APPRAISAL POLICY - asph.mobi · key principles of the appraisal policy 4.1 Both appraiser (Manager)...

Volume. 2 Employment &

Occ. Health

Section 1 Employment

First ratified June 2014

Reviewed June 2014

Issue 3 of 21

APPRAISAL POLICY

Originally ratified by: Trust Executive Committee

In consultation with: Employee Partnership Forum

Most recent review: Diane Arthur, HR Advisor

Date issued: June 2014

Next Review Date: June 2017

Target Audience: All staff

Contact for Comments: Deputy Director of Workforce and OD

Amendments

Date Page(s) Comments Approved by

April 2014 All Appraisal policy completely re-written.

In accordance with Agenda for Change

Terms and Conditions of Employment

pay progression implemented.


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Ashford and St Peter’s Hospitals NHS Foundation Trust

CONTENTS

1. Policy Summary 3

2. Who should have an Appraisal Discussion? 5

3. Related Policies 6

4. Key Principles of the Appraisal Policy 6

5. Roles and Responsibilities 7

6. Personal Development Plan 9

7. 360 Degree Appraisal 10

8. Pay Progression 11

9. Timescales for Conducting Appraisals 12

10. Support and Training 12

11. Settling Disputes 12

12. Documentation 12

13. Monitoring Compliance 12

14. Dissemination and Implementation of this Policy 13

APPENDICES

Appendix 1 – Step by Step Guide of the Appraisal Discussion 14

Appendix 2 – ASPH Appraisal Process 16

Appendix 3 – The Moderation Process (Grandparenting) 17

Appendix 3 – Performance Rating Definitions 18


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1. POLICY SUMMARY 1.1 Purpose, Aim and Objectives The appraisal process is an integral part of the Ashford and St Peter’s Hospitals NHS Foundation Trust, (ASPH), performance management system. The purpose of this policy is to ensure that the Trust has a clear, consistent and fair approach to appraisal. The overall aim of the appraisal process is to ensure that through an effective mechanism staff have the skills, knowledge and behaviours to provide the highest standards of safe direct and indirect care to patients and promote effective working relationships with co-workers. The Trust’s vision is “Creating Excellent Joined up Patient Healthcare”. Figure 1: The Trust Vision and Strategies The objectives of the appraisal process are to:

Maximise performance

Reinforce the Trust’s vision, values and behaviours

Acknowledge good performance

Support ASPH to achieve its strategic and operational goals by ensuring that staff objectives are clearly aligned to the Trust objectives and values.

Encourage staff development


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Figure 2: The Trust Values and Behaviours

Patients First

Passion for Excellence

Personal Responsibility

Pride in our Team

Developed by staff through the Trust Wall and through conversation in Autumn 2013


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The Trust Values, (Figure 2), are integral to all aspects of day to day life in the organisation and underpin the application of all our employment policies and procedures.

2. WHO SHOULD HAVE AN APPRAISAL DISCUSSION? This policy applies to all staff covered by Agenda for Change Terms and Conditions. Line Managers will make arrangements for the appraisal of permanent staff, all fixed term contract staff and temporary agency workers who are with the Trust for longer than three months. Temporary staff should not be excluded from the appraisal process due to the fact that they do not have a permanent contract. Medical staff should refer to the Medical Appraisal Policy. Independent/interim consultant or contractors are not required to have a full annual appraisal. However, the line manager should still ensure that clear objectives, required outcomes and deadlines are set for the project/piece of work that the individual is undertaking. This should then be regularly reviewed to ensure requirements are being met at the agreed standards. Casual BANK workers - arrangements are in place for providing feedback on performance in respect of casual BANK workers. For further information managers should seek advice from the Temporary Recruitment Department Staff who are leaving during the appraisal period

If an individual leaves ASPH before their annual appraisal is due they should review their objectives in one to one meetings/supervision meetings with their line manager as normal and have an exit interview before they leave, if required.

If you are a manager and due to leave the Trust then you should discuss and agree with your current manager who will carry out your staff’s appraisals once you have left and inform your staff.

