appraisal policy - qegateshead.nhs.uk

Appraisal Policy v6

Policy Title

Appraisal Policy

Policy Number

PP37

Version Number

6.1

Ratified By

Human Resources Committee

Date Ratified

25/06/2018

Effective From

17/10/2019

Author(s) (name and designation)

Kathryn Atkinson, Head of Workforce

Sponsor

Susan Watson, Director of Strategy and Transformation

Expiry Date

01/06/2021

Withdrawn Date

Unless this copy has been taken directly from Pandora (the Trust’s Sharepoint document management system) there is no assurance that this is the most up to date version This policy supersedes all previous issues

Appraisal Policy v6.1 2

Version control

Version Release Author/Reviewer Ratified by/Authorised by

Date Changes (Please identify page no.)

1.0

Dec 2002 JCC Feb 2002

2.0

Mar 2006 M Darroch JCC Jan 2006

3.0

Mar 2008 M Darroch JCC

4.0

10/01/2011 M Darroch HR Committee 06/12/2010

4.1 22/08/2013 M Darroch Y Ormston 21/08/2013

4.2

09/09/2014 M Darroch Y Ormston 01/09/2014 Review date extension

5.0 05/06/2015 E McDonald/M Darroch

HR Committee 01/06/2015

6.0 18/10/2018 Kathryn Atkinson

HR Committee 25/06/2018 Revised in line with values based appraisal process

6.1 17/10/2019 Karen O’Brien S Watson 04/10/2019 Clarity added to flowcharts about recording within ESR


Contents

1. Introduction .................................................................................................................................. 4 2. Policy scope .................................................................................................................................. 4 3. Aim of policy ................................................................................................................................. 5 4. Duties - Roles and Responsibilities ............................................................................................... 5 5. Definition of Terms ....................................................................................................................... 6 6. The Principles of Appraisal ........................................................................................................... 6 7. The Appraisal Process ................................................................................................................... 7

7.1 Aims of appraisal ............................................................................................................. 7 7.2 The role of appraisal ........................................................................................................ 7 7.3 Confidentiality ................................................................................................................. 7 7.4 The Appraisal Cycle ......................................................................................................... 8 -12 7.5 Health and well being ...................................................................................................... 12 7.6 Disagreement at Review………………………………………………………………………………………………12

8.0 Training and support .................................................................................................................... 12 9.0 Diversity and Inclusion ................................................................................................................. 12 10.0 Process for monitoring compliance with the policy ..................................................................... 13 11.0 Consultation and review of this policy ......................................................................................... 13 12.0 Implementation of this policy ...................................................................................................... 13 13.0 Associated documentation ........................................................................................................... 13 APPENDICES Appendix 1 Appraisal Flowchart ............................................................................................................ 14 Appendix 2 Appraisal Form ………………………………………………………………………………………………………………15-23


Appraisal Policy 1. Introduction

1.1 The success of Gateshead Health NHS Foundation Trust (The Trust) depends greatly on the knowledge, skills and efforts of individual members of staff. The organisation is therefore committed to developing staff to attain their full potential, both in their current role and throughout their career in the NHS. In order to do this, it is important to ensure that everybody’s work is aligned to the overall Trust Goals and to make sure that each member of staff is given the right direction and level of support. All staff are required to participate in the appraisal process, in accordance with the terms and conditions of their employment.

1.2 The appraisal process is viewed as the means of ensuring that each member of staff

understands their role and how their contribution fits into the overall success of the Trust. Through appraisal each individual should understand what is expected of them; have clear and objective feedback on their work performance and behaviours, and gain access to relevant learning, development and support.

1.3 Job descriptions and person specifications outline the core skills and knowledge that are required for each post. During the appraisal process, reference should be made to these documents as well as the Trust’s Goals, Vision and Values, Business Unit or Directorate aims, service/team objectives, and our Values Based Behaviours. Incoprorating these pieces of information will enable employees and managers to clearly align and articulate performance objectives and identify development needs.

1.4 This policy requires all appraisers (usually direct line managers or supervisors) to carry out

appraisals annually with each member of staff on an individual basis to ensure that all staff within the scope of this policy have the opportunity to maximise their potential and contribution to the Trust. Appraisals should also extend to other individuals whose work is mainly undertaken within the Trust, e.g. secondees, academic placements, joint appointments.

