Performance and Development Review (PDR) Policy This Policy describes the process for undertaking a mandatory annual Performance and Development Review. Key Words: Performance, Development, Review Appraisal, PDP Personal Development Plan, PDR Version: 8 24th July 2012 Adopted by: Date adopted: Workforce and OD Committee 22d August 2012 Name of The Academy originator/author: Name of Workforce and OD Committee responsible committee: Date issued for 1 st September 2012 publication: Review date: 1 st September 2015 Expiry date: September 2016 Target audience: All staff (with the exception of Doctors and Dentists who have a national formalised process for their professions) Type of Policy (tick appropriate box) Clinical NHSLA Risk Management Standards if applicable: N/A Relevant CQC Standards: 14 Non Clinical
Contribution List Key individuals involved in developing the document Janet Sayer Mark Dearden Name Designation The Academy Training & Quality Assurance Lead Circulated to the following individuals for comments Name Kathryn Burt Sarah Willis Kam Kotecha Jo Davis Vyv Wilkins LPT senior managers band 8a and above Workforce & OD Development Committee Members Policy Group Members Designation Head of Human Resources, CHS Division Head of Human Resources, FYP Division Head of Human Resources, MH & LD Services Head of Academy Integrated Equality Service Integrated Equality & Diversity Service LPT senior managers band 8a and above Workforce & OD Development Committee Members Performance and Development Review Policy Version 8 2 of 11
Version Control and Summary of Changes Version number Date Comments (description change and amendments) 1.0 December 2011 Alignment of previous PDR policies 2.0 21 March 2012 3.0 22 March 2012 Changes made following comments from HR Leads. 2.3 Performance and Conduct Procedure changed to Performance Management Procedure. 3.3 Clarification of wording for reviewers who are the same banding of reviewees. 4.2 Deleted guidance on the number of objectives to be set within the PDP. 4.0 23 April 2012 5.0 22 May 2012 Due Regard additions by Integrated Equality Service Pages, 5, 6, 9, 10 Amendment to 3.3. It is recommended as good practice that only 8 PDP s or less are undertaken by those in the role of the reviewer. 6.0 7.0 8.0 23 May 2012 Added Dissemination and Implementation in section 6.0 17 th July 2012 Updated Appendix 1 with the 5 Trust Strategic Objectives 24 th July 2012 Added the following regarding Clinical Supervision: Section 7 Monitoring and compliance section Appendix 1 personal information box added a sub section regarding clinical supervision All LPT Policies can be provided in large print or Braille formats, if requested, and an interpreting service is available to individuals of different nationalities who require them. For further information contact: Human Resources or LPT Academy Performance and Development Review Policy Version 8 3 of 11
Contents Definitions that Apply to this Policy 5 Equality Statement 6 1.0 Summary 7 2.0 Introduction 7 3.0 Responsibilities 7 4.0 The Performance & Development Review Process 9 5.0 Due Regard 9 6.0 Monitoring Compliance & Effectiveness 12 7.0 Links to Standards/Performance Indicators 12 Associated Documentation APPENDIX 1 PDR Paperwork 13 Performance and Development Review Policy Version 8 4 of 11
Definitions That Apply to This Policy Performance and Development Review (PDR) Appraisal Personal Development Plan (PDP) Reviewer Reviewee Due Regard This is the process whereby an employee meets at least annually with their appraiser (manager or nominated deputy) to discuss their performance for the last year, appraise objectives set for the previous year and agree a Personal Development Plan (PDP) for the coming year. This forms the part of the PDR where the manager and employee discuss performance and objectives set for the previous year. Employees provide or discuss evidence for achievement, or reasons are discussed as to why objectives set in the PDP could not be achieved. This is the part of the process where a development plan for the forthcoming year is discussed and agreed. A reviewer is the person who undertakes the PDR. This is the member of staff who undertakes a PDR to appraise their performance against agreed objectives for the previous year with their reviewer, providing written or verbal evidence for their performance. Additionally they agree to Personal Development Plan objectives for the forthcoming year, Having due regard for advancing equality involves: Removing or minimising disadvantages suffered by people due to their protected characteristics. Taking steps to meet the needs of people from protected groups where these are different from the needs of other people. Encouraging people from protected groups to participate in public life or in other activities where their participation is disproportionately low. Performance and Development Review Policy Version 8 5 of 11
