APPRAISAL 2017 GUIDANCE

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Appraisal process for non-medical staff (i.e. all staff other than those who have a medical appraisal and revalidation)

We want to improve the quality of the appraisal process for staff, so that more staff feel valued as a result of this process and find appraisal useful. Our appraisal rates are usually over 90% but comments from staff in the staff survey show that the quality of the appraisal and the action on development needs are not always effective. Appraisal is a confidential discussion between an employee and their manager. It is intended to have a positive outcome for both parties. However, the Trust recognises that some staff may have concerns about it and therefore, the following principles will apply:

All actions/outcomes must be agreed between employee and manager Advice and support will be available for both employees and managers on conducting/attending

appraisal meetings Appraisal reviews are not part of the formal disciplinary or grievance procedures Attendance at appraisal does not guarantee any offer of formal learning opportunities Grandparent managers (see page 7) will be involved in quality assurance by having access to those

completed by their own direct reports The appraisal system comprises a two-tier approach to be used depending upon the level of post being appraised. Under normal circumstances:

The 'Trust Person' appraisal will generally be used by those staff who have no formal line management responsibilities

The ‘Trust Manager and Leader' appraisal will generally be used by those who have formal line

management responsibility for others or those who are in a specialist role subject to annual objective setting

The system tells you.

The Trust Person VALUES The Trust Manager Always patient focussed

People Centred

Always equally patient and staff focussed

Always a team player Always supporting effective team work

Always honest Always honest

Always striving to communicate effectively Always striving to communicate widely and effectively

Always showing empathy Compassionate

Always showing empathy for patients and staff

Always seeking to understand how others are feeling

Always seeking to understand how others are feeling

Always striving to do their best for patients and colleagues

Excellence

Always striving to do their best for patients and staff

Always appreciating the efforts of others Always appreciating the efforts of others

Always taking responsibility for actions Always taking responsibility for actions

Always seeking out opportunities for improvements

Always seeking out and encouraging opportunities for improvements

Always staying positive to reassure patients Positive

Always staying positive to reassure staff and patients

Always reflecting about the impact of own attitude and behaviours upon the service

Always reflecting about the impact of own attitude and behaviours upon the service and staff

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Appraisals will take place between 7th April and 31st August this year. This ensures that all employees have their objectives reviewed and discussed in line with the Trust’s Strategic Aims. Senior managers should ensure that there is still a systematic sharing of aims and objectives early in the window. The phrase ‘Non-Medical’ means all staff other than doctors who have a medical appraisal and revalidation process that is separate. It is a mandatory requirement for all Trust employees to have an appraisal using the electronic system on an annual basis during this time, and have their objectives set for the following 12-month period. In addition, a review meeting should take place approximately 6 months after the appraisal discussion, to check the employee's progress against their objectives and Personal Development Plan and to provide an interim assessment of performance. If it is impossible for staff and their managers to get access to the system from their usual base due to IT problems then advice should be sought from the appraisal team or their HR service to see what solutions can be accommodated. It is strongly recommended that all employees are given sufficient notice of their appraisal and notified of the date, time and venue for their review, along with guidance regarding any pre-review preparation they need to undertake. Under normal circumstances, the appraisal interview should take between 1 – 1.5 hours to complete. Time should also be dedicated to preparation for both the appraiser and the member of staff and reflection. Appraisals are signed off by both parties as being an accurate record and we are keen that this includes comments on the usefulness and quality of appraisal. An electronic survey is distributed once an appraisal is closed. We use this evaluation to improve the system and its training. The appraisal system has been designed to:

Ensure that all employees understand their role in helping the Trust achieve its Vision and Values

Align the employees role and responsibilities to the strategic aims and objectives of the Trust, the directorate, the department and the team in which they work

Assess the employee’s competence in meeting the requirements of their role and in assisting the Trust to achieve required values and behaviours

Provide constructive feedback on performance and progress against agreed objectives

Review performance against agreed criteria, such as objectives, competency frameworks, and/or any other relevant professional and occupational standards

Agree new objectives/priorities for the year ahead; and

Identify and agree any support and development the employee may need for all of the above Appraisal provides the opportunity for managers to:

Check-in with employees, i.e. discuss with staff how they are on a personal level

