Performance Appraisal & Development Review (PADR) Policy and Procedure

Transcription

1 Performance Appraisal & Development Review (PADR) Policy and Procedure Date approved by Executive Team: Date for review: Policy type: Operational Directorate area: Corporate Services Policy Human Resources author/champion: Equality screened: April 2015 Date of issue to RQIA May 2015 staff:

2 CONTENTS 1. Introduction 2. Policy Statement 3. Principles and Outcomes of PADR 4. Associated Policies 5. Responsibilities 6. Monitoring and Evaluation 7. Equality 8. Review of Policy and Training 9. The Procedure 10. Stakeholder Consultation 2

3 1. Introduction The Performance Appraisal and Development Review (PADR) process is an integral part of RQIA s performance management system. The overall aim of the process is to maximise the effectiveness and potential of each member of staff so that RQIA successfully achieves its objectives. The purpose of this policy is to ensure that the Authority has a clear, consistent and fair approach to PADR. The encouragement and maintenance of excellent staff performance requires a framework of support, supervision and appraisal that focuses on both personal development and accountability. The aim is the pursuit of quality and the purpose is to provide clear links between the aims of the Authority, what is expected of staff teams and the support they require to perform to their maximum potential. It is generally accepted that for people to give their best to any organisation they must understand the overall objectives of the organisation and be clear about their role and how it contributes to the Corporate Strategy. The objectives of the PADR process are to: Motivate and help employees to maintain and improve their performance Reinforce the Authority s values and behaviours Acknowledge good performance Discuss and set objectives for the year ahead Discuss and encourage staff development needs, producing a personal development plan (PDP). Link/translate Corporate and individual/personal objectives. Make a significant contribution to personal development planning PADR is set within the context of existing and developing practice: RQIA s Corporate Strategy The Knowledge and Skills Framework The NHS Healthcare Leadership Model RQIA s Corporate Values Q2020 Attributes Framework The requirements of the Northern Ireland Social Care Council, Nursing and Midwifery Council and other professional bodies Continuous Personal Development This policy will apply to all staff directly employed by RQIA. 3

4 2. Policy Statement 1. Both appraiser (manager) and appraisee (staff member) must prepare adequately for the PADR discussion. 2. All staff must have an PADR discussion every 12 months and within Quarter 1 of the business year. 3. Formal PADR documentation may be completed on HRPTS, with local records kept for the purposes of interim review and discussion. 4. Managers must inform RQIA HR, electronically, of the date on which each member of their staff was appraised by the end of Quarter Managers must meet regularly with their staff both individually and as a team in between the formal PADR meeting to find out how they are progressing and to offer support where required (for team or individual objectives, as appropriate). 6. The application and implementation of this policy and its principles will ensure: Every employee has a PDP which is regularly reviewed, and is linked to his or her objectives, professional requirements, and personal career aspirations. Every employee receives an annual PADR with accurate feedback on their performance and progress. Link individual and organisational needs to form comprehensive plans, for training, and development, and workforce planning, at individual, Directorate and Corporate level. 3. Principles and Outcomes of PADR The PADR process will: Be undertaken by all staff annually during Quarter 1, with an additional six month review meeting in Quarter 3. Provide a supportive and constructive environment for honest discussion designed to encourage and motivate, including objective feedback. Be beneficial to the individuals continuing professional development and that of the organisation Recognise and develop the overall potential of the individual member of staff and help all staff to develop their careers Ensure that all staff have the necessary knowledge and skills and that they can apply these in their post Enable staff to attain their own professional and personal objectives and thereby enhance their appreciation of the PADR process Recognise the individual s contribution to the Authority and how they make a positive difference to the overall performance of RQIA. 4

