PERFORMANCE REVIEW AND DEVELOPMENT PLANNING A GUIDE FOR MANAGERS Reference Number: NHSCT/08/32 Responsible Directorate: Human Resources Replaces (if appropriate): N/A Policy Author/Team: Judith Orr Assistant Director Type of document: Corporate Wilma McIlroy Senior HR Manager Review Date 28 February 2011 Approved by: Northern Trust Senior Management Team Date Policy disseminated by Equality Unit: 2 June 2008 Date Approved: 29 April 2008!"#$ $% "
Personal Review and Development Planning A Guide For Managers!"#$ $% &
1. INTRODUCTION Management is about working with people to achieve results. Personal Review and Development Planning is designed to enable individuals and organisations to work more effectively. For the Trust, it is about making sure that we deliver excellent services to patients and clients in a way that meets their needs. In implementing the Personal Review and Development system, based on the Knowledge and Skills Framework (KSF), the Trust recognises that people: work better when they are clear about their role and how it contributes to the organisation s goals and achievements are more motivated to achieve objectives that they themselves have helped to establish can improve their performance when they understand the processes for planning, monitoring and measuring results for both the organisation, and for themselves as individuals develop when they are clear about the knowledge and skills requirements of the post The Knowledge and Skills Framework (KSF) is designed to support the modernisation agenda and to: provide a framework of pay progression across the service, based on a single agreed system specify the knowledge and skills that an individual needs to apply in their job as described in the KSF post outline identify gaps between the knowledge and skills needed in the job and the current knowledge and skills of the individual, through Personal Review and Development (PRD) identify the learning and development that is needed to fill any gaps through the development of a Personal Development Plan (PDP) assist the development of individuals throughout their careers Personal Review and Development (PRD) is a vital link in the chain that enables the Trust to implement its Corporate, Directorate and Service Plans. The Trust needs to communicate its objectives and priorities clearly so that staff understand them in the context of their own jobs and are kept up to date on the overall direction of the Trust and their individual directorates, departments and teams. Figure 1 illustrates how the Personal Review and Development cycle flows from the business cycle of the Trust.!"#$ $% '
THE PERSONAL REVIEW AND DEVELOPMENT CYCLE Planning Framework Approval Level Programme Strategies Corporate Plan Trust Delivery Plan Including PfA Trust Board Communication Plan Directorate plans Learning and Development Plan SMT Performance management Service Plans Governance Plan Director including Quality Improvements Line Managers Individual Objectives Individual Staff (Figure 1) 2. BENEFITS OF THE PERSONAL REVIEW AND DEVELOPMENT SYSTEM Individual, Team and the Trust s objectives are integrated Links with the Trust s planning processes are fundamental to the system, and the Personal Review and Development system provides a means of linking these plans to the work of each directorate and to the work of individuals and teams in directorates. Improved communication between managers and staff Regular means of communicating with staff are well established in the Trust. Communication needs to be a two-way process and PRD allows staff to provide feedback about issues, including decisions that affect their jobs, career, staff development and the goals of the Trust. The PRD system therefore provides a means of both top-down and bottom-up communication in the Trust. Better structure for the provision of development and training Personal Review and Development is a mechanism for identifying training and development needs at the level of the individual. The provision of development or training not only improves performance but also increases motivation and is a mechanism for continuous improvement.!"#$ $% (
3. PERSONAL REVIEW AND DEVELOPMENT USING KSF Every job covered by the NHS Agenda for Change will have a NHS KSF Job Outline. This will be made up of the six Core Dimensions plus a small number of the 24 Specific Dimensions. In practical terms PRD using KSF means a meeting between the individual and their Line Manager in which both focus on the individual s knowledge and skills and match these to the KSF requirements for the job. Any gaps are identified and agreement is reached about how to fill these. This plan is the Personal Development Plan (PDP). The PRD process is based on an on-going cycle of learning and development with 4 main stages (Figure 2): Stage 1 A planned review between the individual member of staff and their reviewer who is normally their Line Manager. Stage 2 The production of a PDP, which jointly identifies the individual learning and development needs Stage 3 The staff member undertakes the relevant learning and development supported by their Line Manager. Stage 4 The learning and development is evaluated to make sure that it has been appropriate, that it is being applied by the individual in their work and establish what benefits are being derived. D e v e lo p m e n t re v ie w p ro c e s s J o in t re v ie w o f in d iv id u a l s w o rk a g a in s t th e K S F o u tlin e fo r th e p o s t J o in t e v a lu a tio n o f a p p lie d le a rn in g a n d d e v e lo p m e n t J o in tly p ro d u c e P e rs o n a l D e v e lo p m e n t P la n - id e n tify n e e d s & a g re e g o a ls In d iv id u a ls u n d e rta k e s u p p o rte d le a rn in g & d e v e lo p m e n t *+&, +&,!"#$ $% )