1.5 Apprasials underpin the Trust’s People Strategy and is fundamental to our Learning Culture.

2. Policy Scope

This Policy applies to all employees of the Trust with the exception of medical staff and bank workers, for whom separate appraisal arrangements and processes apply.

3. Aim of policy

This Policy provides a system for ensuring that appraisals take place in a way that is fair and consistent for all staff within its scope. The objectives of this policy are: • To enable employees to achieve high levels of performance and standards of behaviours in

order to provide excellent care to patients / excellent services to customers. • To ensure that appraisers, staff representatives and employees are aware of their rights and

obligations in respect of the appraisal process. • To provide a timely mechanism to support employees performance and contributions to the

Trust.


4. Duties – roles and responsibilities

4.1 The Trust Board is responsible for implementing a robust system and process for staff appraisal in support of the organisation’s commitment to be a good employer.

4.2 The Director with responsibility for Human Resources is ultimately responsible for ensuring

effective appraisal is taking place across the Trust.

4.3 Appraisers

It is an appraiser’s responsibility to ensure all staff in their area undergo an annual appraisal and that a record is kept in the individual’s personal file held by the line manager. A copy of the documentation should also be provided to the individual. Appraisers must also ensure that key outcomes of appraisals are recorded on the Electronic Staff Record (ESR) – including an opening appraisal for new starters. Appraisers are responsible for: - • Ensuring this policy is implemented fairly and appropriately and employees understand

the required levels of performance and behavioural standards that are expected of them.

• Ensuring employees receive the appropriate levels of support and development to achieve the required standards.

• Informing, recording and supporting the employee when instances of underperformance occur

• Setting clear, appropriate, and reasonable objectives.

4.4 Appraisees

The Trust recognises that a good appraisal system involves two-way discussions and mutual agreement. All members of staff have a duty to participate fully in appraisal, in line with the Terms and Conditions of their contract of employment. All staff must take shared responsibility for their development. Appraisees are responsible for:- • Ensuring they keep their line manager informed about any issues which may affect

their performance without fear of repercussions • Participating in meetings as part of this policy and make every effort to achieve the

required standards • Understanding their job description which outlines the duties, tasks and

responsibilities of their role and therefore the levels of required performance and standards of behaviour.

• Speak out if they are unclear about what is expected of them

4.5 The Workforce Development Team has responsibility for: • promoting good practice in appraisal through training and awareness • monitoring and reporting on appraisal compliance and outcomes • ongoing evaluation and review of the appraisal process, documentation and associated

training • providing advice, guidance, and coaching to appraisers


5. Definition of terms Appraisal - A process for individual employees and those concerned with their performance, typically line managers, to discuss their performance and development, as well as the support they need in their role. It is often used to both assess recent performance and focus on future objectives, opportunities and resources needed (Chartered Institute of Personnel and Development)

Performance is what you have accomplished against any given task or behavioural standard set. Job Descriptions and Person Specifications describe responsibilities, skills and knowledge that need to be applied in a post, against which an individual is reviewed as part of the appraisal process. Development plan – this is produced following the appraisal evaluation, outlining the individual’s learning and development needs. Learning and development may be undertaken using a variety of methods, including formal training, qualifications, undertaking research, on-the-job/experiential learning, mentoring, coaching, secondment, webinars, 360 degree feedback, provision of additional responsibilities/project work, networking/conferences, job shadowing, etc.

6. Principles

6.1 The appraiser in most instances should be the line manager / supervisor and should know

the individual’s work sufficiently to be in a position to discuss performance and progress. 6.2 Both the appraiser and appraisee have a responsibility to prepare for the appraisal review

meeting and bring relevant information which enables meaningful discussion and review of performance. The appraisal conversation should be a balanced 2-way dialogue between the appraiser and the appraisee.

6.3 There should be no surprises at the end of year appraisal review conversation; both the

appraiser and appraisee should have had regular ongoing conversations so that there is an mutual awareness of progress, support requirements and any issues should have been dealt with in a reasonable and timely way.

6.4 The appraisal review meeting complements regular staff supervision meetings, one-to-ones

etc; it is recommended that objectives and plans are reviewed more frequently than the timescales outlined in this policy.

