Appraisal - bcpft.nhs.uk

Version 2.4 January 2020

Appraisal

Target Audience

Who Should Read This Policy

All Trust staff Medical staff and Executive Directors

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Ref. Contents Page

1.0 Introduction 4

2.0 Purpose 4

3.0 Objectives 4

4.0 Process 4

5.0 Procedures connected to this Policy 6

6.0 Links to Relevant Legislation 6

6.1 Links to Relevant National Standards 6

6.2 Links to Other Key Policies 6

7.0 Roles and Responsibilities for this Policy 9

8.0 Training 10

9.0 Equality Impact Assessment 10

10.0 Data Protection and Freedom of Information 11

11.0 Monitoring this Policy is Working in Practice 11

Appendices

1.0 Appraisal Form including Future Performance Objectives Form, 13 Appraisal Completion Checklist & Appraisal Review Form

2.0 Optional Appraisal Forms: 20

2.1 Detailed Review of Previous Year’s Objectives 21

2.2 Detailed Plan of Future Training & Development Needs 22

2.3 KSF Review 23

3.0 Summary of the Trust Vision, Values, Behaviours and Strategic Objectives 24

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Explanation of terms used in this policy Appraisal – Meeting between an individual and their manager to review the individual’s performance, to set work related objectives, and to identify meaningful development needs

Appraiser – The manager who undertakes the appraisal of another member of staff

Appraisee – The individual member of staff being appraised

KSF/ Knowledge and Skills Framework – Nationally developed NHS Framework, which describes the key knowledge and skills required by NHS staff

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1.0 Introduction

In order to deliver a high quality service to our patients, service users and carers, the Trust recognises the importance of having skilled, competent and engaged staff. Appraisal is a key part of this, and when done well, can have a significant impact on staff motivation and the quality of care delivered. The Trust is therefore committed to ensuring that all staff receive a high quality, annual appraisal. This is achieved through an appraisal discussion between the appraiser and the appraisee to:

Review an individual’s performance, and any development undertaken

Set objectives for the next 12 months, to support Trust aims and objectives

Explore an individual’s career aspirations

Identify meaningful development needs, to support improved performance, the achievement of objectives, succession planning and career aspirations

2.0 Purpose

The purpose of this policy is to outline the key principles and the Trust’s approach and documentation for employee appraisals.

3.0 Objectives

The key objectives of this policy are to:

Ensure that all Trust staff have a high quality appraisal annually

Describe how the Trust will implement appraisal

Provide a simple framework around which appraisal discussions can be structured

Ensure that individual’s performance is actively reviewed

Ensure that all staff have clear, relevant and measurable work related objectives, which support delivery of a high quality service

Enable meaningful development needs to be identified and planned

Ensure staff have completed their mandatory and specialist mandatory training

Support career development, professional development and succession planning, as appropriate

4.0 Process

Every employee will receive a high quality annual appraisal. All appraisals will take place between February and May each year, to align with and incorporate the organisation’s objectives for the forthcoming year. Eligible employees will receive an annual pay increment where appropriate criteria have been met (see SOP 1 – Pay Progression for specific guidance. This criteria includes the completion of all the required mandatory/specialist mandatory training). In relation to appraisals, mandatory/specialist mandatory training and pay progression also see the Trust’s Training and Study Leave Policy. The appraisal discussion will focus on ensuring that a meaningful dialogue takes place between the appraiser and the appraisee. Each appraisal will comprise four main elements:

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Reviewing the individual’s performance and any development undertaken, in the previous 12 months, including mandatory and specialist mandatory training

Setting work related objectives for the next 12 months

Exploration of the individual’s career aspirations

Identifying meaningful development needs for the next 12 months KSF and other competency reviews are not a mandatory part of the annual appraisal, but can still be undertaken at the request of the appraiser or appraisee. Such reviews may be undertaken at a separate time from the appraisal. The Trust Appraisal Form Appendix 1 will be completed for all appraisals including an appraisal completion checklist.

