Appraisal & Personal Development Policy Incorporating The NHS Knowledge & Skills Framework

Transcription

1 Appraisal & Personal Development Policy Incorporating The NHS Knowledge & Skills Framework Policy HR 11 January 2008

2 Document Management Title of document Appraisal & Personal Devlopment Policy Incorporating The NHS Knowledge & Skills Framework Type of document Policy and Procedure (HR 11) Description Target audience This policy describes the process that should be followed to ensure a consistently high standard of staff appraisal that will guarantee staff have a well devloped Personal Development Plan and they are reviewed against their KSF post Outline (where applicable) All staff Author Department Directorate Sandra Wright, Jane Sciriha Training Corporate Services & HR Approved by Governance Committee Date of approval 8 January 2008 Version Number 2 (Reviewed December 2007) Next review date 31 March 2010 Related documents Superseded documents Study Leave Policy Policy for Pay Progression Using Gateways Induction Policy Version 1.3 Internal distribution External distribution Availability Contact details (of main contact for this document) All staff n/a All ratified policies, strategies, procedures and protocols are published on the Trust Intranet and Public Website. Name: Jane Sciriha Address: Bevan House, Parkway South, Venture Park, Kettering Northants NN15 6XR Tel: Jane.sciriha@northants.nhs.uk HR 11 Appraisal and Dev Policy 6 Page 2 of 19

3 CONTENTS 1.0 Introduction Responsibilities Frequency Prior to, during and after the Appraisal and Personal Development Review Review Outcomes, Documentation and e-ksf Professional Staff Bank, Agency, Locum and Temporary Staff Equal Opportunities Quality Assurance Integration with Other Policies Review of Policy 9 Appendices Appendix 1 Flowchart for the Appraisal and Personal Development Review process Appendix 2 Forms Part A Staff member preparation questionnaire Part B Review of Last Years Objectives Part C Record of KSF Progress Part D Setting Objectives for the coming year Part E Personal Development Plan Part F Training Needs Analysis Appendix 3 Equality Impact Assessment HR 11 Appraisal and Dev Policy 6 Page 3 of 19

4 It should be noted that Doctors, Dentists and some Senior Directors are not employed under Agenda for Change terms and conditions therefore they will not be required to develop a KSF outline, progress through the Gateway process, or complete any of the KSF related appraisal paperwork. There is still a requirement for these individuals to undertake a Personal Development Review and complete relevant paperwork. 1.0 Introduction 1.1 Northamptonshire Teaching Primary Care Trust ( the Trust ) has a clear responsibility to ensure all directly employed staff have the opportunity to discuss their work, performance and learning needs to enable them to fulfil their role effectively. 1.2 In addition, the Trust has a clear responsibility to ensure all directly employed staff have the appropriate skills & competencies to deliver health care services in a safe and competent manner 1.3 Appraisal and Personal Development Reviews (PDR), including appraisal and personal development plans (PDP) are an important part of the Trust s corporate and clinical governance processes and it is therefore a mandatory requirement for all staff. 1.4 The appraisal system is a positive process that is designed to ensure that individuals and managers are able to talk constructively about the individual s performance and to develop a Personal Development Plan (PDP) that reflects personal developmental needs in relation to the posts KSF outline and service objectives. 1.5 All trust employed staff will participate in an annual appraisal and personal development review meeting with their immediate manager, supervisor or designated deputy resulting in agreed objectives, and an agreed personal development plan (incorporating a mandatory training plan) 1.6 The Appraisal and Personal Development Policy applies to all members of employed Trust staff. 1.7 The Appraisal and Personal Development Policy applies, where indicated, to Bank, Locum and Temporary staff employed by the Trust. Where Agency staff are employed, please see Section Responsibilities 2.1 Managers are responsible for ensuring that: A discussion takes place with all new staff members at the commencement of their employment to agree objectives for the first 12 months, as this will form part of the appraisal development review at the end of their first year in post All staff members in their area of responsibility have an annual appraisal and a PDP and that a record of this is kept in staff personal files. HR 11 Appraisal and Dev Policy 6 Page 4 of 19