6.5 Throughout this process staff should feel valued, supported and treated with respect; one

of the Trust’s core values. The Trust promotes a workplace free from bullying, harassment and discrimination. No employee should be treated less favourably in terms of the conducting their appraisal on the grounds of their age, disability, race, nationality, ethnic origin, sex, sexual orientation, religion and belief, gender reassignment, marriage and civil partnership or pregnancy and maternity.

6.6 Appraisal reviews and associated documentation are confidential and should be stored

accordingly. Any information shared should be for the purpose of accessing support, training and guidance to assist employees to meet the required standards. Once the appraisal review is complete, key outcomes should be recorded on the Electronic Staff Record system.

6.7 If the appraisee considers that any aspect of the process has not been carried out

effectively or fairly, they should discuss their concerns informally with the appraiser in the


first instance. If these concerns are not resolved satisfactorily at an informal level, they may raise the matter formally with the appraiser’s line manager.

7. The Appraisal Process 7.1 Aims of appraisal

Through appraisal each member of staff will: • Understand how they contribute to the Trust goals; • Understand what is expected of them and why; • Have the opportunity to demonstrate how they meet the requirements of their role • Receive clear and objective feedback on their work performance and behaviours; • Receive recognition for their achievements; • Have access to relevant learning and development • Have the opportunity to discuss and plan their career aspirations

7.2 The role of appraisal

The appraisal conversation is an opportunity for managers to recognise performance, support development and enable the employee to realise their potential. Appraisal should be seen as a tool with which to review progress, manage performance, and facilitate development positively. Appraisal is not a substitute for good day to day performance management. Should an individual’s work performance or behavioural standards give cause for concern, the appraiser should raise the specific issue with the staff member in a timely manner. This discussion, and the action which is agreed with the individual to rectify the performance issue, should be documented and monitored independently of the appraisal process.

Performance issues should, however, be acknowledged during the individual’s appraisal meeting and feedback on progress should form part of discussions. This is in accordance with the “no surprises” philosophy which is emphasised during appraiser training. Appraisal needs to be consistent with the day to day management of performance and should reinforce the need for improvement where gaps have been identified.

Should the individual’s performance continue to give concern, the Trust’s Managing Performance policy should be utilised.

7.3 Confidentiality

Appraisal discussions and documentation are confidential and should be handled as such. Appraisers should be mindful that confidential issues may arise, however, if for any reason information does need to be shared with a third party e.g. in health or well being issues, or implementing or supporting development plans, this should be discussed with the appraisee beforehand. Designated staff who may view appraisal documentation will include: the individual, the appraiser and the appraisers line manager, and for the purposes of fairness and consistency, members ofthe Business Unit/Directorate Appraisal Levelling Group as and when appropriate, e.g. during periods of disputed appraisal outcomes. The Electronic Staff record will record outcomes of the appraisal, in particular the date of the appraisal, the


appraiser, the work and behavioural performance ratings, the readiness to progress, and development needs.

7.4 The Appraisal Cycle

The steps of appraisal follow a 12 month cycle, as illustrated below:

7.4.1 Step 1 - Plan

Objective setting

Work objectives should be a description of the outcomes that an individual or team is expected to achieve to maintain or improve the service and should not be confused with development needs. Behavioural objectives articulate the way in which an individual is expected to conduct themselves, i.e. the “how” they work.

New to Post Objective setting should

take place within 4 weeks of start date

New employees to Trust 1st probation review meeting by week 12 2nd probation Review meeting by week 26

Monitoring to be done

throughout the year.

6 month mid-year appraisal

review: to include

discussion on progress & any

issues. Amend

objectives/time frame if required

Set end of year review date at least 4 weeks in advance of meeting Both Appraiser and Appraisee to prepare for end of year meeting ,

and prelimary evaluate performance and behavioural objectives

End of Year Review

Have a 2 way discussion

about overall performance , considering all

evidence. Review and

rate individuals progress of

objectives and development

plan. Discuss career aspirations and any succession

planning requirements

Record on ESR.

• Discuss role expectations • Agree work/behavioural objectives • Agree developmental plan • Record on Electronic Staff Record


In order to be effective, objectives should be based on the SMART principle ie. specific, measurable, achievable, relevant and timely.

Once objectives have been established, agreement should be reached as to the timescale for completion and how achievement will be measured. These measures should also be documented. Objectives may be either “maintenance” objectives which apply to existing areas of work or behaviours, or “developmental”, relating to new areas of work or demonstration of specific behaviours.