The other forms attached to this policy in Appendix 2 are optional, and can be completed for an appraisal, at the request of the appraiser or the appraisee. To inform appraisal reports, the manager should record the completed appraisal and pay progression details on ESR within 1 week of the appraisal taking place. See intranet for guidance on how to do this. Each appraiser should appraise a maximum of 12 staff. Where an appraiser is likely to exceed this number of appraisals, there may be an issue regarding capacity to undertake quality appraisals and therefore this should be resolved between the appraiser and their line manager. This may involve having an agreed lead within the team to support an appraiser in completing appraisals in such circumstances. 4.1 New Starters New starters will have the appraisal principles and processes explained to them at local induction by their line manager. This is important to ensure that all new starters are clear about what is expected from them. An initial appraisal will take place with all new starters within 3 months of commencement in post, to measure initial performance in the role, set objectives, and identify areas for development. 4.2 Appraisal Preparation Appraisees are to be allowed reasonable time to prepare for their appraisal during work time. 4.3 Appraisal Monitoring/Review The appraisee’s performance, achievement of objectives, compliance of mandatory/specialist mandatory training and development needs will continue to be monitored throughout the year, by the appraisee and the appraiser. A 6 monthly review of the agreed objectives should take place between the appraiser and appraise as a minimum. Details of this review should be captured on the Appraisal Review Form section of the Appraisal Form. All staff have the right to be treated fairly and consistently throughout the appraisal process.

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5.0 Procedures connected to this Policy

SOP 1 - Pay Progression

6.0 Links to Relevant Legislation

There is no current legislation that links to this policy.

6.1 Links to Relevant National Standards

CQC Regulation 18: Staffing The intention of this regulation is to make sure that providers deploy enough suitably qualified, competent and experienced staff to enable them to meet all other regulatory requirements described in this part of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014. To meet the regulation, providers must provide sufficient numbers of suitably qualified, competent, skilled and experienced staff to meet the needs of the people using the service at all times and the other regulatory requirements set out in this part of the above regulations. Staff must receive the support, training, professional development, supervision and appraisals that are necessary for them to carry out their role and responsibilities. They should be supported to obtain further qualifications and provide evidence, where required, to the appropriate regulator to show that they meet the professional standards needed to continue to practise. CQC Regulation 19: Fit and Proper Persons Employed The intention of this regulation is to make sure that providers only employ 'fit and proper' staff who are able to provide care and treatment appropriate to their role and to enable them to provide the regulated activity. To meet this regulation, providers must operate robust recruitment procedures, including undertaking any relevant checks. They must have a procedure for ongoing monitoring of staff to make sure they remain able to meet the requirements, and they must have appropriate arrangements in place to deal with staff who are no longer fit to carry out the duties required of them. Employing unfit people, or continuing to allow unfit people to stay in a role, may lead CQC to question the fitness of a provider. If CQC considers that a breach of this regulation takes place there may also be a breach of another regulation(s) that carries offence clauses, then we can move directly to prosecution without serving a Warning Notice. For example, in situations where the care and treatment is provided without the consent of a person using the service or someone lawfully acting on their behalf, and where it is unsafe, does not meet the person's nutritional needs, results in abuse, or puts the person at risk of abuse.

6.2 Links to Other Key Policy

It is important to note that this appraisal policy does not exist in isolation. Appraisal is just one key element in supporting the effective performance management and development of staff. This policy should therefore also be read in conjunction with the following Trust documents: Supervision Policy This policy defines and describes four types of supervision in use within the organisation:

http://luna.smhsct.local/documents/policies-a-z/a/4213-appraisal-sop-1-pay-progression/file

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Clinical Supervision

Managerial Supervision

Professional Supervision

Safeguarding Children Supervision Through defining and outlining standards & practice within these four types the policy seeks to inform both the delivery of these models and the development of local guidance and procedures for the delivery of all other forms of supervision in use within the Trust and to make clear:

The expectation of the Trust in relation to clinical supervision, managerial supervision, professional supervision and safeguarding children supervision

The roles and responsibilities within all supervision arrangements

The process for monitoring that all staff receive the appropriate supervision for their role

Training & Study Leave Policy This purpose of this policy is to enable Trust staff to perform effectively in their role, deliver safe and high quality services and support the learning and development of staff. The policy provides details of the mandatory and specialist mandatory training framework. Capability Policy The purpose of this policy is to support and encourage staff to achieve and maintain the high standards of performance expected by the Trust and to provide a consistent framework for handling performance issues in a fair and consistent manner. Managing Attendance Policy The aim of this policy and procedure is to ensure that the Trust is aware of and records the levels of and reasons for staff sickness absence, helping to minimise the negative impact on services due to staff sickness whilst ensuring staff absence is dealt with fairly and equitably given the individual circumstances of each case.