5 2.1.3 Every member of staff has an agreed KSF Outline and that their progress against their KSF post Outline is reviewed at the appraisal meeting. A record of this is kept by the individuals line manager or designated deputy Every member of staff is given the opportunity to participate fully with the appraisal process. Unreasonable refusal to participate will be dealt with through the normal Trust conduct policies and procedures Any person undertaking appraisals with staff will have the appropriate knowledge and skills to conduct an effective appraisal meeting. Appraisers are responsible for maintaining their skills in Appraisal and Personal Development Planning using, the Knowledge and Skills Framework (KSF) and be familiar with the Policy for Pay Progression Using Gateways A mutually convenient date is agreed for the Appraisal meeting allowing at least 8 weeks notice and ensuring sufficient time is allocated for the meeting (no less than 1 hr and no more than 3 hours as a guideline) The timings of appraisal and personal development review meetings are planned to coincide with KSF Foundation and Second Gateway reviews. These Gateway reviews should be held at least 8 weeks prior to the incremental date for each individual (see Policy for Pay Progression Using Gateways) Between the annual reviews, protected time is given in line with Trust Study Leave Policy for staff to carry out their learning activities and have the opportunity to apply their learning in the workplace. 2.2 Employees are responsible for ensuring that: They participate fully with the appraisal process. Unreasonable refusal to participate will be dealt with through the normal Trust conduct policies and procedures They are familiar with the Trust s Appraisal and Personal Development Policy and its Policy for Pay Progression Using Gateway They gather evidence throughout the year to demonstrate achievement against previously agreed objectives and to prove competence in line with the KSF outline They provide a portfolio of evidence to demonstrate their achievements in relation to their objectives and KSF outline. This may be presented in a format preferred by the individual i.e. hard copy or electronic At a Gateway Appraisal meeting, they must present clear evidence verbally or in writing, which demonstrates they are meeting the requirements of their post KSF outline in order to ensure further progress through the pay scale. HR 11 Appraisal and Dev Policy 6 Page 5 of 19

6 2.2.6 They attend activities identified in their PDP with support from their manager 2.3 Managers are responsible for informing the KSF Facilitator when an appraisal has taken place by inputting the results of the appraisal into the electronic tool known as the e-ksf, to support ongoing monitoring and to inform the training needs analysis for the trust. Appraisal Figures will be reported to the board on a quarterly basis. (see Part F Training Needs Analysis) 3.0 Frequency 3.1 Appraisal and personal development review meetings must be carried out at least annually for all staff, and these will usually be at least 8 weeks before and individual s incremental date. For staff new to post, it is necessary to review progress at least 6 monthly to ensure full support is offered to move through the foundation gateway. (see Gateway Policy) 3.2 In addition to the annual appraisal and personal development review meeting, regular meetings should be planned throughout the year (regularity to be decided between the manager and individual staff member but, as a minimum, once every 6 months) to review individual performance and progress against agreed objectives and personal development plan. 3.3 If a member of staff is on long term sickness or maternity leave it may not be possible to undertake their regular annual appraisal. In this case, a revised appraisal date should be agreed at the earliest opportunity on their return to work. For gateway reviews, see gateway policy. 4.0 Prior to, during and after the appraisal and personal development review. 4.1 The flowchart (Appendix 1) demonstrates what needs to happen at each of these 3 stages of the review. 4.2 General good practice rules that should apply during the appraisal process are: Meetings should take place in private and comfortable surroundings with no interruptions The emphasis of the meeting should be on positive dialogue and on honest and open feedback. There should be NO SURPRISES, If there are issues of concern relating to an individual s performance these should be addressed immediately they become apparent. It is not acceptable to delay dealing with such issues until the next appraisal and personal development review meeting. HR 11 Appraisal and Dev Policy 6 Page 6 of 19

7 5.0 Review Outcomes and Documentation 5.1 The key outcomes and documentation for the appraisal and personal development review meeting will be: Outcome 1 A review of current role against job description and future aspirations 2 An agreed summary of outcomes of previously agreed objectives 3 An agreed summary of progress against KSF outline. 4 A set of agreed objectives linked to the aims and objectives of the department and / or organisation and fulfilling developmental needs for KSF outline 5 An agreed personal development plan reflecting development needs identified to enable member of staff to: meet requirements of KSF outline for their post, achieve objectives and Undertake mandatory training as identified by the Trust Mandatory Training Requirements 6 A record of the training needs identified in the personal development plan Document Part A - Staff member preparation questionnaire Part B - Review of last years objectives Part C Record of KSF progress Part D Setting objectives for the coming year Part E - Personal Development Plan Part F - Training needs analysis 5.2 A copy of each of these documents will be kept by the line manager/ designate deputy and the original retained by the member of staff for their professional CPD portfolio or KSF folder/portfolio. 5.3 A copy of the Training Needs Analysis form (Part F) should be sent to the Training department for training needs analysis and compliance recording purposes. 5.4 The Appraisal outcome should be recorded in the e-ksf electronic tool in order to facilitate monitoring requirements. 5.5 All records must be held securely and access must comply fully with the requirements of the Data Protection legislation and Trust policy. 5.6 In the event of the personal development plan not being completed during the appraisal meeting the staff member will complete Part E and submit to their appraiser within 1 week of the appraisal and personal development review meeting for agreement. The form should be copied, filed, entered to the e- ksf and forwarded as described in 5.2 above. HR 11 Appraisal and Dev Policy 6 Page 7 of 19