4. HOW DOES PERSONAL REVIEW AND DEVELOPMENT PLANNING WORK? In line with the annual business cycle (Fig.1) managers and staff will arrange a time to discuss: The Job Description The past year s work The individual staff member s contribution Achievements and constraints Current and future challenges in the department/team s work The KSF outline for the post Priorities and objectives for the individual Personal Development Plans Group approach to PRD Where a group approach is being taken to the development of objectives, managers can determine the most appropriate way of doing this. For example, regular team meetings may be a useful forum for discussion of likely objectives. However it is important to remember that the review against the KSF outline and the development of a Personal Development Plan should still be provided on an individual basis. The Organisation Development team can provide advice on this approach. Links with Clinical/Professional Supervision Personal Review and Development is not intended as a substitute for Clinical or Professional Supervision or vice versa. The development needs arising from Supervision and PRD may well overlap and this recognises the complementary nature of professional and clinical roles and the development of the individual. 5. PRD AND KSF GATEWAYS Under Agenda for Change most staff change to a common pay spine, where jobs are allocated to specific pay bands covering a number of pay points. At two defined points in a pay band, known as Gateways, decisions are made about pay progression. The PRD process supports people through these Gateways. There are two Gateways in each pay band: The Foundation Gateway The Foundation Gateway normally takes place no later than 12 months after an individual is appointed to a pay band. The purpose of the Foundation Gateway is to ensure that the individual can meet the basic demands of their post on that pay band and is based on the KSF Subset or Foundation Outline. During the departmental induction process the individual will be issued with the full KSF Outline and the Subset/Foundation Outline for their post. A Personal Development Plan should be agreed for the individual during the induction process. To facilitate the achievement of the Foundation Gateway all individuals should have two formal PRD s during their first year in the post. These will normally be at 6 months to coincide with the probationary period and ten months to allow sufficient time for gateway progression!"#$ $% -
documentation to be completed. This date will then become the approximate date of the annual PRD for the individual. The PDP should be used and amended if necessary during the two reviews through the first year of entering a pay band to ensure that the individual is on target to achieve the knowledge and skills required. The Second Gateway The Second Gateway is set at a fixed point towards the top of a pay band. The purpose of the Second Gateway is to confirm that the individuals are being provided with appropriate development opportunities and are applying their knowledge and skills to consistently meet the full demands of the post as set out in the full KSF Outline. Further information on the operation of Gateways is contained in the Gateway Guidance Policy. 6. PREPARING FOR THE PRD All staff should be given a copy of the Staff Information Leaflet (Appendix 1) to provide basic guidance on the PRD scheme. Successful reviews are crucial if staff and managers are to achieve all the benefits of the system. Managers involved should seek to make it a positive, helpful experience and take the opportunity to let staff have their views and ideas heard. Time needs to be spent in preparation by the staff member and the manager to ensure that the review is carried out effectively and efficiently. Although designed to assist the Reviewee, the PRD Preparation Sheet (Appendix 2) is a useful guide for both managers and the staff member. The Reviewer will normally be the individual s Line Manager but the role can be delegated to someone else. If it is delegated then the individual to whom it is delegated must be competent in that role, be at least a band higher than that of the Reviewee and also have sufficient authority to arrange learning and development opportunities. All Reviewers undertaking PRD meetings should have attended training to equip them for this role. Areas to think about before the discussion include: Job Description It is a useful starting point in a PRD to review the individual s Job Description. What are the main aspects of their job and has the focus of the job changed over the year?!"#$ $%.