Disciplinary Policy The overriding aim of this policy is to correct inappropriate conduct creating a working environment where the highest standards possible may operate. This policy aims protect the rights of the individual employees by affording them balanced consideration in any disciplinary proceeding, ensuring the right to representation by a Trade Union Representative or workplace colleague and making available the right to appeal against disciplinary decisions made. This policy also aims to protect the rights of management to exercise the authority delegated to them by the Trust in organising and supervising work, setting and maintaining standards of behaviour and efficiency. Grievance and Disputes Policy This policy aims to encourage full and open communication between managers and employees with the aim of resolving any concerns quickly and as near to the source as possible. This policy has been developed to give guidance on the procedure to be adopted where early action to resolve an issue has failed and a grievance has developed.

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NB: This is not an exhaustive list. 6.3 References

The NHS Knowledge and Skills Framework and the Development Review Process (October 2004)

Appraisals and KSF Made Simple – A Practical Guide NHS Staff Council. (Nov 2010)

The link between the management of employees and patient mortality in acute hospitals. International Journal of Human Resource Management West, M, Borrill, C et al (2002)

Continuing Professional Development and your Registration Health Professions Council Guidance (Feb 2010)

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7.0 Roles and Responsibilities for this Policy

Title Role Responsibilities

All Staff Appraisee -

Adherence

- Prepare for their own appraisal by considering:

o how the last year has gone o what their objectives for next year might be

o what training and development they have completed, including mandatory/specialist mandatory training

o their career aspirations o the development needs they may have

- Fully participate and contribute to the annual appraisal meeting, and any subsequent meetings to review progress - Monitor their own progress throughout the year, against the agreed work related objectives and development needs

identified within the appraisal - Monitor their compliance with mandatory/specialist mandatory training

- Take personal responsibility for self-development, to support their own job performance and personal / professional

development

Line Manager/

Supervisor/ Team

Leader/ Manager

Appraiser -

Operational

- Undertake an annual appraisal with all employees within their area of responsibility, between February and May each year

(or delegate this responsibility, as appropriate)

- Ensure all employees within their area of responsibility understand the appraisal process, its purpose, value, and their role within it

- Meet with new starters to explain the appraisal process and performance standards, as part of their induction, and undertake an initial appraisal with new starters within the first three months of employment

- Prepare for the employee’s appraisal in advance, ensuring that the appraisal is high quality and comprises a two way

discussion - Ensure the appraisal documentation (Appendix 1) is fully completed, copied for the appraisee, signed, and placed on their

personal file - Confirm that the employee’s appraisal has taken place, including pay progression details, by recording this on ESR, within 1

week of the appraisal - Continue to monitor and review the appraisee’s performance, throughout the year. E.g. via one-to-ones, supervision, the

six month review etc.

- Continue to monitor and review the appraisee’s training and development needs throughout the year, conducting a 6 monthly review as a minimum. This includes ensuring the appraisee is up-to-date with their mandatory/specialist

mandatory training. - Ensure a consistency of approach to appraisal for all their employees, to ensure a fair and equitable process

Group/ Service/

Corporate Managers

Leadership/

Oversee - Implementation

- Monitor appraisal completion rates, to ensure that all employees within their area of responsibility receive an annual

appraisal between February and May each year, and agree actions to address any areas of concern - Ensure the effective implementation of appraisal processes within their Group/ Service/ Department, in line with the

framework outlined in this policy, and to ensure equity and fairness of application. - Provide appraisers with the necessary information and understanding of Group/ Service objectives and priorities – to inform

appraisals and work related objectives

- Support appraisers to resolve any disagreement between appraisers and appraisees arising from appraisal discussions (NB

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This may be delegated as appropriate)

Learning and

Development Team

Responsible - Develop and review appraisal policies, processes and paperwork, in consultation with the wider organisation and staff side

- Undertake audits of completed appraisals at least annually, to ensure the quality of appraisals, and to review the effectiveness of the appraisal process

- Provide advice and support to appraisers and appraisees with regard to the appraisal process and identified development

needs, where appropriate - Make appraisal skills training available for appraisers across the Trust

Workforce Information

Team

- Capture populated data on ESR to inform appraisal reports.