8 6.0 Professional Staff 6.1 In those circumstances where a member of the same profession does not directly manage professional staff, the manager must ensure that there has been adequate involvement of a senior and appropriate person from the appraisee s profession. Such involvement may take the form of a joint appraisal. The professional advisor may play a role in the production of the personal development plan, KSF outline if relevant, and will give any necessary career advice. 7.0 Bank, Agency, Locum and Temporary Staff 7.1 Appraisal and personal development review meetings for temporary staff, locum staff and staff on fixed term contracts should be carried out by the relevant line manager at appropriate intervals depending on the length of their contract. 7.2 Staff on fixed term contracts in excess of 12 months will be required to have a foundation gateway appraisal and personal development review before the end of the first 12 months of employment with the Trust, and to start working towards gaining the knowledge and skills required for the second gateway. 7.3 Appraisal and personal development review meetings for Bank staff will be held by the Bank Manager or nominated deputy and will include written assessment of clinical skills (where relevant) by the ward manager who has worked with the staff member. 7.4 Temporary or Bank staff will have generic and / or specialty specific KSF outlines for their post. 7.5 Bank staff that also hold a substantive contract with the Trust need to meet the relevant KSF outline for the Gateways of their Bank post as well as that for their substantive post. 7.6 All Agency nurses should be appraised by their employing agency with whom the Trust should agree quality assurance processes. 7.7 The same principles for appraisal and personal development outlined in section 7.0 above will apply to locum staff employed by the Trust on contracts lasting more than 12 months. 8.0 Equal Opportunities 8.1 All staff employed by the Trust are entitled to participate in the appraisal and personal development review process. 8.2 When carrying out staff appraisal, appraisers will objectively assess the individual's capabilities, performance and potential in accordance with the Trust s policy Managing Diversity and Equal Opportunities in Employment. HR 11 Appraisal and Dev Policy 6 Page 8 of 19

9 9.0 Quality Assurance and Compliance Monitoring 9.1 Appraisal and Personal Development Review is mandatory for all staff. Managers will be required to complete an Appraisal Record Form and Personal Development Plan with staff following an Appraisal and Personal Development Review and ensure that the results of the Appraisal are entered into the e-ksf electronic tool. 9.2 The completion of the bottom section of Part F is mandatory at all Gateway Reviews. 9.3 The completed Training Needs Analysis form (Part F) should be sent to the Training Department. 9.4 The Training Manager will be provided with compliance data based on returned Training Needs Analysis form (Part F) and the e-ksf reporting function. This information will be reported to the Board on a quarterly basis Integration with other Trust Policies This policy links with the following Trust Policies: Dealing with Employee Incapability: Unsatisfactory Work Performance. Managing Diversity and Equal Opportunities in Employment Study Leave Policy Policy for Pay Progression Using Gateways 11.0 Review of Policy This Policy will be reviewed annually, on the anniversary of its ratification by the Trust Board. HR 11 Appraisal and Dev Policy 6 Page 9 of 19

10 Appendix 1 Flowchart for the Appraisal and Personal Development Review process Line Manager / appraiser role Staff member / appraisee role Ensure staff member has a current job description, copies of outcomes of the previous years review & KSF outline Record and collect evidence of achievement of objectives, of activities linked to their PDP competence in line with KSF outline BEFORE APPRAISAL Agree 6 months in advance if appraisal is a Gateway Appraisal. NB: Gateway Appraisal must be held 8 weeks before incremental date. If it is a gateway review, a documented discussion should be held to ensure the individual is being supported to fulfil the expectations of the full or foundation outline (which ever is the appropriate) Agree 6 months in advance if appraisal is a Gateway Appraisal. NB: Gateway Appraisal must be held 8 weeks before incremental date. If it is a gateway review, a documented discussion should be held to ensure the individual is being supported to fulfil the expectations of the full or foundation outline (which ever is the appropriate) Set date for Annual Appraisal and Personal Development Review meeting. Relevant preparation paperwork (Parts A, B & C and previous year s Part D and PDP for discussion) to be given to staff member a minimum of 3 weeks in advance of the meeting. Ask member of staff to complete preparation paperwork Part A and also the first 2 columns of Part B taken from last years Part D form Complete preparation paperwork Part A and B Continue recording evidence in CPD or KSF portfolio DURING APPRAISAL Discuss general performance and progress using Part A Evaluate and review objectives set at last appraisal and personal development review meeting and complete Part B Discuss current skills against each dimension of KSF outline using KSF outline and KSF Portfolio and complete Part C Agree further development towards KSF Outline (informs Part E) Set new objectives using Part D Agree further development to achieve objectives (Informs part E) Agree personal development plan Part E HR 11 Appraisal and Dev Policy 6 Page 10 of 19