Equality Statement Leicestershire Partnership NHS Trust (LPT) aims to design and implement policy documents that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. It takes into account the provisions of the Equality Act 2010 and advances equal opportunities for all. This document has been assessed to ensure that no one receives less favourable treatment on the protected characteristics of their age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex (gender) or sexual orientation. In carrying out its functions, LPT must have due regard to the different needs of different protected equality groups in their area. This applies to all the activities for which LPT is responsible, including policy development, review and implementation. 1.0 Summary 1.1 This document describes the process required to undertake a mandatory annual Performance and Development Review that is a requirement for all staff working within Leicestershire Partnership NHS Trust. 2.0 Introduction 2.1 An organisation s members of staff are its most valuable resource and they are critical to its effective and efficient development. In order for members of staff to make a contribution to organisational development and achieve full competence in their role, it is essential that all individuals have: A clear job description A person specification Knowledge of the mandatory training requirements for the role Access to appropriate training and development opportunities Clear objectives, linked to the objectives of the organisation 2.2 The Performance and Development Review (PDR) is a mandatory part of the management process. It should be an ongoing feature of the working relationship between managers and individuals within their team. 2.3 The PDR process is intended to be a positive development experience and should not be used by managers to initiate discussions relating to performance problems. Identified performance problems should be dealt with as they occur using the Performance Management Policy and Procedure for Leicestershire Partnership Trust. However the PDR process can be used to ensure development opportunities are made available to assist the individual in effectively overcoming performance issues. 2.4 Throughout the PDR process all members of staff should be treated fairly and equitably. This is a mandatory process accessible by all and managers/reviewers should take the diversity of staff and individual needs into consideration when implementing the PDR process. Performance and Development Review Policy Version 8 6 of 11
2.5 The PDR process is supported by the following: Mandatory Training Policy Study Leave Policy 3.0 Responsibilities This section describes the key roles and responsibilities required for a successful PDR process to be achieved. 3.1 Trust Board Agree strategic objectives to be clearly disseminated throughout the organisation 3.2 Directors Ensure the PDR process is effectively implemented within Division and Enabling Services staff Managers are provided with a wider perspective of the organisation/division future needs and objectives Identified development needs are resourced equitably and fairly to support organisation/division objectives (resources should be agreed with Academy Division/Enabling Service Leads prior to them being agreed within the PDP as part of the PDR) 3.3 Reviewers Ensure that each individual that they manage has an annual PDR in line with this policy It is recommended as good practice that only 8 PDR s or less are undertaken by those in the role of reviewer. This is generally the manager or nominated deputy which will be of a higher Band than the reviewee. In some circumstances the reviewer might be of the same Band and suitably experienced to undertake the PDR. Where the line manager is not of the same/similar professional role as the individual being reviewed, an appropriate additional reviewer from the same professional role can be called upon to contribute to the PDR process. Make protected time available for these to be carried out effectively and those in the role of manager/reviewer are trained to undertake this role As a priority, knowledge about the mandatory training requirements for the individual s role should be gained, documented in the PDR and the individual should be released to do this training Individuals are given the opportunity to undertake the activities identified in the PDP and are encouraged to share and apply their learning in the workplace Personal Development Plans (PDP) produced should reflect the organisation/division future needs and objectives and any funding requirements need to be secured with the Academy Division/Enabling Service Leads before being agreed in the PDP Reviewers should review progress on objectives set and the PDP of the individual they are responsible for at least at the six-month stage of the annual PDR Upon completion of the PDR with the individual member of staff this should be recorded as being completed either via the Electronic Staff Record system if appropriate or by the Academy PDR reporting process. Performance and Development Review Policy Version 8 7 of 11