Praise employees for excellent performance and recognise the contribution they make to the organisation

Provide feedback in a positive way

Communicate with all employees, providing information and advice in line with the directorate, department, team and individual's objectives

Jointly agree priorities/objectives

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Assess future career options and aspirations for employees. At Band 7 and above, the appraisal has also been used to identify those eligible for the Trust's Talent Management process

Identify problem performance and take action to provide support as necessary

Celebrate achievements

Appraisal provides the opportunity for employees to:

Have an individual meeting with their manager Show that they are a valuable asset to the Trust and department in which they work

Receive constructive feedback on their performance

Celebrate success and recognise achievements against work objectives

Discuss objectives which have/have not been achieved

Understand how their role links to corporate and directorate objectives

Evaluate their own performance

Agree and record their priorities/objectives for the next 12 months

Identify any development needs and necessary support required from their line manager/other people

Agree a Personal Development Plan

Guidance for Managers (Appraisers) and Employees (Appraisees) Appraisal Training is available for managers throughout the year. For further details, please look at the oneHR site for dates and book accordingly. Face to Face Appraisal training is available for appraisers and all other information is on oneHR. This includes for those new to appraisal, those new to the system and those just looking for some additional support to become even more effective. In addition to the training and this guide, there is also a user guide and some short videos on the system that can be referred to for practical assistance. Preparing for the appraisal (Appraiser)

The manager arranges a mutual date with the employee for the appraisal to take place between 7th April and 31st August.

The manager explains to the employee that they need to complete the ‘Pre-review’ section of the appraisal before the agreed date. Assistance on this can be found in the resources section or on oneHR.

The manager reviews the ‘Performance’ section prior to the appraisal, identifying any points for discussion regarding:

the employee’s performance and behaviour over the past 12 months

progress against any agreed objectives and PDP

their achievements; what they have done well

areas of excellent performance

areas for improvement (Make notes of specific examples to use during the discussion) Preparing for the appraisal (Employee)

The employee completes the ‘Pre-review’ section, focusing on key achievements over the past 12 months and aspirations for the future. The employee can also input their initial thoughts regarding their future objectives and personal development at this point, which will provide points for discussion at the actual appraisal. If they feel confident enough they can start to add objectives and PDP information in.

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The Appraisal Discussion (Appraiser) Make sure you allow enough time for the discussion. Check-in with the employee, asking how they are on a personal level. Check that the employee has completed the relevant sections of the appraisal. Let the employee/appraisee lead the discussion.

TOP TEN APPRAISAL TIPS

Oops there are 11!!

Pre-review Section Discuss the employee's responses to the questions in this section, adding your own observations where appropriate and using coaching style questions to enrich the discussion. (See Appendix 3)

Performance Review Section As the self assessment section has been removed, the appraisee should discuss their thoughts on their own ratings here. It is the manager's role to assess the employee's performance against the 4 key areas and provide the overall average performance rating. You will need to record the rating for each area of performance and the overall rating in this section. It is crucial that you also record the reasons for your decision in the event that these need to be referred to in the future. (See Appendix 1 for details of the rating levels) The ratings for Trust values and behaviours are worded differently.

For Trust Person appraisals: These should be held once managers have been appraised. Key duties and tasks List the key areas of responsibility held by the post-holder. Under each area, describe the method used to assess their performance. This may include objectives, competences, Job Description or any other method appropriate to the post. Values and Behaviours Refer to the key indicators as defined in the Trust Person standards shown in the section and in more detail in Appendix 5. Working Safely

Planning

• Prepare – who, what, when, where, why & how

• Face to face appraisal meeting

Soft skills

• Person focus NOT PC focus

• Be personable

• Recognise and value each other

• Sit 1-1 and Listen

• 2 way constructive feedback

Process

• Tell the truth about mandatory training

• Explain Trust Objectives

• Set clear Objectives – Departmental and Trust

• Agree a meaningful Development Plan

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Discuss the post-holder's responsibilities and performance/conduct in relation to Infection Prevention, Health & Safety, Mandatory Training, Medical Device competence and Confidentiality etc. At this point it is important to discuss the employee's attendance record. Continuous Improvement and Innovation Discuss with the employee any initiatives they have suggested for the continuous improvement of the service and the extent to which their contribution has been successful.