Members of staff who change jobs

If an individual changes jobs within ASPH during the appraisal year then before leaving their current role they should have a one to one meeting with their current manager to review their performance in relation to their objectives and Trust Values in their current role and complete the Appraisal Paperwork held on the Trust intranet for the period of time they were in that role except the annual appraisal confirmation and pay approval form. The manager should then hand the Appraisal Paperwork to the individual’s new line manager. Within 3 months of the individual starting their new job the line manager will discuss the individual’s objectives and development plan for the remainder of the appraisal year and assess their performance against these objectives at the annual appraisal and complete the annual appraisal confirmation and pay approval form.

For more information and advice for any of these circumstances please contact you HR Business Partner/HR Advisor.


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3. RELATED POLICIES AND GUIDELINES: There are a range of associated documents to support the appraisal process available on the Trust intranet. These are:

Appraisal Paperwork.

Managers Guidance

Appraisal and Pay Progression Frequently Asked Questions

Performance and Capability Policy

This policy should also be read in conjunction with the Trust’s Pay Policy for Non-Medical Staff, Induction Policy and Learning, Education and Development Policy.

4. KEY PRINCIPLES OF THE APPRAISAL POLICY 4.1 Both appraiser (Manager) and appraisee (Staff member) must prepare adequately for

the appraisal discussion using the Appraisal Paperwork held on the Trust Intranet. (Please refer to Appendix One of this policy for guidance on the Appraisal Discussion).

4.2 At the appraisal discussion the appraiser and appraisee to discuss and review the

appraisee’s performance against the agreed objectives for the previous year and allocate the appropriate rating (Please refer to Appendix 1 and 2 of this policy for guidance). For further guidance refer to the Appraisal Paperwork, Managers Guide and Appraisal and Pay Progression Frequently Asked Questions held on the Trust intranet.

4.3 At the appraisal discussion the appraiser and appraisee to discuss and review the appraisee’s performance against the Trust Values for the previous year and allocate the appropriate rating (refer to Appendix One and 2 for guidance)

4.3 Appraiser and appraisee to discuss and agree SMART objectives for the coming year. 4.4 The appraiser to ensure that the objectives of staff are linked to the Departmental and

Divisional objectives in line with the Trust’s annual objectives.

4.5 All managers that have direct reports must discuss and review staff performance at the annual appraisal discussion, one formal half year performance review and other supervision meetings or one to one meetings if appropriate. This must be written as a performance objective for all managers that have direct reports.

4.6 Appraisers will give the appraisee five working days notice of the annual appraisal

discussion, half year performance review and other supervision or one to one meetings. 4.7 All managers will be performance managed themselves on completion of appraisals for

all their staff within their sphere of responsibility and/or accountability.

4.8 At the Appraisal Discussion appraisers to fully complete The Appraisal Paperwork, held on the Trust intranet. Write and retain file notes locally of matters discussed at the formal half year performance review and other supervision or one to one meetings. Appraisers will discuss any poor performance issues with the appraisee at supervision meetings or one to one meetings prior to the annual appraisal meeting.


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4.9 The Appraisal Paperwork must be completed and a copy held locally by the line manager.

4.10 Managers must update ESR within 5 working days of the date on which the appraisal was held.

4.11 Managers must complete the Appraisal Confirmation and Pay Approval form at least six weeks before the appraisee’s pay increment is due and email the form to payroll in order that pay increments can be awarded, deferred or withdrawn correctly and on time.

4.12 Managers will meet with newly appointed staff and existing staff that have obtained a different role or promotion within the Trust within the first 3 months of their new role to discuss and agree performance objectives for that role.

5.ROLES AND RESPONSIBILITIES 5.1 The Trust Board The Director of Workforce Transformation has corporate responsibility for the development and application of this policy. The Trust Board will receive monthly information on appraisal completion rates. 5.2 Workforce and OD Regular reports will be generated by Workforce and OD which detail individuals who have not participated in an appraisal within a defined period, appraisal due dates and outstanding appraisals. The HR Business Partners will work with their aligned divisions to promote appraisal and support the development of plans to ensure all staff participate in an appraisal annually. Appraisal training for managers is provided by Workforce and OD. 5.3 Responsibilities of Managers (Appraisers) The appraiser is usually the individual’s line manager, but the role can be delegated to someone else, particularly when the line manager has the responsibility for appraising more than 10 individuals. The appraiser is normally more senior than the appraisee. In such cases, the individual to whom the appraiser role is delegated must be competent to act in that role. Managers should also ensure that any delegation takes into account the need to be open and fair to everyone in order to avoid potential discrimination. The role of the appraiser is to:

Ensure that each member of staff has an annual appraisal.