- Report appraisal completion figures to Trust Board, Business and Performance Committee, and Group Management Boards, to enable action to be taken where necessary

Group Management Board

Monitor

- Monitor Group appraisal completion figures - Identify and monitor actions to address any areas of underperformance with appraisal across the Group

Business and Performance

Committee / Trust

Board

Scrutiny and

Performance

- Champion the right for all staff to receive a high quality annual appraisal

- Receive regular reports on appraisal completion figures for the Trust - Receive and monitor, by exception, any areas of concern with regard to appraisal

Director of Workforce

and Organisational Development

Executive Lead - Lead responsibility for the implementation of this policy

- Allocate resources to support the implementation of this policy - Bring any serious concerns regarding the implementation of this policy to the attention of the Board of Directors

8.0 Training

What aspect(s)

of this policy will require staff

training?

Which staff groups require this

training?

Is this training covered in the Trust’s Mandatory and

Specialist Mandatory TNA document?

If no, how will the training be delivered?

Who will deliver the training?

How often will staff require

training

Who will ensure and monitor that staff have

this training?

Appraisals

Section 4.0

Line Managers,

Supervisors, Team

leaders and Managers

No Internal Courses that are

arranged by the Trust’s

Learning and Development

Team

Internally by

Llearning and

Development

Once Workforce Development

Group

9.0 Equality Impact Assessment

Black Country Partnership NHS Foundation Trust is committed to ensuring that the way we provide services and the way we recruit and treat staff reflects individual needs, promotes equality and does not discriminate unfairly against any particular individual or group. The Equality Impact Assessment for this policy has been completed and is readily available on the Intranet. If you require this in a different format e.g. larger print, Braille, different languages or audio tape, please contact the Equality & Diversity Team on Ext. 8067 or email [email protected]

mailto:[email protected]

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10.0 Data Protection and Freedom of Information

Data Protection Act provides controls for the way information is handled and to gives legal rights to individuals in relation to the use of their data. It sets out strict rules for people who use or store data about individuals and gives rights to those people whose data has been collected. The law applies to all personal data held including electronic and manual records. The Information Commissioner’s Office has powers to enforce the Data Protection Act and can do this through the use of compulsory audits, warrants, notices and monetary penalties which can be up to €20million or 4% of the Trusts annual turnover for serious breaches of the Data Protection Act. In addition to this the Information Commissioner can limit or stop data processing activities where there has been a serious breach of the Act and there remains a risk to the data.

The Freedom of Information Act provides public access to information held by public authorities. The main principle behind freedom of information legislation is that people have a right to know about the activities of public authorities, unless there is a good reason for them not to. The Freedom of Information Act applies to corporate data and personal data generally cannot be released under this Act.

All staffs have a responsibility to ensure that they do not disclose information about the Trust’s activities, this includes information about service users in its care, staff members and corporate documentation to unauthorised individuals. This responsibility applies whether you are currently employed or after your employment ends and in certain aspects of your personal life e.g. use of social networking sites etc. The Trust seeks to ensure a high level of transparency in all its business activities but reserves the right not to disclose information where relevant legislation applies. The Information Governance Team provides a central point for release of information under Data Protection and Freedom of Information following formal requests for information; any queries about the disclosure of information can be forwarded to the Information Governance Team.

11.0 Monitoring this Policy is Working in Practice

What key elements will be monitored?

(measurable policy objectives)

Where described in policy?

How will they be monitored?

(method + sample size)

Standards / Key Performance Indicators

Who will undertake this

monitoring?

How Frequently?

Group/Committee that will receive

and review results

Group/Committee to ensure actions

are completed

Evidence this has

happened

Appraisal completions across

the Trust will be recorded on and reported from ESR

4.0 - Capture populated data

on ESR to inform appraisal reports.

- Report appraisal completion figures to

Trust Board, Business

and Performance Committee, and Group

Management Boards, to enable action to be taken

where necessary

All staff

receive a high quality

annual appraisal

Workforce

Information Team

February –

May each year

- Trust Board

- Business and Performance

Committee - Group

Management

Boards

Group Management

Boards

Minutes

of Meetings

and Action

Plans

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APPRAISAL FORM 2020/21

Please ensure each section of this form is completed (where applicable)

Appraisee (Name)

Date of Appraisal

Appraiser undertaking review (Name)