For Trust Manager appraisals: The Senior Team need to be appraising managers in April or early May to allow sufficient time for managers to appraise their staff in the remaining 2 months. Objectives Discuss the employees performance against objectives agreed in the previous appraisal. Behavioural Skills Refer to the standards set out in the Trust Manager and leader key indicators and the results of any feedback such as previous LMSQ or 360 degree feedback reports completed for the appraisee. (See Appendix 6 for more detail) Working Safely Discuss the post-holder's responsibilities, performance and conduct in relation to Infection Prevention, Health & Safety, Mandatory Training, Medical Device competence and Confidentiality etc. At this point it is important to also discuss the employee's attendance record. Continuous Improvement and Innovation Discuss the employee's role and performance in relation to continuous improvement. Include a discussion about their leadership qualities in relation to their team's contribution to improving the service. For each of the above areas of assessment, rate the employee on the 4-point scale, using the guidance in Appendix 1, ensuring that you state the reasons for this decision.

For all Staff:

Personal Development Plan Section

Use this section to review any development or training opportunities the employee has undertaken over the past 12 months and how this has assisted in their overall performance. Discuss future development needs for the employee, taking into consideration time and cost factors before agreeing any actions. The Personal Development Plan has been pre-designed so that you can relate these to the relevant area of performance. The drop down PDP list has been updated and there are links to take you to Course Information in oneHR.

Objectives Section

This section focuses on setting objectives for the forthcoming year. Discuss the employee's role and responsibility for helping the Trust achieve its corporate objectives for the forthcoming year. Example objectives have been provided for each of the Strategic Aims. These can be selected if relevant. Alternatively there is a free text field to develop more appropriate objectives-up to 6. Discuss the employee's thoughts on their own objectives for the forthcoming year, adding further objectives where necessary, identifying relevant actions to be taken to achieve these. Discuss what successful achievement of those objectives will look like and ensure target and review dates are set. (See Appendix 2)

Talent Management Section

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This has been removed and those staff who aspire to be developed to Trust senior roles can speak to the Organisational Development team.

Summary of Appraisal Use this section to reflect over the past 12 months, providing a summary to the employee of their overall performance, including recognition for areas of excellence. Once the summary is competed and saved, the appraisee should complete the summary section. Once both sections are completed, the appraiser then needs to close the appraisal. In the event that an employee strongly disagrees with the rating assessments of their performance made by their manager, then they have the right to raise this with their grandparent manager who will be required to consider the reasons for the disagreement and determine whether a meeting between the parties/any review or adjustment in the rating or some other appropriate action is required. There is no further right of appeal against appraisal decisions and these would not usually be appropriate for addressing through the Trust’s Resolution procedure. The Trust has separate policies for dealing with formal capability, attendance and disciplinary issues as well as complaints of harassment and these exist to ensure the fair and consistent treatment of all employees.

The role of the Grandparent in Appraisals

The grandparent is the line manager of the individual’s manager. In certain situations with appraisals this may be slightly different but in those cases it is the person responsible for checking that the appraiser is doing their appraisals correctly.

The main role of the grandparent is to ensure consistency, quality and fairness in the appraisals. Main duties include:

Assisting with objective setting where necessary

Assisting with assessment of performance decisions

Checking that the Mandatory Training decision has been marked correctly

Quantity checking of appraisal i.e. has the appraiser done who they should be doing?

Quality checking of the team appraisals, i.e. has the appraiser written enough in and offered enough support

Consistency checking of the team appraisals i.e.do the appraises objectives match the Trust and department ones and differ from the PDP?

Recommending for the award of increments

Resolving any conflict or disagreement between Appraiser and Appraisee, should that arise

Keeping the discussions confidential

Being helpful and constructive

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Appendix 1: Performance Rating Scale People like to know how they are performing. The appraisal system introduces an assessment of performance based on four levels of performance. N.B. The percentage figures provided below are intended only as a guide. In any team the actual proportion of employees whose performance is either outstanding, exceeding expectations, satisfactory or unsatisfactory will vary. It is vitally important for managers to be fair, objective and consistent in their rating of all of their employees’ performance. The ratings for the Values and Behaviours are different based on how often behaviours are carried out.