5 Ensure that all staff are aware of the Authority s Culture Charter behaviours aligned to RQIA corporate values, and that they are expected to role model these behaviours within their job role. Improve the effectiveness of the Authority and inform policy and practice 4. Associated Policies The Policy and Procedure contributes to the prevention of discrimination and promotes equal opportunity as stated in the Equal Opportunity Policy. The process does not preclude constructive discussion on areas of performance where there is room for development or improvement in the interests of both the member of staff and the Authority. If an individual is under performing, the manager may need to refer to other policies named below; however reference to this would be addressed outside the procedure. Identified, and appropriately agreed training and development needs should be progressed in accordance with approval by the line manager and the Post Entry Training policy, where applicable. Competence/Capability Policy Operational procedures Contracts of employment Disciplinary Policy Working Well Together Post Entry Training Policy Equality of Opportunity Policy 5. Responsibilities Executive Management Team The Chief Executive is accountable to the Board for ensuring that the Authority is compliant with PADR targets, as laid out in the annual Business Plan. Directors are accountable to the Chief Executive for ensuring that within their areas of responsibility, PADRs completion rates are performance managed to ensure compliance with the PADR target. Lead and direct the organization in aligning the process to RQIA aim, purpose and vision Line Managers 5

6 Implementing this policy, ensuring that all staff are appraised on an annual basis. Ensuring that all appraisers with delegated responsibility for PADR are appropriately trained/briefed. Ensuring staff are aware of the knowledge and skills requirements of the role and has an up to date job description / person specification. Ensuring staff receive regular feedback including recognition for work done well and addressing concerns when they arise. Ensuring staff are made aware of mandatory training requirements. Ensuring staff are made aware of the relevant documentation to be used in advance of their PADR and given sufficient notice of the PADR meeting (approximately 2-3 weeks). Agreeing work objectives and a personal development plan annually as an outcome of the PADR discussion. Ensure that a team objective setting meeting occurs by the end of Quarter 4, annually Ensure that each member of staff has an individual PADR by the end of Quarter 1, annually. To complete the PADR documentation, store a copy of what was agreed in the staff member s personal file held by the line manager and provide a copy to the staff member. To meet regularly with direct reports either individually and/or as a team in between PADR meetings. To inform RQIA HR of the date of when the PADR has taken place. All staff To participate fully in the PADR process. Refusal to participate in an PADR will be considered to be a disciplinary matter and should be dealt with through the Disciplinary Policy & Procedure. To keep informed about what is expected in relation to the PADR process. RQIA Human Resources Providing PADR advice, support and training to managers. Collating PADR completed dates as reported by appraisers. Providing PADR compliance reports at an organisation- wide, and directorate level. 6. Monitoring and Evaluation 1. PADR compliance rates are reported annually at a Directorate level and Organisation wide level. 6

7 2. The Executive Management Team holds each directorate / team accountable for improving PADR compliance rates to meet the PADR target. 3. Managers who consistently refuse to comply with the PADR target in their area of responsibility without good reason may be dealt with as a conduct or competence matter. 4. The Board is assured of PADR compliance through the performance monitoring process. 5. PADR will be evaluated using targets described above, and other metrics that will assist in evidencing its effectiveness e.g. staff survey and other performance metrics. 7. Equality RQIA will ensure that the application of any part of this policy does not have the effect of discriminating, directly or indirectly, against staff on grounds of race, age, sex, sexual orientation, marital status, dependents, religious belief, political opinion or disability. The application of this policy will apply equally to full and part-time staff. This policy has been screened in accordance with the commitment made in RQIA s equality scheme. The policy has been screened out, therefore is deemed to have a neutral impact in terms of the nine Section 75 groups. 8. Review of Policy and Training This policy will be reviewed 6 months after implementation, and every 2 years thereafter. Training on this policy will be delivered to both line managers and staff in preparing for appraisal meetings, on an annual basis during Quarter The procedure Line Managers will conduct a meeting with their team of direct reports to discuss performance and outcomes in the previous year, plan for the year ahead and identify any learning or development that the team may require as a group. On an annual basis, during Quarter 1, each member of staff must have participated in an individual PADR meeting. Line Managers are accountable for ensuring this takes place. Where staff are not present for this to occur (new starts mid-year, absence, maternity etc) the meeting should take place on return/commencement. In the case of new starts, the meeting will 7