Whether agreeing individual or team objectives, work and behavioural objectives should be discussed, mutually agreed and recorded so that there is a clear understanding of what is expected.

Team objectives are especially useful in departments where there are larger groups of staff who can more readily identify with team rather than individual objectives. Team objectives can be applied to either uni- or multi-disciplinary teams and has strong team-building potential. Team objectives ensure that all groups of staff understand where their contribution fits into team/organisational priorities.

Team objectives should be documented as part of an individual’s objectives and may also be displayed in team areas. If team objectives are set, it is best practice to still undertake the end of year review conversations on a one-to-one basis; this is so that each individual can have specific feedback and acknowledgement of their contribution, and also provide the opportunity for individuals to raise any concerns and discuss specific development needs. Agreeing the Development plan The Trust wants every employee to have some form of development every year, whether it is to maintain your current level of performance and behaviours, to be ready for changes to your role/department, or whether it is relevant to future career aspirations.

An individual’s development needs may arise from a number of sources, and are likely to be a combination of these:

• Development needs to meet the individual’s job role requirements; • Development needed to help the individual achieve their work or behavioural objectives; • Core training requirements (corporate and local); • Development for fulfilling and maintaining professional status / qualifications; • Development to support an individual in working towards their future career aspirations.

Development should refer to learning in its broadest sense. Appraiser and appraisee should first identify what learning and development needs are appropriate for the individual. Options should then be discussed as to how best their development needs can be met, considering the individual’s preferred learning style. An individual’s Development Plan should ideally feature a range of learning experiences. The Development Plan should clearly state who will take lead responsibility for actioning each development activity and the expected date for completion.


7.4.2 Step 2 – Monitor Ongoing support and encouragement needs to be given to ensure that members of staff are performing to their full potential. A documented review should take place at least every six months. The Mid-year Review is to:

• monitor progress towards objectives; • identify and help overcome any barriers to progress; • give general feedback on performance; • revise and update objectives, if necessary; • review progress towards development; • evaluate the effectiveness of learning & development already undertaken; • revise and update the Development Plan; • discuss how learning will be applied and shared

The Appraisal documentation provides a structure for discussion at the review meeting.

7.4.3 Step 3a - Prepare

The Appraiser

The appraiser should encourage, support and provide staff members with reasonable time to participate in the Trust’s online Appraisal Awareness training.

On appointment the appraiser should make sure that the individual has a copy of the job description for their post and the Values Based Behaviours and is able to refer to it in advance of the appraisal meeting.

The appraiser should give each member of staff at least 4 weeks notice of their appraisal meeting, during which time up to a one hour preparatory time may be provided to the appraisee. It is the appraiser’s responsibility to ensure that the annual End of Year Review takes place at the 12 month stage.

The appraisal documentation and training provides guidance for appraisers and appraisees which will help them prepare for the appraisal.

The appraiser should review in advance of the meeting the staff member’s previous year’s appraisal documentation; familiarise themselves with the individuals job description, refer to evidence collated throughout the review period about the appraisee’s performance and prepare feedback.

A minimum of one hour should be set aside for each meeting and a suitable time and location chosen which will ensure an uninterrupted and private conversation.

The Appraisee

There is a requirement that staff members will contribute to the appraisal discussion by demonstrating how they have achieved their work and behavioural objectives and development plan.

The appraisee should review their previous appraisal documentation and consider their progress in relation to work & behavioural objectives, their development plan, and consider how this fulfils the requirements of their post. Appraisees are encouraged and required to reflect on their own performance ready for an open and honest discussion.


The apprasiee should provide supporting evidence of their progress towards objectives through the use of written evidence, e.g. reports, emails, pieces of work produced; records of key measures or performance indicators; feedback received; or reflections on own practice. The appraisee should also bring evidence of progress towards their Development Plan, this might include a learning record, professional/re-accreditation portfolio, certificates of completion, reflections on learning, and evidence of applying their learning and development.

The appraisee should consider what development they require to either effectively perform their role and/or progress in their career.

7.4.4 Step 3b - Evaluate

End of Year Review

The Appraisal documentation provides a structure for discussion at the End of Year Review meeting. Documention is available via the Trust’s Intranet.

During the appraisal meeting, the appraiser and appraisee should review the appraisee’s progress towards achieving their work and behavioural objectives.