The Year Past Achievements of the individual that gave the most satisfaction during the year Anything that has changed significantly within the job/work area in the last year and the impact of this Any major problems that occurred and what could prevent these happening in the future Progress against the dimensions of the KSF outline with examples Evaluation of the applied learning from any training and development undertaken The Year Ahead What are the implications of the Service Delivery/Directorate Plans for your part of the service for the next year? How these will impact on work priorities and the responses they will demand from staff? Personal skills that could be used more fully to make the job more satisfying Training or development to help staff meet their objectives more effectively Practical Arrangements Managers should ensure: Sufficient notice of time and place of the Personal Review and Development. Staff receive a copy of the Staff Personal Review and Development Guide and the Preparation Form and the PRD Documentation (Appendix 1,2 and 3). Adequate time is set aside for the review: a minimum of 45 minutes will probably be needed. An environment that provides for a conducive atmosphere, with privacy and no interruptions. Two way discussion PRD is a two-way discussion between managers and staff within departments on an equal basis. This provides an opportunity for both people involved to review and discuss progress, establish priorities and the implications of these for the work. The balance of talking/listening should be approximately 70/30 in favour of the Reviewee. Identifies development needs As well as providing an opportunity for discussing work-related objectives, staff will have the opportunity to discuss with their manager any training or development needs they have in relation to the attainment of their objectives and fulfilling the requirements of the KSF outline. Clear objectives It is important for all staff to understand what they, as individuals, are expected to do to contribute to the delivery of the Trust s objectives each year. PRD is designed to ensure that each member of staff has a clear set of objectives and can see that they have a valuable role in meeting the Trust s overall objectives.!"#$ $% %
Addresses problems- seeks solutions The discussion allows staff and managers time to talk over any aspects of the work that may be presenting difficulties and to discuss possible solutions, however it is not the time for raising issues (See Section 9). 7. PRD DOCUMENTATION The PRD form (Appendix 3) is designed to help managers and staff take a structured approach to their discussions. It also provides a useful record of discussions from year to year. There are a number of key points in relation to the PRD documentation: Page 1 This should be completed as required, importantly the Gateway Review dates, outcome and the date that the Gateway Progression form was forwarded to HR should be inserted. Page 2 Section 1 Review of Previous Year It is important to spend some time on this section, as it will set the tone for the rest of the PRD. However if the Preparation Form (Appendix 2) has been completed it should be fairly straightforward. Discuss: The Main Aspects of the Job Taking time to consider the main aspects of the individual s job will provide the opportunity to clear up any misunderstandings about the nature of the job and will identify if the focus of the job has altered significantly. Areas of Greatest and Least Satisfaction It is important to recognize the successes of the past year and to make the individual aware that you know what these are. They may be largely departmental however it is important to pick out the contribution of the individual to the achievement. Obviously where something had not been satisfactory it is important to listen, discuss and accept the learning in it for the individual and the department. Review of Key Objectives Have these been achieved, Yes or No? Comment on the successes and the failures providing clear reasons for non-completion particularly where this has been due to organisational problems and/or individual circumstances. Review of Personal Development Plan You must record a completed Yes or No in relation to identified development needs. However it is also important to record the reasons for any failure to complete and also have some discussion about the benefits of any personal development undertaken for the individual s job and the department.!"#$ $% /
Pages 3-5 Section 2 Development Review Decisions Consider each Core and Specific dimension of the Subset or Full Outline, as appropriate. The Reviewer and Reviewee should: Insert the correct level of the Core Dimensions and the number, title and level of the Specific Dimensions. It will save time if this can be done in advance Discuss activities and evidence in relation to each dimension keeping the sources of evidence as broad as possible Agree if the staff member has achieved the knowledge and skill requirements of the dimension, at the appropriate level Tick the appropriate boxes for each dimension and briefly detail evidence for discussion Note down Areas for Development for each of the dimensions for inclusion in the Personal Development Plan and add any comments if required Page 6 Section 3 Key Work Objectives Personal Review and Development Planning enables work objectives to be identified for each member of staff. Good practice suggests that a person should have no more than eight key objectives, which must be achievable for the individual concerned, however they should also be challenging and stretching. They may include objectives for what is to be done for example developing services, meeting financial targets, improving communication. They may also include objectives about how to do it for example about service quality, confidentiality, health and safety, time-scales for response. It is vital to complete the Action Required and Timescales for Completion columns. These objectives may be based on: Corporate expectations, which derive from the organisation s vision and objectives. Service expectations. It is important to consider the expectations of users or customers about the service that they need and want. Objectives for both individuals and the team should include targets for improving service quality. Staff expectations. Staff have needs and aspirations, both individually and collectively as teams. Managers must understand and respond to these, helping staff perform to the best of their ability in their current role, maintaining their motivation and seeking to meet their future aspirations. Professional expectations. Staff may have professional standards and obligations that are governed by statute and the requirements of professional bodies. Professional and organisational demands will need to be balanced.!"#$ $% "$