3.3 The Individual Prepare for their PDR this will include providing evidence for achievement of objectives set and learning agreed within the PDP Take an active role in the PDR process this is all about you and your development and training needs. It should not feel like a situation of threat but an opportunity to develop and grow Attend activities identified in their PDR when time has been made available to do so. Keep evidence to produce at the PDR review As this is a mandatory requirement for all staff, if there is a reason that an annual PDR does not take place, the next level of management above their line manager should be informed (e.g. long term absence) 3.4 LPT Academy Provide training for reviewers in the undertaking of a PDR. Provide a toolkit for the benefit of staff and managers. Record data on completed PDR s in order to report compliance to Trust Board in line with CQC standard requirements. 3.5 The effectiveness of appraisal related training, including issues of fairness, equality, diversity and consistency, will be determined by evaluation of programmes, questionnaires, audit outcomes and discussions with members of staff and reviewers. Training will be reviewed in light of this evaluation. 4.0 The Performance and Development Review Process 4.1 The PDR process applies to all individuals who are employed by Leicestershire Partnership NHS Trust whether on full, part-time, temporary, fixed term or other types of employment contract. For new members of staff, either new to the Trust or moving into a new post, an initial review should take place within the first three months. This review will discuss the job description, working environment and mandatory training requirements. A Personal Development Plan will be produced that reflects the learning and development requirements for the first year. This will be reviewed at least once in the first 6 months, then the full PDR process will take place at the 12 month period. 4.2 The table in this section details the full PDR process with an outline of the key actions on the part of the reviewer and reviewee at each stage of the process. Performance and Development Review Policy Version 8 8 of 11
5.0 Due Regard 5.1 The Trust s commitment to equality means that this policy has been screened in relation to paying due regard to the general duty of the Equality Act 2010 to eliminate unlawful discrimination, harassment, victimisation; advance equality of opportunity and foster good relations. 5.2 All members of staff regardless of their age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex (gender) or sexual orientation have access to a regular discussion with their line manager and there is no impact on an individual s dignity or human rights. 5.3 In relation to this policy there is no discrimination as the policy is applicable to all members of staff. The provision of Equality and Diversity training is considered during the personal development planning process. 5.4 Due regard will also be demonstrated through the use of human resources best practice and have adherence to all relevant employment legislation. 5.5 In addition to the examples highlighted above, equality monitoring of all relevant protected characteristics to whom the policy applies will be undertaken. Robust actions to reduce, mitigate and where possible remove any adverse impact will be agreed and effectively monitored. 5.6 This policy will be continually reviewed to ensure any inequality of opportunity for service users, patients, carers and staff are eliminated wherever possible. 6.0 Dissemination and Implementation 6.1 The policy is approved by the Leicestershire Partnership NHS Trust Workforce and OD Committee and is accepted as a Trust wide policy. This policy will be disseminated immediately throughout the Trust following ratification. 6.2 The dissemination and implementation process is: Line Manager will convey the contents of this policy to their staff Staff will be made aware of this policy using existing staff newsletters and team briefings The Policy will be published and made available on the Intranet Performance and Development Review Policy Version 8 9 of 11
Preparation Reviewer Reflect on performance over the past year against agreed targets and how knowledge and skills have been applied to role Check mandatory training for the role has been met and what will be required for the coming year Consider Trust/Division and team objectives for the coming year and resources available for development Reviewee Gather verbal or written evidence to support objectives set within last year s appraisal and Personal Development Plan Consider future development needs for the coming year and availability of resources to achieve these (if applicable) Appraisal (Performance Review) Reviewer and Reviewee Joint discussion to review performance over the past year against agreed objectives and targets and application of knowledge and skills to meet the demands of the post, and contribution to team objectives Jointly discuss working patterns of the reviewee to ensure as far as possible a healthy work/life balance is achieved Personal Development Plan Reviewer and Reviewee Jointly agree a Personal Development Plan for the forthcoming year that needs to address: Mandatory training requirements Development needs to enhance job role The contribution of the reviewee to meet Organisation/Division and team objectives At this point the Personal Development Plan is signed, with dates set for the 6-month review and the PDR for next year. It is recorded that the PDR process has been undertaken either on ESR or reported to the LPT Academy Six-Month Review Reviewer and Reviewee Jointly discuss progress on the achievement of objectives set within the Personal Development Plan and how they can be applied to practice Discuss any barriers that have prevented achievement so far and consider how these can be overcome to make achievement happen before the annual PDR in six months time Performance and Development Review Policy Version 8 10 of 11