Both the appraiser and appraisee should bring clear and objective evidence that the individual is making steady progress in applying the knowledge, skills and behaviours identified as required in their role and as specified in their objectives, so that progress towards achievement of objectives can be considered.

Following the conversation, the appraiser and appraisee should agree on an appropriate rating against each objective, these range from “exceeded” to “not met”. Comments can be added to the appraisal form against each objective to provide more detail around the ratings given or any extenuating circumstances. The ratings given should be noted on the form under the column “assessment of performance”.

The ratings should then be added together and divided by the total number of objectives to give an overall rating for work and behavioural objectives respectively. These overall ratings should then be noted in part 3 of the appraisal form.

Both the appraisee and appraiser provides their overall summary of performance within part 3 of the appraisal form. The two ratings should then be added together to provide an overall performance rating between 0 – 6. This overall performance rating provides the row position on the talent grid on the last page of the appraisal document.

7.4.5 Step 3c – Review

Following agreement of an overall performance rating, the appraisee and appaiser should refer to the Talent Grid. The performance rating indicates which row on the grid applies to the appraisee. The appraiser and appraisee should then have a conversation about the appraisees career aspirations, their readiness to progress, support and development required. Further guidance on this conversation can be found on the Intranet. Indications of future role preferences should be noted on the appraisal form under “next role”.

There may be some staff members that are satisfied within their current role and have no current aspirations to progress to another role. Under these circumstances, it is recommended that they are placed within the first column of the talent grid (professional talent, not yet ready/happy to remain).


The talent grid can be viewed as a dynamic document, appraisee’s career aspirations and readiness to progress may change at key points throughout their career and personal life.

The appraiser and appraisee should review the development plan, discuss how learning has been put into practice, and what further development is required to support the appraisee to fulfil their role and/or support them with relevant career aspirations.

The appraiser should consider the outcomes of the appraisal conversations in relation to succession planning, e.g. if a staff member plans to retire or seek a promotion within the next 12-18 months, consider how the vacated post will be fulfilled, e.g. identifying and developing potential candidates for the role, redesigning the role etc. Planning requirements should be noted on the appraisal form as this helps Business Units/Directorates to identify future gaps early and plan workforce requirements accordingly.

7.5 Health and Wellbeing

During the appraisal meeting, the appraiser should make time to ask the member of staff about their general health, well-being and working life. They should consider any issues which may be preventing them from being effective in their role.

This provides an opportunity for staff to discuss and raise issues. However, the member of staff need not divulge anything they do not wish to. The documentation should however be completed to show that this area has been discussed.

The appraiser should attempt to help resolve any issues or if appropriate refer to their line manager or Occupational Health (providing they have the agreement of the appraisee to do so).

7.6 Disagreement at review

Every effort should be made to ensure that appraisers and appraisees are able to resolve differences of opinion during the review process without recourse to formal proceedings.

If there is disagreement over the review, in the first instance the employee can request a further meeting with the appraiser together with their union representative or a workplace colleague.

If the employee continues to disagree with the outcome they should refer the matter to their Business Unit / Directorate Appraisal Levelling Group. If the employee remains dissatisfied with the outcomes of the Levelling Group, they maintain the right to appeal.

Where disputes occur which are related to pay progression and the dispute is resolved in the employees favour, the associated pay will be backdated to the incremental date.

8.0 Training and support

All appraisers are required to undergo Appraisers Training. Appraisers must accept responsibility for updating at regular intervals, or as required, to ensure that their knowledge and skills are up to date with the requirements of the appraisal process.

Appraisal skills training is accessible for both new and experienced appraisers and is provided in-house. Appraisal awareness is accessible to all new and existing members of staff through e-learning.

Ongoing advice and support on all aspects of Appraisal are available from the Workforce Development Team.


9. Diversity and Inclusion

The Trust is committed to ensuring that, as far as is reasonably practicable, the way we provide services to the public and the way we treat staff reflects their individual needs and does not unlawfully discriminate against individuals or groups on the grounds of any protected characteristic (Equality Act 2010). This policy aims to uphold the right of all staff to be treated fairly and consistently and adopts a human rights approach. This policy has been appropriately assessed.

