 8. Extenuating Circumstances 8.1 Maternity Leave/Adoption Leave/Paternity Leave A Gateway Review would take place upon their return in retrospect. If the employee is being managed under the Trust s Performance and Competence Policy at the time of their maternity leave commencing, it may be possible to withhold the pay increment until the employee returns to work. 8.2 Parental leave/carers leave/extended Jury Service Managers are encouraged to ascertain whether a Gateway may occur during the absence and plan ahead to undertake the Gateway Review before the leave of absence occurs. 8.3 Career Break In accordance with Career Break Policy, an employee pay point will be frozen at that pay point that they have achieved at their last working day. The employee will therefore return to work at the same pay point they were at prior to the commencement of the career break. A review would need to be undertaken within a one month of returning to identify their training and development needs in line with their KSF outline/performance objectives

38 8.4 Long Term Sickness Employees on long term sickness should progress through a gateway and receive pay progression. However, on return to the workplace the manager and employee should jointly agree a review date that is no later than three months after return. 8.5 On Secondment Employees who are on secondment or acting into another post (i.e. is a temporary role not their substantive role) should continue to be assessed against a KSF outline and/or objectives. Appraisals and Gateway review discussions should take place to ensure performance continues to be of a satisfactory standard and that the employee is continuing to meet any performance objectives and develop as appropriate. 9. Review of the Deferral Decision 9.1 Where pay progression is deferred the employee may request a meeting with their Line Manager to discuss the reasons for the decision. Where following the meeting the employee remains dissatisfied, they can ask for a review of the decision by the next level of management, this must be made within 14 days from the date of the meeting with the line manager. 10. Monitoring of Pay Progression 10.1 The HR and Workforce Committee will monitor the pay progression statistics to ensure that there is no discrimination or bias in relation to age, disability, race, nationality, ethnic origin, gender or employment status. The Committee will then report assurances and concerns to the Equality and Human Rights Steering Group The responsibility for pay progression will lie entirely with the manager. To facilitate this, staffing reports are available from Human Resources Workforce Information team (e.g. incremental dates, pay bands, pay-points) 10.3 Monitoring of pay progression will occur across the Trust and within each Directorate. 11. Integration with Other Trust Policies 11.1 These guidance notes should be read in conjunction with the Trust s Appraisal and Development Review Policy and the Capability (Performance and Competence) Policy