8 emphasise objective setting for the remainder of the business year, and personal development needs. The key aspects of the PADR discussion should be agreed between employee and line manager, in writing. In particular, objectives and planned development should be captured and kept under review throughout the year. The PADR procedure will: 1. Be coordinated by line managers 2. Require appraisers and appraisees to undertake PADR training 3. Provide an agreed record of decisions taken for effective follow-up action by individuals 4. Provide an analysis of the key issues arising from the process for the overall effectiveness of the Authority 5. Recognise that appropriate time should be allocated for preparation and completion of PADR documentation The core objectives of the PADR meeting (team and individual level) are to: Discuss the team and individuals performance and assess application of knowledge & skills; Discuss the team/individual s role and how it contributes to the Authority. Discuss how overall performance attributes to the Authority s Corporate Strategy and the objectives within it Agree performance objectives (what is to be done and how) and KSF requirements as applicable Identify the quality improvement and safety attributes required for the role and level at which the individual works and plan the learning and development needed for progression (Q2020 Attributes Framework) Discuss behaviour and enactment of corporate values in line with the Authority s Culture Charter Agree performance outcomes (what will be achieved) Have an agreed Personal Development Plan (PDP) and team development plan (if applicable) The core objectives of the PADR review are to: Support personal/professional development Maximise individual performance Acknowledge and recognise staff achievements 8

9 PADR Process Joint review of staff member s work against objectives within RQIA and K&S required for the post Joint evaluation of applied learning and development Jointly agree objectives and Personal Development Plan identify needs and agree goals Staff members undertake their role supported by learning & development Team PADR meeting This is the meeting between manager and their team. The meeting is a discussion at team level to reviewing objectives/progress for the previous year, regarding the teams function/contribution in line with Directorate plans and/or the Business Plan. The meeting will also involve setting objectives for the coming year for the team, and identification of any necessary team level learning and development required in order to meet these objectives. Annual individual PADR meeting This is the meeting between manager and member of staff. The meeting is a joint responsibility and two-way discussion between the appraising manager (appraiser) and member of staff (appraisee). The Performance PADR and Personal Development Review process has four parts: 1. Reviewing objectives for the previous year 2. Setting objectives for the coming year 3. Discussion and review of development against last year s PDP/KSF outline, discussion of Corporate Values and Q2020 Attributes Framework, and determine learning needs 4. Creation of PDP for the coming year 9

10 1. Review of past year s objectives. Taking the personal and work objectives agreed in the past year, the appraising manager should: encourage the appraisee to discuss their performance over the past 12 months, highlighting and describing key achievements move on to consider any concerns or issues they have faced which have held back their performance and prevented any objectives being fully achieved. The appraiser will decide whether the post holder has achieved each objective, not met the objective, or will carry the objective over to the following year. 2. Setting objectives for the next 12 months Taking account of relevant organisational and departmental goals and objectives and the appraisee s likely areas of work focus over the next 12 months, personal and work objectives can then be considered. 3. Reviewing development against the KSF outline / RQIA Culture Charter The appraiser and appraisee review personal development in line with the KSF outline and will discuss if the appraisee requires further development. A discussion should also take place regarding how the member of staff has achieved and contributed to the Corporate Values and associated behaviours/healthcare Leadership Model behaviours. 4. Personal Development Plan (PDP) The Personal Development Planning aspect of the PADR discussion should focus on learning needs and appropriate development activity that will assist the appraisee in the achievement of their agreed objectives for the year, and in order to meet their KSF outline or any other knowledge/skills/experience that is relevant and important to their role. 10

11 10. Stakeholder Consultation This policy has been subject to stakeholder consultation with RQIA staff and their representatives. Further Guidance and Associated Documentation Further guidance on the preparing for PADR, the PADR meeting, and review of objectives is available in the following documents: Preparation form staff Preparation form Managers PADR Record Form Personal Development Form 11