10. Process for monitoring compliance with the policy

Monitoring compliance with this policy will be the responsibility of the Workforce Department. This will be undertaken by:

Standard/Process/ Issue

Monitoring Audit

Method By Committee Frequency

Completion of Appraisal Reviews

Monthly Report Managers Via Manager Self Service dashboard

Monthly

Appraisal completion Rates Quarterly Report Workforce Team

HR Committee

Quarterly

11.0 Consultation and review of this policy

This policy has been reviewed in consultation with JCC and LNC. 12.0 Implementation of this policy

This policy will be circulated by the Trust Secretary. Any changes will be highlighted to staff as part of training and awareness.

13.0 Associated documentation

Diversity, Inclusion and Equality Policy (PP14);

Performance Management Policy (PP50)

NHS Leadership Academy Talent Management Conversation Tool

Gateshead Trust Values Based Behaviours


Appendix 1 Appraisal Flow Chart

The appraiser should: o Explain the process & structure of the meeting o Discuss progress over previous 6 – 12 months using preparation form as a prompt

Agree appraisal meeting date with staff member & Issue preparation form

Preparation by appraiser Preparation by staff member

• Review previous year’s Appraisal; documentation

• Reflect on appraisee’s performance & prepare evidence & feedback

• Review previous year’s Appraisal; documentation

• Complete preparation form • Reflect on your work performance & prepare

portfolio of evidence

Appraisal Meeting

o Encourage self appraisal against current work objectives o Draw out examples of objectives achieved and skills, knowledge

and behaviours demonstrated (refer to individual’s portfolio of evidence if there is one)

o At the end of the cycle , complete with the appraisee a joint review and assign ratings against objectives

o Discuss readiness to progress & career aspirations

Set date for interim review meeting

o Agree work & behaviour objectives for the next 12 months (individual / team or mixture)

o Agree development needs and complete plan

Ensure Electronic Staff Record is completed to confirm the appraisal is complete

NB: For new employees you would commence the process here. Please remember to record this on the Electronic Staff Record as it is the opening of an appraisal.


Appendix 2 Appraisal Form

Our Trust Vision places the patient at the centre of everything we do and provides a focus through which we deliver the best in safe, high quality care,

underpinned by sound values and a strong commitment to collaborative working with both staff and stakeholders.

Our Trust Goals Years: what we want to achieve by 2021 1. Working with partners, we will manage and improve the health of the

population of Gateshead, promoting wellbeing and preventing the

occurrence and progression of ill-health wherever possible.

5. All our services will be effective: we will reduce unwarranted variation,

ensure our practice is consistent with recognised best practice 7 days a

week, and improve outcomes for patients. 2. All the services we deliver will be good or outstanding as being safe,

effective, caring, responsive, and well-led.

6. We will have an engaged and motivated workforce living the values and

behaviours of the organisation, and who are responsive and adaptive to the changing needs of our environment.

3. In all locations and settings of delivery, our patients will experience

excellent, timely and seamless care that meets their individual needs.

7. We will deliver value for money and help ensure the local health and care

system is sustainable and well led. 4. All our services will have a high safety culture in which openness and

learning from high levels of incident reporting and mortality reviews is the norm.

8. We will use our expertise in Pathology, Women’s Cancer, Screening services

for the benefit of the wider NHS, working with partners to provide excellent care for patients beyond Gateshead

Our 20 Trust Objectives – Click here

Our Trust Values Our Trust Behaviours – we will…

Innovation, Creativity and Reform Look for better ways to do things. Embrace new ways of working. Continually develop ourselves. Uphold a service

ethos.

Care & Compassion Put ourselves in other people’s shoes. Be approachable. Be sensitive and considerate. Listen, respond and support.

Openness, Honesty and Transparency Be honest. Be courageous. Admit mistakes. Share information. Do the right thing.

Respect, Dignity and Equality (Inclusion) Value the skill and contribution of others. Treat each other fairly and reasonably. Appreciate and embrace difference. Be helpful.

Engagement and Partnership Involve others. Listen. Work together. Share information and resources.

Employee Details

Name

Payroll No.

Job Title

Team/Dept

BU / Service

Start Date

Appraiser Details

Name

Job Title

http://staffzone.xghnt.nhs.uk/trust-documents/corporate-documents.php


PART 1 – Work Objectives – “WHAT” we do

Your work objectives should contribute and support the objectives of your team / department, which should be aligned to the Business Unit / Trust objectives, and

ultimately the Trust’s goals. Through this alignment, every individual can understand how their work contributes to the success of the organisation. Explanations of the ratings are contained within the Appraisal Guides. Ensure stated objectives are SMART: Specific, Measureable, Achievable, Relevant and Timely.

