Appraisal Policy. Policy: HR13

Transcription

1 Appraisal Policy Policy: HR13 Policy Descriptor This policy sets out the Trust s policy and process for the management supervision and appraisal of staff. Do you need this document in a different format? Contact PALS or dpn-tr.pals@nhs.net Document Control Policy Ref No & Title: HR13 Appraisal Policy Version: v3.1 Replaces / dated: Previous policy dated June 2013 Author(s) Names / Job Title responsible / Ratifying committee: Director / Sponsor: Primary Readers: Additional Readers: Date ratified: 21 st February 2017 Date issued: March 2017 Date for review: March 2019 Date archived: Ami Speyer Workforce Development Lead Ami.speyer@nhs.net Local Partnership Forum Helen England, Director of Strategy, Organisational Development and Workforce All Staff

2 Contents 1. Introduction Purpose Scope of Policy Principles Definitions Duties Preparing for the Appraisal Meeting Collection of Evidence Pay Progression The Appraisal Meeting The Personal Development Plan (PDP) After the Meeting KSF Preceptorship Monitoring

3 1. Introduction 1.1. The Trust is committed to developing and maintaining a system of performance appraisal which aims to enhance services for people using them and their families, and ensure that all employees are working to common goals in line with its strategic aims. The appraisal process will be framed within a learning and supportive environment and used as a tool to contribute to positive working conditions and to empower staff by making them feel valued Appraisal is seen as a key component of good management practice and research evidence shows that regular appraisal has a direct and positive impact on both organisational performance and patient care. The appraisal process aims to strike a balance between reviewing competence and performance, agreeing objectives and identifying any learning and development needs to help the employee meet them The Trust also recognises the importance of effective management supervision of all staff. Regular management supervision should result in better communication, clearer priorities and objectives, improved performance and motivation and early warning of any problems. It should also help inform learning and development planning within the organisation. 2. Purpose 2.1. This policy sets out the requirements for managers and staff to undertake annual performance appraisals. It also sets out the process that managers and staff should follow when carrying out an appraisal and its links to the Trust s strategic aims and values The purpose of the appraisal process are: To ensure that staff feel confident and clear about their current role To remove barriers and maximise performance To reinforce the Trust s values and behaviours To ensure that the staff member s contribution is valued and good performance is acknowledged and that any entitlement to pay progression is appropriate To set objectives that are aligned to the Trust s priorities for the year ahead To identify a range of ways that the staff member can development To explore opportunities for career progression 3. Scope of Policy 3.1. This policy applies to all staff employed by Devon Partnership NHS Trust, excluding medical staff who are covered by a separate Appraisal policy Although linked, the delivery of supervision is covered in the Supervision Policy G20, which should be read in conjunction with this policy Separate review arrangements exist for newly qualified band 5 staff as set out in the Preceptorship Policy 4. Principles 4.1. Prior to undertaking appraisals all managers/appraisers will participate in appropriate training and take steps to maintain their competence each year. 3

4 4.2. Staff appraisal is considered a vital part of a manager s role and therefore all managers are expected to carry this out effectively. Appraisals are monitored centrally and will be a key performance indicator for managers The appraisal meeting should contain no surprises and any issues with performance should be dealt with as they occur through management supervision Separate online appraisal documentation will be used on the DEVELOP system The appraisal process will be carried out in accordance with good employment practice in terms of ensuring equality of opportunity and management of diversity. New staff are excepted to receive their first appraisal within 3-4 months of commencing in their new role Appraisal will incorporate a Grandfather Clause meaning that where there is a dispute between the appraiser and appraisee in respect of achievement of or setting of objectives the appraisers manager will objectively review the documentation to validate its quality and accuracy and attempt to resolve the dispute. 5. Definitions 5.1. Appraisal Trust wide process for reviewing performance, ensuring staff have clear objectives and a personal development plan Appraisee person who is being appraised as part of this process Appraiser manager or delegated person who undertakes the appraisal KSF The NHS Knowledge and Skills Framework 5.5. Management Supervision A process of regular meetings between a staff member and their line manager designed to support the employee and allow for discussion and resolution of any problem areas with their work. For caseload holders this will include a case-load review Professional Portfolio a system (either electronic or paper-based) for collecting evidence to support continuing professional development Preceptorship a period of comprehensive support to enable newly qualified professional staff to assist in the transition from student to accountable professional Pay Progression - Incremental pay progression for all pay points will be conditional upon individuals demonstrating that they have the requisite knowledge and skills/competencies for their role and that they have demonstrated the required level of performance and delivery. 6. Duties 6.1. Directors, Managing Partners and Head of Professions will be responsible for: Implementing and monitoring this policy within their directorate including ensuring that all managers and staff participate fully in the process and addressing this where it is not the case Ensuring that all job descriptions for managers and team leaders within their directorate specify the requirement to supervise and appraise staff 6.2. The Workforce Directorate will be responsible for: 4