Six Monthly Monitoring

Date of 6 monthly review

1. Achievements / Strengths What has been achieved over the last 12 months? Any key strengths? How has the appraisee demonstrated the Trust behaviours positively in action? Have last year’s objectives been achieved? This is important - linked to pay progression (If detailed review of objectives are required – see Optional Appraisal forms – see below/Appendix 2 of Appraisal Policy)) Key Achievements Please complete every section Key Strengths & Demonstration of Trust Behaviours: Please complete every section

Review of Last Year’s Objectives:

Please complete every section

2. Barriers to Achievements / Things that have been challenging / Areas for Development What has stopped the appraisee achieving (e.g. knowledge base, organisational, Division objectives changing, resources?) This may include both personal and professional issues. Are there any areas of further development around the Trust behaviours? If a detailed review of objectives is required – see Optional Appraisal Forms Barriers to Achievements / Things that have been challenging: Please complete every section

Areas for Development:


Appendix 1

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APPRAISAL FORM 2020/21

3. Training / Development undertaken & evaluation What development has been undertaken during the previous year? How has this added value to the service and supported individual / service / organisational objectives? Also review the appraisee’s mandatory/specialist mandatory compliance matrix on ESR. This is important – linked to pay progression


Please tick

3.1 Please confirm discussion has taken place regarding Mandatory/Specialist Mandatory Training compliance.

Please complete

3.2 Is the appraisee compliant with their Mandatory/Specialist Mandatory Training? If no, please answer question 3.3.

Please complete

3.3 If appraisee is non-compliant with Mandatory/Specialist Mandatory Training, are the reasons justifiable? For guidance please refer to Trust’s Appraisal Policy and Trust’s Pay Progression Procedure (SOP1) and comment below. If this does not apply state not applicable (N/A) in the box opposite. If the reasons are not justifiable pay progression may be affected.

Please complete

3.4 Mandatory/Specialist Mandatory Training Further Comments (as appropriate)


3.5 Clinical Staff (Direct Patient-facing)/Non-Clinical Staff IPC Competency Checklist completed as appropriate and placed on personal file? (Checklists available on Trust intranet)

Yes/No

If Yes, please note what actions, if any, were taken where a learning need was identified: If No, give reason below: Please complete every section

4. Career Aspirations What are the appraisee’s career aspirations over next 12 months, longer term? Are they realistic in light of known potential/skills etc.? What are the opportunities within the team/wider service for promotion, role enrichment/sideways moves, etc. within next 12 months/longer term? Is there a fit between aspirations and available opportunities within immediate team/wider service?


5. Future Training & Development Needs

Remember to consider all types of development opportunities – e.g. shadowing, leading on a particular project, etc. Consider mandatory/specialist mandatory requirements (refer to individual’s training compliance matrix), development needs to address challenges faced, support achievement of objectives, as well as wider career development / succession planning. If detailed planning of development needs is required, see Optional Appraisal Forms (see below/Appendix 2 of Appraisal Policy). Development needs should be realistic in terms of funding available, and relevance to role and service. Consider whether the Trust’s Apprenticeship Levy could be utilised to support the appraisee in gaining a qualification. For further information see the ‘Introduction to the Apprenticeship Levy’ document.

Please complete every section. Please consider whether the Trust’s Apprenticeship Levy could be utilised.

Appendix 1 Cont/-

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APPRAISAL FORM 2020/21 6. Health & Well-Being Explore with the appraisee their current health & well-being and whether they are aware of the interventions and support available across the Trust to support them. Please complete every section

7. Revalidation, Professional Body’s registration requirements and HCPC requirements. Check with appraisee that they are making appropriate progress in terms of meeting the requirements for revalidation/their professional bodies registration requirements etc. Summarise progress below. Refer the appraisee to the Revalidation SOP/other appropriate guidance for further information and guidance. Please complete or put N/A if Not Applicable

8. Overall comments by Appraiser


9. Overall comments by Appraisee


Signature of Appraiser

Date

Signature of Appraisee

Date

Remember to record the completion of this appraisal and pay progression details on ESR via Manager Self Service/ESR Portal. Please see the “Managers Guide: How to

Add an Appraisal Date onto ESR”. For queries contact the L&D Helpdesk on 0121 612 8237 or Workforce Information on 0121 612 8111

If you have been the beneficiary of any gifts or hospitality in this year please ensure that you complete and submit the Gifts and Hospitality Form which can be found in

Appendix 2 of Standards of Business Conduct Policy

Appendices Appendix 2 of the Trust’s Appraisal Policy comprises Optional Appraisal forms, for use when the

appraiser or appraisee requests a KSF review; a more detailed review of previous objectives; detailed outlining of future development needs; or a review of organisational expectations. (This may be completed separately from the appraisal) OPTIONAL FORMS Not currently To be Date required undertaken completed Managers – please indicate below whether any other optional forms have or will be completed

– Review of Previous Objectives …………

– Future Development Needs …………

– KSF Review …………

– Organisational Expectations Review …………

Other Review required ……………………. …………

Appendix 1 Cont/-

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FUTURE PERFORMANCE OBJECTIVES FORM – 2020/2021

Use this form to record an appraisee’s future objectives for the next year.