Objectives set should be S.M.A.R.T: Specific; objectives should be clearly defined and easily understood by all involved. Measurable; should be possible to measure whether or not the objective has been achieved. Attainable; the objectives should be achievable, but stretching. It is important to set objectives which result in improvement or development. Realistic; the objectives should be meaningful in terms of current priorities and pressures. Time bound; a target date for completion needs to be agreed. Page 7 Section 4 Personal Development Plan The manager along with the member of staff is required to develop a Personal Development Plan (PDP). This should incorporate the learning and development needs arising out of the work objectives, the KSF requirements for the post and also takes into account Continuing Professional Development (CPD) and statutory requirements if applicable. It is likely that there will be overlaps in these. The PDP indicates how this will be supported by the organisation and should give dates for completion. Once the knowledge and skills of the full KSF Outline for an individual s job have been met the PDP can consider the development needs required for future career development. Page 8 Section 5 PRD Outcomes Once the PRD is completed the Reviewer must indicate if a Gateway point is applicable and if the individual has met the Gateway requirements. If the Gateway requirements have not been met then the reason for deferment must be recorded along with any necessary actions and planned timescales for completion. The final section of the form is for signatures. Each PRD form should be signed by both the Reviewer and the Reviewee to indicate that both parties agree with the outcomes of the meeting and will be countersigned by the Senior Manager or Head of Department. The manager and the member of staff retain a copy of the review form, so each is aware of what was agreed and what they are responsible for carrying out.!"#$ $% ""
8. REVIEW ARRANGEMENTS Arrangements for review during the year: Interim review dates should be agreed in advance as part of initial discussions keeping in mind that staff approaching their Foundation Gateway must be reviewed at the six-month point in the first year The number of reviews should reflect the need to maintain a focus on objectives, KSF outline and the type of work being done One or two interim reviews should be sufficient to ensure a focus on objectives and priorities Objectives and development requirements may need to be revised depending on the outcome of any review 9. OTHER ISSUES Problems during the year The PRD is not a forum for discussing or sorting out problems or issues that occur throughout the year and is not a substitute for management action on disciplinary or performance problems. Managers should deal with work issues, disciplinary or performance problems as they arise according to the relevant procedures. However problems or difficulties that have been dealt with throughout the year may need to be referred to during PRD meetings as they may impact on the objectives and/or Personal Development Plan for the year ahead. Similarly, if staff can see that circumstances are such that objectives may not be met, or need to be amended, they should bring this to their manager s attention as soon as possible. Disability The requirements of a post may be altered to accommodate an individual with a disability, which may in turn result in the modification of a KSF outline. In doing so, assistance may be sought from the Occupational Health Department or the Human Resources Department. Where the member of staff is not on track to meet his/her KSF Outline, the Reviewer and member of staff should consider together if any other modifications need to be made to the post. If the KSF outline is considered to be appropriate and significant weaknesses in performance are unresolved despite support being given to address the issue(s), then progression through a Gateway should be deferred in the normal way. Accelerated Progression on band 5 Accelerated increments are applicable to newly appointed entrants to HPSS at Band 5, who have commenced at the minimum point on the pay band.!"#$ $% "&
This means they will automatically move up one pay point after six months, subject to a satisfactory standard of practice, which coincides with the end of the probationary period. HR will notify managers of all staff who are entitled to accelerated increments after 6 months. If a member of staff of is not performing satisfactorily the manager will need to forward a notification of change form to HR to retain the person on the first increment (managers will need to be mindful of salary closedown dates). The person will be held on this point until the manager forwards a notification of change confirming that the employee s performance is satisfactory and, at that point, they will be awarded the accelerated increment. The review just before the twelve-month point will be a Foundation Gateway Review and the person will move up a further incremental point when they show they are applying the knowledge and skills for the post as outlined in the KSF Subset Outline. The manager will be required to complete the form H/PERS/MISC/9a and forward to Payroll to process this increment, as this is a gateway point. CONCLUSION Managers have a responsibility to implement KSF and PRD s and a key role to play to ensure that the Personal Review and Development system is used positively and constructively and works effectively to benefit staff, managers and the Trust. This document should be read in conjunction with the KSF Gateway Guidance. Advice on any aspect of the implementation of the PRD system can be obtained from the Organisation Development Team.!"#$ $% "'