Planned objectives for the year End of Year

Review

No. Objectives

Please specify your work objectives over the next 12 months. Ensure objectives are SPECIFIC (clear outcome) ACHIEVEABLE (realistic), RELEVANT (to role and aims of the service)

Expected

Completio

n Date TIMELY

Measures of success

Please specify how you will MEASURE achievement? Quality, quantity, time, cost – what are the performance indicators?

Which

Trust

Goals & service

objectives does this

support?

Comments Assessment

of

performance 3- Exceeded 2- Met 1 - Partially met 0 - Not met

1

2

3

4

5

End of Year Review only – to calculate the Overall Performance Rating against Objectives

Add together all the ratings of individuals objectives:

Divide the above total by the number of objectives and then round to the nearest whole number:

Note: Work objectives differ from development needs; these should be noted under the “Development Plan” section.


PART 1 - Behavioural Objectives – “HOW” we do it

Behavioural objectives should be values based around the person’s current role or a role they aspire to. Individuals are not required to list all values based behaviours, but to select a few that require development through the year. The behavioural objectives should be populated from examples given in the Trust’s

Behavioural Framework or ones that are relevant to your area / department.

Example: Being open, honest and transparent may include specific behaviours such as admitting when we make a mistake; apologising and putting it right; confronting problems / issues, even though they might be difficult to resolve; or asking questions and challenging positively and appropriately.

Planned Behavioural objectives for the year What are you doing that demonstrates you value others? End of year

review

No. Values Based Behaviours

Evidence, feedback, measures, comments Assessment of

performance 3- Role Model 2- Fully demonstrated 1- Partially demonstrated 0 – Not demonstrated

1.

2.

3.

4.

End of Year Review only – to calculate Overall Performance Rating against Behaviours

Add together all the ratings of individuals behavioural objectives:

Divide the above total by the number of behavioural objectives and then round to the nearest whole number:


PART 1 - Development Plan

The Trust supports the continued growth and development of staff members. Development plans should build or strengthen the skills, competencies and behaviours that will help each individual to succeed in their current position and/or in a future role as discussed between the manager and the individual.

No Development Needs

(Linked with work objectives, behaviours or relevant career aspirations)

How will this development be applied at work?

What will be different as a result?

Method for meeting the

development needs:

Arranged

by:

Timescal

e

1.

2.

3.

4.


PART 2 – Mid-year review

Mid-year review comments – summary of discussion between reviewer and employee on their progress.

The ‘What’ - Progress against Work objectives The ‘How’ - Progress against behaviours

Development Plan Progress

Additional Comments e.g. Health & Well-Being, mitigating circumstances, key focus areas, etc.

Employee Signature: Appraiser Signature Date:


PART 3 – End of Year Review

Employee Summary of Performance - Overall summary and self-evaluation by the employee on their performance for the year

The ‘what’ performance results (work objectives) The ‘How’ - Behaviours Development Plan Review

Appraiser Summary of Performance – Overall summary by the Reviewer of the employee’s performance for the year

The ‘what’ performance results (work objectives) The ‘How’ - Behaviours

Readiness Category:

RN = Ready Now

RS = Ready Soon NYR/ HTR – Not

Yet Ready/ Happy to Remain

A. Overall Work

Objectives Rating:

B. Overall

Behaviours Rating:

Overall

Performance Rating = A + B

On rating scale of 0 - 6

Next Role Succession Planning

Requirements

Additional Comments e.g. Health & Well-Being, mitigating circumstances, key focus areas, etc.

Employee signature: Appraiser signature: Date:

Descriptors of the OVERALL Ratings – Work Objectives


Ratings

0 – Not Met

1 – Partially Met

2 – Met

3 – Exceeded

Overall performance

rating against

WORK

OBJECTIVES

The individual struggled to

deliver what is required to meet their objective.

Objective has not been achieved

and/or the work isn't at the required standard.

The individual has failed to

complete objective (even partially), even though it was in

their control to do so.

On the whole, objective has

been delivered to an acceptable level, although not

fully completed as agreed. Objective has been completed

at a minimum level. There is

room for improvement and/or

things could be done differently.

Extra work and effort is

required to improve performance in the future.

