Appraisal Process & Paperwork
Update Workshop
Jackie Skeel
13 March 2014
Changes to A4C Terms & Conditions
• Nationally agreed Agenda for Change terms and
conditions (annex W) were amended 31.3.13.
– Pay progression will not be automatic
• Progression through all incremental pay points in all pay
bands will be conditional on individuals demonstrating that
they meet locally agreed performance requirements.
• Staff in bands 8C, 8D and 9 – pay progression to the last
two points in a band will become annually earned and only
retained where the appropriate local level of performance
is reached in a given year.
Appraisal Policy
Policy Scope:
This policy applies to all permanent and temporary (including fixed term
contract) employees. It does not apply to bank workers, junior doctors
(covered by Deanery) or non-training medical staff (covered by the Doctor’s
Appraisal Policy).
Policy Monitoring:
• Appraisals are recorded onto ESR.
• Appraisers should ensure that name and date of appraisal is emailed to:
appraisal@iow.nhs.uk
Revisions to our Appraisal Policy
Appraiser responsibilities:
• Arranging a pre-appraisal review no later than 3 months prior to the
next appraisal meeting to ensure objectives and personal
development plan are on target. This may only need to be a short
10 minute discussion.
• Ensuring that the appraisal paperwork is completed and signed (by
the appraisee, appraiser and next in line manager) within one
month of completion of the appraisal.
• If the appraisee does not agree with the content of the final
appraisal document, this should be escalated to the next in line
manager. If agreement still cannot be reached, the appraisee should
refer to the Grievance Policy and Procedure.
Revisions to our Appraisal Policy
Appraisee responsibilities:
• Ensuring that they complete in full the pre-appraisal pack
prior to the appraisal discussion. Failure to do so will result in
the appraisal discussion being postponed until this has been
completed and pay progression may be affected.
• Participating in the appraisal process. Ensuring that they have
prepared and given consideration to the evidence to
demonstrate their achievement of objectives and their
development needs for their personal development plan.
Revisions to our Appraisal Policy
Appraisal cycle – Appraisals for those working in A4C band 8 and above should
take place between April-June.
– All other appraisals should take place between April-July.
Mandatory training –
– Should be completed or booked prior to any other education or
training activities being agreed.
– In the last 6 months prior to the appraisal meeting, the
appraisee must evidence 80-100% compliance for at least one
month during this period.
Revisions to our Appraisal Policy
Objectives – Minimum of 4 and maximum of 6; one related to values and
behaviours, one to mandatory training and one related to quality.
– From April 2015, Managers/Appraisers will need to assess whether
objectives are rated as ‘Met required standard’ or ‘Not met
required standard’.
– If objectives ‘Not met required standard’
• The individual should be monitored, as normal, through
performance management processes (Capability Policy refers)
• If not yet at the top of their A4C band (or band 8+) a change
form will need to be completed to defer increment.
– Appeals: The appraisee has a right to appeal through the Trust’s
Grievance Policy and Procedure.
Revisions to our Appraisal Policy
Mitigating circumstances
If objectives are not met because, for example…
• An activity outside the department has had an impact on the ability to
deliver the objective.
• Individuals are unable to meet their objectives due to circumstances
beyond their control (e.g. change in policy).
• Temporary unforeseen, but significant, changes to the individual’s job
role.
• Absence – see 6.10 in policy relates to long term, maternity etc
You should use Manager’s discretion.
“If the mitigating circumstances are disputed, appraisers should seek
advice from their HR Officer in the first instance.”
Appraisal Paperwork
Appraisal Paperwork
Appraisal Paperwork
Appraisal Paperwork
The following questions are to help you to prepare for your appraisal.
Whilst you do not have to answer them all in detail, it would be helpful for
you to review these questions to prompt discussion during your appraisal
meeting.
•
•
•
•
•
•
•
•
•
How would you describe the last year of working in your role?
What do you consider to be your most important achievements of the past year?
What have been the most significant challenges for you in the last year?
What is the biggest obstacle at work that you are facing?
What action could be taken to improve your performance in your current position
by you, your manager or systems/processes?
What contribution would you love to make in your current role?
What are you really good at?
How could teamwork in your immediate team be improved?
What opportunities do you see for growth and development in your existing role?
Do you have career aspirations, if so, what area of personal development would be
of benefit for you in your career aspirations?
Appraisal Paperwork
Appraisal Paperwork
SMART Objectives
Specific - The objectives should specify what they
want to achieve.
Measureable - It should be possible to measure
whether or not the objectives are being met.
Achievable - The objectives should be attainable.
Realistic - The objectives should be realistically
achievable using the available resources.
Timetabled - There must be measured time within
which objectives are to be met.
SMART Objectives
See back page of pre-appraisal pack for examples…
•
Review the long term financial viability of X service, taking into account income,
costs, co-dependencies and long term growth. Produce a short written report
ensuring that risks and quality impacts and mitigating action identified and
present findings and recommendations to the Directorate Management
team. Complete by XX/XX/20XX
•
Implement a monthly team meeting to be held within 5 days of executive
briefing. Ensure attendance is above 60% and minutes are recorded and
distributed to the whole team. Meeting should include Trust and directorate
news, performance and team information. Implement by end of XX/XX/20XX.
•
Undertake a monthly stock review and tidy the clinical supplies store, including an
initial reorganisation by end of XX/XX/20XX. Stock review should include checking
that there are no out of date supplies and highlight where stock is
missing. Complete Monthly.
•
Act as the department representative on the XX group, feeding back to the team
following every meeting (within 7 days). Take issues from the service to the
group. Attend monthly meetings. Ensure clear feedback.
Appraisal Paperwork
Appraisal Paperwork
Appendices
1.
2.
3.
4.
Saving Lives Infection Prevention & Control
Driving Licence Checks Form
Register of Interests Declaration
Statement of Compliance for Organisation Requirements
–
–
–
–
–
Staff badge
SFI’s
Patient records
Night worker
CQC standards
Amending our Appraisal Policy is a positive
step to ensure that all staff…
•
•
•
Receive an annual appraisal (monitored through ESR).
Set and agree appropriate objectives.
Have a personal development plan.
Research has found that if staff have a high quality
appraisal and feel valued, patients will receive better
care.
Professor Michael West
Questions?