7.0 Monitoring Compliance and Effectiveness 7.1 The following table describes how this policy will monitor compliance and effectiveness: Systems Monitoring and/or Audit Criteria Measurables Frequency All staff will have an annual PDR which is a mandatory requirement A reporting system will be evident that will enable the monitoring of PDRs Completed PDRs will either be input by the Reviewer onto ESR or reported to LPT Academy for recording Monitoring reports will be produced. As soon as the annual PDR is completed Monthly Quarterly Reporting to Divisional Directors and Directors of Enabling Services Divisions Workforce and OD Committee Action Plan/ Monitoring Head of Academy / Head of HR Head of Academy / Head of HR 8.0 Links to Standards/Performance Indicators The table below details the standard and performance indicators that relate to this policy: TARGET/STANDARDS Care Quality Commission outcome 14 Staff Opinion Survey KEY PERFORMANCE INDICATOR All available staff receive a PDR within the previous 12 months. Staff have a well structured appraisal Staff have a personal development plan in place Performance and Development Review Policy Version 8 11 of 11
PDR Appraisal and Personal Development Plan Appendix 1 Our Core Purpose Advancing the health and well-being for you and your community Vision An integrated Foundation Trust with a passion for quality and excellence Trust Strategic Objectives: We will continuously improve quality, with services shaped from user experience, audit and research We will deliver our financial plans and transform our estate and information technology. We will maximise opportunities to deliver the best possible integrated care in Leicester, Leicestershire and Rutland We will attract, retain and develop a diverse, capable and flexible workforce We will build our reputation as a successful, inclusive organisation, working in partnership to improve health and wellbeing. 1
Personal Information Reviewee: Name: Job Role: Band: Assignment Number: Department: Length of time in post: Reviewer: Name: Job role: Contact details: PDR: Date of last PDR: Date of this current PDR: Period under review: Next review date: Mandatory Training: Has mandatory training for this role been completed (this will include core and other mandatory training requirements) yes no If not, what is the reason: Clinical Supervision (if applicable) (recommended 4 sessions a year) Have you had Clinical Supervision? yes no If yes: How many? If no: what is the reason: 2
Looking Back - Appraisal What have I achieved in the past 12 months? Objectives from previous year (taken from previous PDR) What have I done? Detailed steps taken or activities involved in order to achieve objective What have I achieved/ delivered? (outcome) Has the objective been partially met, met or exceeded? What factors have influenced achievement? How have I achieved this? (Application of skills and knowledge. How have I used development activities to meet this objective) For discussion in the PDR Appraisee to complete prior to meeting Appraisee to complete prior to meeting For discussion in the PDR 3
Use a continuation sheet if required Agreed comments on overall Performance: Please circle: Exceeded Met Partially Met Comments: Signed: Employee Signed: Manager 4
Looking Forward What do I need to achieve in the next 12 months to meet Trust, Division/Enabling Services objectives and the team objectives associated with my role? Objective: Consider the Trust strategic objectives on the front page, how this has been translated into Division/Enabling Services objectives and subsequent team objectives Resources/ support required What does success look like? (criteria) What might get in the way of you achieving this and how will you overcome it? Timescales 5
Use a continuation sheet if required 6
Personal Development Plan N.B. Any funding requirements need to be secured before they are agreed as part of the Personal Development Plan.ed to undertake to meet my objectives? What do I want/ need to learn in order to fulfil the requirements of my job role, and contribute to the objectives set for me? What will I do to achieve this? What resources/ support will I need? Planned date for completion and review date 7
What mandatory training do I need to undertake this year? (this will include core and other mandatory training requirements) What essential learning do I need to do - e.g. keeping accreditation up to date? 8
Are there any career enhancing developments that can be undertaken given the prior three categories are a mandatory priority? Signed: Reviewee Signed: Reviewer Date: 9