FUTURE PERFORMANCE OBJECTIVE SETTING Objectives should be set using the SMART Model

Expected Performance Objectives The appraisee objectives should link to discussions in the appraisal review, Trust, Division and Departmental objectives, and be focussed on improving quality of service delivery. The objectives should be specific, measurable, achievable, realistic and have a timescale identified. NB: The first objective must describe a specific action / project the appraisee will undertake to improve the experience of patients / users of the service in which they work. To reflect the behaviours our patients and colleagues expect from us, the second objective is expected to reflect at least one of the Trust Behaviours (see Appendix 3)

No. Core Objective By When (Date)

Critical Success Factors How will you measure that the objective has been achieved?

1. All Employees: This year, I will improve the experience of patients and / or those who use the service in which I work by …. Please complete

2. All Employees: This year I will commit to demonstrate the Trust Behaviours by …. Please complete

3. Please complete. Delete rows where applicable




Pay Progression Following completion of the Appraisal Form, please ensure the date of the completed appraisal and pay progression details are recorded, on ESR within 1 week of the appraisal taking place.. Also record on ESR whether the appraisee has met previously set objectives, including mandatory/specialist mandatory training compliance. NB: If the appraisee is non-compliant with their mandatory/specialist mandatory training and there is no justifiable reason, pay progression may be affected. Further guidance can be found in the Trust’s Pay Progression Procedure (SOP1) and “Managers Guide: How to add an appraisal date onto ESR”.

Appendix 1 Cont/-

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APPRAISAL COMPLETION CHECKLIST

Please complete the checklist below to ensure all appropriate actions have been taken

Appraisal Completion Checklist

Name of Appraisee:

Please complete

Appraisee Signature:

Please complete

Name of Appraiser:

Please complete

Appraiser Signature:

Please complete

Line Manager (if different to Appraiser)

Please complete

Other Professional Lead involved in Appraisal (where applicable):

Please complete

Date of Appraisal:

Please complete

Date of 6 Month Review:

Please complete

Revalidation/Professional Registration Date (If applicable)

Please complete

Quality Measures

Yes/No Comments

Last year’s objectives completed

Please complete

Please complete

Mandatory/Specialist Mandatory Training up-to-date Please Note: If ‘no’, pay progression may be affected. Discuss reasons for non-compliance with appraisee. If there is no justifiable reason, please refer to the Trust’s Appraisal Policy and Pay Progression SOP for further guidance.

Please complete

Please complete

Pay Progression discussed

(see above) Please complete

Please complete

Discussion of service/team objectives

Please complete

Please complete

Discussion of appraisee’s objectives

Please complete

Please complete

Cont/-

Appendix 1 Cont/-

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APPRAISAL COMPLETION CHECKLIST Cont/-

Quality Measures Cont/- Yes/No Comments

Changes to job description discussed (if applicable)

Please complete

Please complete

Future training and career aspirations discussed (including whether the Trust’s Apprenticeship Levy could be utilised to support an appropriate qualification – see ‘Introduction to Apprentiveship Levy’ document on intranet for further guidance)

Please complete

Please complete

Any further support identified

Please complete

Please complete

Feedback on quality of appraisal meeting

Please complete

Please complete

Mid-point appraisal review agreed

Please complete

Please complete

All sections of appraisal paperwork completed and signed by appraiser and appraisee

Please complete

Please complete

Copy of appraisal paperwork on personal file and copy given to appraisee

Please complete

Please complete

Appraisal date and pay progression details added to ESR (See ‘Managers Guide: How to add an appraisal date onto ESR’ on intranet)

Please complete

Please complete

IPC Competency Checklist for Clinical (Direct Patient-facing)/Non-Clinical Staff completed and placed on personal file

Please complete

Please complete

Clinical Supervision Agreement reviewed and updated (where applicable)

Please complete

Please complete

Once appraisal form fully complete, please place original on the personal file

Appendix 1 Cont/-

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APPRAISAL REVIEW FORM

Use this section to record when you review this appraisal - at least 6 monthly.