5 Reviewing and updating the policy in conjunction with staff side. Supporting the implementation of the policy including the provision of appropriate training to managers Monitoring implementation of the policy across the Trust Using the Personal Development Plans to inform the annual training plan Maintaining DEVELOP the system used to enable managers and staff to record supervisions and appraisals 6.3. Appraisers (line managers or delegated staff) will be responsible for: Ensuring that all staff within their team participate on an annual appraisal Arranging and carrying out appraisal meetings for staff they line manage and completing the relevant online paperwork with the employee Ensuring, where appropriate, that colleagues such as professional leads are involved in the appraisal process Attending training to develop and maintain skills in appraising staff including setting objectives and managing performance Delegating appraisals as appropriate within the team structure and ensuring that all appraisers receive appropriate training Ensuring that appraisees receive appropriate support and guidance to allow them to fully participate in the appraisal process Identifying and agreeing appropriate learning opportunities for staff and supporting individuals in achieving them 6.4. Appraisees will be responsible for: Collecting evidence throughout the year to demonstrate competence against their post and achievement of their objective Actively participating in the review of their own development and progress towards agreed objectives through regular supervision Undertaking agreed development and applying the learning to the workplace Completion of relevant documentation with their appraiser. 7. Preparing for the Appraisal Meeting 7.1. In order for the appraisal to be effective and useful both parties need to be actively involved in the preparation as well as in the meeting. In order to prepare for the meeting both the appraiser and the appraisee should have: Adequate notice and protected time to prepare Copy of the paperwork from the last appraisal (if available) 5

6 Access to the online appraisal paperwork Folder of evidence the employee has collected over the year to demonstrate application of knowledge and skills Evidence of any issues raised in the previous 12 months and any actions taken 7.2. It is important that appraisers should be monitoring staff performance throughout the year using management supervision, offering both praise and constructive feedback on a regular basis. As such, the appraisal meeting should contain no surprises The guidance notes issued with this policy will help both the appraiser and the appraisee with preparing for the meeting. 8. Collection of Evidence 8.1. There should be some evidence of any development undertaken and, more importantly, how this has been put into practice. Many staff will already have professional portfolios (either paper-based or electronic). New and existing staff who are required to keep a portfolio for their revalidation will also be provided with access to the online portfolio on DEVELOP Staff may also need to provide evidence that they are still compliant with certain role-based competencies in order to carry out functions such as mentoring The collection of evidence should not be a paper-chase but may include some of the following: Written work that had been produced as part of a course/project or leaflet for the workplace Electronic work (i.e. s, reports) Verbal feedback from individual, manager, staff, service users or carers Learning logs containing self-reflection that can be shared Thank you cards Observation and or discussion 9. Pay Progression 9.1. Incremental pay progression for all pay points will be conditional upon individuals demonstrating that they have the requisite knowledge and skills/competencies for their role and that they have demonstrated the required level of performance and delivery The Devon Partnership Trust seeks to foster a culture whereby staff who are achieving their objectives are appropriately recognised and rewarded through Pay Progression. The changes in national terms and conditions, specifically Annex 23 implemented in April 2013 states Incremental pay progression for all pay points will be conditional upon individuals demonstrating that they have the requisite knowledge and skills/competencies for their role and that they have demonstrated the required level of performance and delivery and is explicit in that pay progression is no longer an automatic right by staff but rather is something to be earned Appendix two sets out the procedure to be followed to deal with annual incremental reviews, issues arising relating to incremental progression and deferment and to ensure consistency of approach and application. 6

7 10. The Appraisal Meeting The emphasis of the appraisal meeting should be on self-appraisal by the appraisee, supported by comments and observations from the appraiser. The discussion should focus on a fair and accurate summary of the work performance, achievements and developments over the review period, provide a basis for planning and development for the coming year and consider long term development needs The appraiser should ensure that that appraisee is aware of the Trust s strategic aims and values and any organisational or team objectives relevant to their area of work. The individual s objectives for the coming year should be discussed, mutually agreed and recorded so that there is a clear understanding of what is expected In order to be effective objectives should be based on the SMART principle (i.e. Specific, Measurable, Achievable, Relevant and Timely). Objectives may be either maintenance which apply to existing areas of work, or developmental, relating to new areas of work or different ways of working. 11. The Personal Development Plan (PDP) An individual s personal development needs may arise from a number of sources, and are likely to be a combination of: Development needed to help the individual achieve their work objectives Core training and role specific training requirements Development for professional updating Development to enable progression or meet individuals interests The PDP should refer to learning in its broadest sense and should ideally feature a range of learning experiences including training and work-based learning, coaching, mentoring and job shadowing. The PDP should clearly state who will take lead responsibility for actioning each development activity This is the only part of an appraisal that can be viewed in a report format. This allows the Trust to see what staff have asked for in their appraisal so training that is planned and delivered each year can be linked to the needs of staff. 12. After the Meeting The appraisal paperwork will be jointly completed and signed by both the appraiser and appraisee within two weeks of the appraisal meeting. Both parties will retain a copy for use during the year at supervision meetings, interim reviews and to prepare for the following years appraisal meeting Where a manager has identified an individual for inclusion in the 13. KSF The Trust no longer requires posts to have a KSF outline and is developing specific career frameworks for all staff groups. However, managers may wish to use KSF as a guide and to provide structure to the appraisal process. A core dimensions summary table can be found at Appendix All staff would be expected to proceed through their gateway reviews unless they were subject to a formal capability process. 7

8 14. Preceptorship Newly qualified professional staff who are appointed to Band 5 posts are subject to a period of preceptorship as set out in Trust Policy HR59. Preceptorship normally lasts for a period of 12 months and during this period these staff will have specific standards to meet as part of this programme. 15. Monitoring Monitoring of the frequency of appraisals within the Trust will be carried out through performance reports that are disseminated to managers. Regular summary reports will also be produced for the Trust Board and Executive Team Managing Partners and Head of Professions will be responsible for monitoring of the quality and effectiveness of appraisals through a range of governance processes including Directorate Governance Board meetings In addition local audits may be carried out to ensure that managers are meeting the standards as set out in this policy. 8