Unsatisfactory - It is anticipated that, typically, less than 10% of staff would fall into this category. If, at the time of their appraisal, an employee is subject to either a final formal notification of concern under the Trust's Capability Procedure, a final written warning under the Trust's Disciplinary Procedure or a final written warning under the Trust's Attendance Policy, they must be rated as unsatisfactory. In addition, if an employee has not undertaken their mandatory training (without valid reason) then the Working Safely section must be recorded as unsatisfactory.

Unsatisfactory ratings can lead to deferral of incremental pay progression. However, this should not be a surprise and the full appraisal policy describes the process for deferral of an increment. Overall ratings of unsatisfactory indicate that the employee may be having some difficulties at work. Under-performance, for whatever reason, should be dealt with by the line manager as part of day-to-day management and not held back until the appraisal meeting. Whilst there is an annual appraisal for all Trust employees, any unsatisfactory issues identified during this process will be dealt with through an action plan/ performance improvement plan.

Meets Expectations - It is anticipated that around 50% of staff would normally fall into this category. To be rated as meeting expectations, the employee would be achieving some but not all of their targets/objectives etc and would meet most of the behavioural standards. This may be because the employee is new to the post or has taken on additional responsibilities where learning and development activities have not been provided.

Exceeds expectations - It is anticipated that approximately 30% of the workforce would normally fall into this category. To be rated in this category, the employee would be consistently meeting all of their targets/objectives etc. and would meet all of the required behavioural standards. In addition, the employee may consistently undertake additional duties to a high standard.

Outstanding - It is anticipated that less than 10% of the workforce would normally fall into this

category. To be rated outstanding, the employee would be performing significantly above the requirements of their role on a consistent basis, at a level that cannot be improved and would be making an outstanding contribution towards achieving the Trust's objectives and improving the service.

Pay Progression: Incremental pay progression is linked to satisfactory performance and a local policy is being drafted in respect of the changes to AfC guidelines. As it stands, progression through gateways is subject to satisfactory performance and advice is available from HR and staff side representatives on application of this. There should be no surprises for anyone and evidence must be provided that the

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individual member of staff who is rated as unsatisfactory and is subject to a deferral of their increment has had an agreed performance improvement plan in place as described in our Appraisal Policy. For more advice speak to your divisional HR Business Partner.

Appendix 2: ‘SMART’ Objectives

Specific

The action, behaviour or outcome must be linked to a rate,

number, percentage or frequency.

‘Answer the telephone quickly’ is not specific and allows for a subjective judgement to be made about whether the outcome has been achieved. In contrast, ‘answer the telephone within

3 rings’ is specific.

Measurable

You must be able to measure the extent to which an objective

has been achieved. If you’ve successfully created a specific objective linked to a rate, number, percentage or frequency,

this will be easier.

Achievable

Put simply, an objective is achievable if, with a reasonable

amount of effort and application, it can be achieved. Deciding what constitutes a realistic amount of effort and application calls for a subjective judgement to be made, which is one reason why

objectives should be mutually agreed, and not ‘set’.

Relevant

This means that the outcome sought must be something the

individual can actually impact upon. The key questions here are; Does the individual have the necessary knowledge, skill and

authority to complete this objective?

Time Based

This means quite simply; Is there a time frame within which the

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objective should be undertaken? If there is no time frame, the objective is not SMART.

Appendix 3: Using a Coaching Approach in Appraisals

Coaching Coaching skills can help managers create better success. When there is poor performance, coaching questions provide an opportunity to build success. They also build a framework for having real conversations. The final question on the pre-appraisal section of the paperwork allows for a quality conversation to take place between manager and employee regarding their health and wellbeing on a personal level. Using an open question such as this enables the manager to show that they are genuinely interested in how the employee is and provides an opportunity to discuss any pressures or stresses they are under, rather than just going through a formulaic process. The annual appraisal provides an opportunity to enhance employee performance and create greater success for the organisation and the individual. Coaching skills can be useful in creating a good appraisal experience for both the employee and the manager. Appraisals are often dreaded by both the employee and the manager. Often the manager talks about issues that the employee didn't expect. With the manager as a coach and partner committed to the employee's success, the environment can shift. The goal is to reframe the experience, creating a positive, goal oriented environment that thrives on success. The coaching approach requires managers to help their employees to find their own solutions in their own way. Asking questions does this in a way that giving advice or instructions could never do. By asking questions, managers are encouraging their staff to think. Without questions they would be doing their thinking for them. In coaching, the best type of questions are those that probe for a deeper rather than typical response. It is therefore better to ask open, rather than closed, questions. Examples of questions you might want to use are:

What’s going well? What makes it right? How can we build on this success? What would be the ideal? What would success look/feel like? What’s not quite right yet? What challenges are you currently dealing with? What resources do you need? Who could support you? What is achievable?