APPRAISAL REVIEW - Six monthly as a minimum You should review the appraisee’s appraisal, including progress with mandatory/specialist mandatory training, other training and development needs and performance objectives, on a regular basis with the appraisee – perhaps in

existing 1:1 meetings or supervision. Review Date Comments/Update/Progress

(including the training and development needs and performance objectives)

Appraisee Signature

Appraiser Signature

Please complete

Please complete. Delete rows where applicable

Please complete

Please complete

Appendix 1 Cont/-

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Optional Appraisal Forms

Optional Form 1 – Detailed Review of Previous Year’s Objectives Optional Form 2 – Detailed Plan of Future Training & Development needs Optional Form 3 – KSF Review Any of these optional forms may be used where either the appraiser or the appraisee requests this.

Appendix 2

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DETAILED REVIEW OF PREVIOUS YEAR’S OBJECTIVES

Use this form if a more detailed review of previously set objectives is required.

Name of appraisee .....................................................................................

REVIEW OF PREVIOUS OBJECTIVES Was the objective achieved? Was it achieved on time and to the expected standard? If not, why not? What went well? What challenges were faced? What further action is needed?

No. Previous Objective Achieved (Y / N)

Comments

1

2

3

4

5

6

7

8

Optional Form 1

Appendix 2.1

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DETAILED PLAN OF FUTURE TRAINING & DEVELOPMENT NEEDS

Use this form if more detailed planning of development needs is required Name of appraisee .....................................................................................

FUTURE TRAINING & DEVELOPMENT NEEDS Development needs to be linked to challenges faced, achievement of objectives, career development / aspirations/succession planning. No. Development Need Completed

By When (Date)

Delivery Method (Consider most appropriate methods e.g. Training, Shadowing, Projects, Reading etc)

1.

2.

3.

4.

5.

6.

7.

Optional Form 2

Appendix 2.2

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KSF REVIEW

Use this form if a review of an individual’s performance against the KSF is requested by the appraiser or the appraisee.

Name of appraisee .....................................................................................

KSF Dimension Level Required

(From KSF

Outline for Post)

Performance Summary Level Achieved

Communication

Personal & People Development

Health, Safety & Security

Service Improvement

Quality

Equality, Diversity & Rights

Other Specific Dimension …………………..

Other Specific Dimension …………………..

Optional Form 3

Appendix 2.3

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Summary of the Trust Vision, Values, Behaviours, Priorities and Strategic Objectives – To Help You in Your Appraisal

You told us that it would help you in your roles, and in your appraisals, to understand the Trust’s Vision, Values, Priorities and Strategic Objectives. This document provides a reminder of these, including the Trust Behaviours, to help you understand how your individual objectives link to these.

Trust Vision Vision strapline: Our community: you matter, we care Vision statement: To work with local communities to improve health and well-being for everyone

Trust Values

Honesty & Transparency - we will act in a transparent way that supports honesty and openness. Integrity – we will act in a professional and competent way Empowerment - we will empower: people who use services; carers and staff Compassion and Kindness – people who use our services, carers and staff will be treated with compassion and kindness Dignity & Respect - people who use services, carers and staff will be treated fairly, with dignity and respect, appreciating their individuality

Trust Behaviours Be caring & demonstrate compassion Have the courage to take action Communicate effectively Treat everyone as an individual Be competent & professional

Trust Priorities 1. Get paid for what we do

2: Well led & empowered workforce 3. Be the best we can

Appendix 3

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4. Clinically led sustainable services 5. Happy and healthy staff 6. Strengthen stakeholder engagement 7. Co-produce with users, carers

Strategic Objectives Objective 1 - We will nurture a culture which provides: safe, effective, caring, responsive and well led services. Caring- patients are treated with compassion, respect and dignity and that care is tailored to their needs. Responsive – patients get the treatment or care at the right time, without excessive delay, and are involved and listened too. Effective- patient’s needs are met and care is in line with national guidelines and NICE quality standards and promotes the best chance of getting better Well led- there is effective leadership, governance and clinical involvement at all levels and a fair, open culture exists which learns and improves listening and experience Safe- patients are safeguarded from physical, psychological and emotional harm or abuse

Objective 2 - We will involve and listen to patients, carers and families experience to continually improve services we provide. The trust will deliver and support a culture that places the quality of the patient, carers and families experience at the heart of all that we do, following the principle of ‘no decision made about me, without me’ We are committed to ensuring that patients, families and carers are involved in developing, planning and monitoring services.