11 Complete paperwork KSF progress Part B and C Objectives for next year - Part D Personal Development Plan Part E Copies of all forms to be kept by staff member and line manager in personal file. Complete Part F and send a copy to the Training Department Input Appraisal result into the e-ksf electronic tool Set review date(s) as required e.g. due to deferral at gateway AFTER APPRAISAL Support continued development Support relevant training activities Encourage recording of evidence in portfolio Hold regular review meetings Book date for next years Appraisal and Personal Development Review Inform staff member if next appraisal is a Gateway appraisal Participate in continued development opportunities towards achievement of objectives and PDP. Attend agreed training activities Record evidence in CPD or KSF portfolio HR 11 Appraisal and Dev Policy 6 Page 11 of 19

12 Appendix 2 Name of employee: Name of Appraiser: APPRAISAL AND PERSONAL DEVELOPMENT REVIEW (PDR) Ward/Dept/Section: Date of review meeting: Part A Staff member preparation questionnaire Appraiser s Comments Outline your main achievements since your last appraisal: What do you consider to be your major strengths? Are there any issues at present that affect your work? If so, how might they be resolved? How would you like to develop your current role? What do you see as you priority tasks for the coming year? Outline any other issues you would like to discuss at your appraisal: 12

13 Part B - Review of Last Years Objectives OBJECTIVE MEASURABLE OUTCOME KSF dimension that this links to Example: To support development and implementation of new filing system for patient records New filing system being used and staff trained in new system. System demonstrating improved flow of patient records across departments Communication Personal & People Development Health Safety and Security Quality Service Improvement Comments on outcome of objective Staff member has supported the implementation of the new system that ensures notes are filed effectively, and can be retrieved when needed. This has improved the quality of service to the patients and reduced risk to the Trust. 13

14 Part C Record of KSF progress NHS KSF dimensions and Achieved their level - CORE Yes/No 1 Communication Evidence provided for decision Areas for development Comments 2 Personal and people development 3 Health, safety and security 4 Service improvement 5 Quality 6 Equality and diversity 14

15 NHS KSF dimensions and their level - SPECIFIC Achieved Yes/No Evidence provided for decision Areas for development Comments Signature of individual Name of individual Signature of reviewer Name of reviewer Date of review meeting: 15

16 Part D - Setting Objectives for the coming year Agreed Objective Measurable Outcome Resources/support required KSF dimension that this links to Target date 16

17 Personal Development Plan Part E Personal Development Plan Development need KSF dimension that this links to Action required to meet need Measurable outcome Target date 17

18 Appraisal is a mandatory requirement for all staff. In order to monitor the level of appraisal activity in the Trust and to inform the training needs analysis, it is essential that following an appraisal and personal development review the Line Manager/Appraiser sends this form to : Staff Development Officer, Bevan House, Parkway South, Venture Park, Northampton, NN15 6XR Part F - Training Needs Analysis (to be completed for ALL appraisals) Name: Job title: Location: Name of Appraiser: Objectives agreed (Yes/No) Staff Group: Date of review meeting: PDP agreed (Yes/No) Training needs identified: Input to e-ksf Date of Entry Signature ONLY TO BE COMPLETED FOR GATEWAY APPRAISALS Foundation Gateway Review Pass / Defer If Deferred Review date: Incremental pay point date Second Gateway Review Pass / Defer If Deferred Review date: Incremental pay point date 18

19 Appendix 1 Equality Impact Assessment Screening Tool Name of Directorate: Corporate Services and Human Resources Policy being assessed: Appraisal & Personal Development Policy Incorporating the NHS Knowledge and Skills Framework Date of Assessment: November 2007 Assessment Carried out by: Jane Sciriha Policy Title Who is affected Statutory requirements Full Assessment Needed Yes / No Priority High / Medium / Low Appraisal & Personal Development Policy Incorporating the NHS Knowledge and Skills Framework All PCT employed staff Agenda for Change. KSF Improving working Lives No 19