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What are your next steps? What else? How could this appraisal be made to be even more effective?

Appendix 4: The Trust Way: What is it?

New Trust Values and Behaviour How does the current consultation relate to this section?

One Trust; 100 Voices Consultation – We consulted with our workforce on an update to our vision, values and behaviours. This will update the Blackpool Way, including the Blackpool Person and Blackpool Manager aspects. The Big Conversations – Hundreds more staff consulted. The new Trust Strategy is:

The Trust Person VALUES The Trust Manager Always patient focussed

People Centred

Always equally patient and staff focussed

Always a team player Always supporting effective team work

Always honest Always honest

Strategic objectives

Trust Vision Blackpool Teaching Hospitals NHS Foundation Trust will improve the health and well being of the population through partnership working with health and social care, focusing on ill-health prevention,

management of long term conditions, and timely access to treatment.

Our care will be safe, high quality and managed within available resources, provided in the most appropriate environment and to agreed pathways of care.

Our highly skilled and motivated workforce will be patient-centred, caring and compassionate, living our values every day.

Strategy for 2020

Values

Quality goals

• To improve the health and well being of the population through partnership working with health and social care,

focusing on ill-health prevention, management of long term conditions, and timely access to treatment

• To prevent unnecessary emergency admissions to hospital through new service models that provide enhanced support

in community settings and integrated care for the most needy and f rail patients

• To provide safe, high quality and patient-centred care, using evidence-based pathways to deliver standardised

approaches to care with positive outcomes

• To be f inancially viable, managing our services within the available resources and able to invest in our future

• To support and develop a skilled, motivated and f lexible workforce that is able to innovate in developing our services

• All patients and carers involved in decisions about their care

• Zero inappropriate admissions

• Zero harms

• Zero delays

• Compliance with standard pathways

• People-centred

• Excellence

• Compassion

• Positive

Enablers

• Transformation and innovation

• Technology and information

• Estates and facilities

• Workforce

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Always striving to communicate effectively Always striving to communicate widely and effectively

Always showing empathy Compassionate

Always showing empathy for patients and staff

Always seeking to understand how others are feeling

Always seeking to understand how others are feeling

Always striving to do their best for patients and colleagues

Excellence

Always striving to do their best for patients and staff

Always appreciating the efforts of others Always appreciating the efforts of others

Always taking responsibility for actions Always taking responsibility for actions

Always seeking out opportunities for improvements

Always seeking out and encouraging opportunities for improvements

Always staying positive to reassure patients Positive

Always staying positive to reassure staff and patients

Always reflecting about the impact of own attitude and behaviours upon the service

Always reflecting about the impact of own attitude and behaviours upon the service and staff

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Appendix 5: The Trust Person

VALUES The Trust Person

People Centred

Always patient focussed

Always a team player

Always honest

Always striving to communicate effectively

Compassionate

Always showing empathy

Always seeking to understand how others are feeling

Excellence

Always striving to do their best for patients and colleagues

Always appreciating the efforts of others

Always taking responsibility for actions

Always seeking out opportunities for improvements

Positive

Always staying positive to reassure patients

Always reflecting about the impact of own attitude and behaviours upon the service

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Appendix 6: The Trust Manager and Leader

VALUES The Trust Manager

People Centred

Always equally patient and staff focussed

Always supporting effective team work

Always honest

Always striving to communicate widely and effectively

Compassionate

Always showing empathy for patients and staff

Always seeking to understand how others are feeling

Excellence

Always striving to do their best for patients and staff

Always appreciating the efforts of others

Always taking responsibility for actions

Always seeking out and encouraging opportunities for improvements

Positive

Always staying positive to reassure staff and patients

Always reflecting about the impact of own attitude and behaviours upon the service and staff

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