Objective 3 - We will be a leading provider of specialist mental health, learning disability and children’s services, proactively seeking opportunities to develop our services building partnerships with others, to strengthen and expand the services we provide. We will actively increase our research activity and continually look for opportunities to partnership with similar healthcare providers. In particular the MERIT (Crisis, 7 day working, rehab and recovery for adult MH) DUDLEY (children’s) vanguards We will actively work in partnership with healthcare providers offering similar or complimentary services including:

Sustainability Partners: We will work with our chosen strategic partners Birmingham Community Healthcare NHS Trust and Dudley and Walsall

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Mental Health Partnership NHS Trust to develop joint clinically and financially sustainable services.

MERIT Partners: We will work with our partners in the MERIT vanguard to deliver improvements to Adult Mental Health services through the clinical work-streams (Crisis, 7 Day working and Recovery) and enabling work-streams (including workforce, governance etc.)

Other Partners: We will work with our partners in the Dudley Vanguard (mainly focused on children’s services from a Trust perspective); We will actively increase our research activity; and we will continually look for opportunities for other partnerships which are aligned to the above programmes

Objective 4 - Attract and retain a well-trained, diverse, flexible, empowered and valued workforce.

Develop a leadership style that embeds the Trust Values, staff engagement and the delivery of effective services

Ensure the profile of the organisation in terms of diversity and skill mix meet organisational requirements, addresses hard-to-fill roles and delivers requirements for new pathways of care

Ensure that there are appropriate strategies/activities in place to improve staff health, wellbeing and experience

Provide staff with learning and development opportunities that support quality of care and career aspirations

Ensure the development of a workforce plan and supporting programmes that ensure a systematic approach to workforce management

Objective 5 - Resources will be used effectively, innovatively and in a sustainable manner. The trust aims to be in the top quartile for all performance indicators. We will ensure integrated information sharing is in place and have plans to provide an up to date, accurate, accessible Health Record. We will operate within our resources and have programmes of work to ensure services are sustainable.

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Policy Details

* For more information on the consultation process, implementation plan, equality impact

assessment, or archiving arrangements, please contact Corporate Governance

Review and Amendment History

Version Date Details of Change

2.4 Jan 2020 Minor amends to Appraisal Form ((now includes appraisal checklist (previously App.4) & IPC checklist compliance); deletion of ‘Pay Review Form’ commentary (no longer required)

2.3 Jan 2019 Minor amendments to Appendix 1, 3 and 4 to support 2019-20 Appraisal period and amended to reflect recording appraisals on ESR

2.2 July 2018 Minor amendments to include discussions re:mandatory/specialist mandatory training at appraisal; updated appendices 1 and 3

2.1 Mar 2016 Minor amendment to appendices; new appraisal form and a summary of the trust vision, values and key priorities added

2.0 Jan 2015 Review of policy, major amendments to policy to show the addition of the requirement for career aspiration discussions as

Title of Policy Appraisal Policy

Unique Identifier for this policy BCPFT-HR-POL-01

State if policy is New or Revised Revised

Previous Policy Title where applicable N/A

Policy Category Clinical, HR, H&S, Infection Control etc.

Human Resources

Executive Director whose portfolio this policy comes under

Director of Workforce and Organisational Development

Policy Lead/Author Job titles only

Head of Learning & Development

Committee/Group responsible for the approval of this policy

Workforce Development Group

Month/year consultation process completed *

n/a

Month/year policy approved January 2019

Month/year policy ratified and issued January 2019

Next review date January 2022

Implementation Plan completed * Yes

Equality Impact Assessment completed * Yes

Previous version(s) archived * Yes

Disclosure status ‘B’ can be disclosed to patients and the public

Key Words for this policy Appraisal, Appraisee, Appraiser, PDR, KSF

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part of appraisal

1.1 Feb 2014 Minor amendments to appendices; Appraisal forms

1.0 Aug 2012 Alignment of policies following TCS, new policy for BCPFT

Documents

Appraisal - bcpft.nhs.uk