Objective delivered as

agreed and in the timescales required

(where within the individuals influence or

control).

The quality of the work

clearly demonstrates their

capability in their role.

Delivered over and above on

objective. They have gone way above and

beyond - working proactively and

adding real value back to the business, positively impacting on

areas/work outside the original

scope. The individual sees it as their

responsibility to stretch and

further develop themselves and demonstrates a broad range of

skills and experience.

Descriptors of the OVERALL Ratings - Behaviours

Ratings

0 – Not Demonstrated

1 – Partially Demonstrated

2 –Fully Demonstrated

3 – Role Model

Overall

performance

rating against

BEHAVIOURS

The individual is failing to

demonstrate the behaviour

required at their level

They have made little or no

effort to display the required

behaviour or they are unable to grasp the behavioural level

required.

Their behaviour has a negative

impact on others. The individual

has not taken action on previous feedback regarding

their behaviour.

A greater degree of

consistency is required in

demonstrating the behaviour

or several of the behaviours needed to be worked at to

achieve an acceptable level.

Improvement in displaying the

behaviour could be achieved

by asking for and acting on feedback.

The individual meets most

of the behavioural

requirement for their level

all of the time.

They are open to

development feedback and act on this straight

away.

The individual is a role model

across the behaviour.

They are a role model in how

they behave at all times with all people – always demonstrating

the relevant behaviour when completing every aspect of their

role.

The individual is often

spontaneously mentioned by

people both inside and outside their team when discussing

‘excellence’ or role models of behaviour.


Behavioural and Performance Matrix

Talent and career development and maximising potential is necessary for the retention of employees no matter what their position is within the organisation; whether that is for example; An employee who needs support to reach the potential in their current role, a new employee who has just started in a role and needs

targeted support to reach their potential in their new role or a ‘role model’ employee who has mastered their current role and shows high potential to make a step change to the next path in their career in the NHS. This matrix gives a visual representation of where an individual sits (Talent Management Questions given in

Appraiser Guide to support) The matrix has been designed to be used after an individual’s rating have been evaluated, with the exception of the “New into Role”

element which can be used at the very beginning of the appraisal with a new starter. The Talent Management Questions can support you to gauge when an individual is ready to progress, being able to complete to next table (9 box grid)

Talent Conversation – during end of year review meeting

Gold Fundamental to

keeping our NHS going.

New to Role

Possible Step Change: Leadership Role

Possible Step

Change: Technical

Expert

What you achieve Performance – Work Objectives

Partially demonst

rates behavio

urs

Meets behavio

ur expectat

ions

Exceeds behavio

ur expectat

ions

Partially

meets

Meets

expectations

Exceeds

expectations

How you

achieve it

Behavioural Objectives


The grid below can be utilised during the conversation between manager and employee to capture evidence and examples relating to relevant grid areas to help

identify where the employee best fits in relation to their overall performance and readiness / ambition to progress in their career.

Step 1: Together determine overall performance and behaviour rating (first column of grid) Step 2: Have a discussion around the readiness of the employee to progress in their career (top row of grid)

Step 3: Agree on the category that is most applicable to the employee (cross point of agreed first column category & top row category) Step 4: Explore & discuss how performance and/or career can be developed and supported.

Readiness

to progress:

Not Yet Ready (NYR) or Happy To

Maintain (HTM)

Shows promise to continue to advance in their professional field or into a wider

role within 3-5 years if have the capacity and ambition to do so, but

equally valuable where they are and happy to stay in this position.

Developing talent, ready soon (RS)

Demonstrates the potential, ambition and

motivation to develop at their current level and potentially progress in their career within

1-3 years into new and wider challenges.

Ready now (RN)

Demonstrates the potential, ambition,

motivation and experience to perform at the next level now or within the next 12

months into new and wider challenges. Overall

Performance (Work Objectives +

Behaviours)

Exceeds expectations

Performance rating of 5 - 6 Outstanding performance against objectives, achieves more than what is expected and demonstrates role modelling of behaviours

required beyond their role.

Meets expectations

Performance rating of 4 Meets the expectations for performance against

objectives and behaviours required at the level for the role.

.

Partially meets

expectations

Performance rating 0 - 3 Below “met expectations” against performance

objectives and behaviours at the level for their role.

N/A

appraisal policy - qegateshead.nhs.uk

Documents