Ensure that each member of staff has one formal half year review meeting and other supervision meetings or one to one meetings if appropriate.


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Ensure that each member of staff has an up to date job description and person specification.

Undertake the necessary appraisal training course to carry out an appraisal discussion and constructively deliver feedback from the 360 degree appraisal report, where applicable.

Ensure staff have an annual appraisal at least 3 months prior to their incremental date.

Ensure staff are released to undertake their mandatory training.

Immediately after the appraisal has been conducted managers to update the individual’s electronic staff record, (ESR), to confirm the appraisal has been carried out.

Complete the Appraisal Confirmation and Pay Approval form and email to payroll at least 6 weeks before the pay increment date to confirm the appraisal has been conducted and whether the pay increment should be paid or deferred or withdrawn.

Complete fully the Trust’s formal appraisal documentation, (Annual Appraisal Summary Appendix 4), held in this policy and store a copy locally and provide a copy to the staff member.

Thank staff for their contribution to the Trust. 5.4 Responsibilities of the Appraisee The Appraisee is the member of staff who is having the appraisal. They are responsible to:

Participate fully in the appraisal process. Refusal to participate in an appraisal will be considered to be a disciplinary matter and should be dealt with through the Trust’s Disciplinary Policy.

Keep informed about what is expected in relation to the appraisal process.

Become familiar with the Trust’s Values and divisional and departmental objectives.

Sharing ideas regarding service development with their appraiser

Familiarising themselves with this policy and the appraisal process.

Prepare for the appraisal meetings (Appendix 1)

Keep a continuous written evidence log to demonstrate objectives and Trust Values achieved (Appendices 2 and 3).

Be open to feedback

Make a record of the meeting


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Discuss openly with the appraiser any personal obstacles to performing their role and commit to working towards meeting the objectives agreed in their personal development plan.

Determine development needs and appropriate ways to address them

Be prepared to discuss future career goals and aspirations.

5.5 Responsibilities of Grandparent (Countersigning Manager) The grandparent or countersigning manager has a key role in the Appraisal process. The Grandparent is normally the Appraiser’s line manager. Their role is to:

Identify and set objectives for their responsible area and cascade these to managers to link to their staff’s objectives.

Review and countersign all appraisal documentation for their responsible area once it has been forwarded to them by the appraiser.

Forward all countersigned copies of the paperwork to the respective appraiser and appraisee for their records (retaining a copy for themselves).

Moderate the performance ratings for their area following the process in Appendix 3 below.

To review alignment of individual objectives with departmental/divisional objectives.

To consistency check performance ratings – are performance ratings being applied fairly and equitably?

To review quality of objectives – are objectives SMART and aligned to Trust and divisional/departmental objectives.

Distribution of ratings – is the distribution of ratings across the service/team in line with expectations.

Are there any causes for concern?

6 PERSONAL DEVELOPMENT PLAN (PDP) A personal development plan, (PDP), will be developed for each member of staff. This is a joint process between the individual and the appraiser and should be discussed at the Appraisal Review meeting and the plan should be fully completed within one month of this meeting. The PDP should be agreed and signed by both parties (and the professional supervisor or appraiser’s line manager when applicable). A copy should be kept by the appraiser and appraisee. A structured approach using SMART objectives is recommended – Specific, Measurable, Achievable, Realistic, Time bound – when planning the PDP as this gives a framework in which objectives can be clearly planned and evaluated. The PDP should link any identified learning and development requirements to specific work and organisational objectives. Learning may be in different forms such as self study, formal study, work shadowing, obtaining a mentor, coaching, etc. The PDP should be reviewed at the annual appraisal meeting and throughout the year with at least one formal six month review meeting and other supervision meetings or one to one meetings if appropriate.


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Information from the PDP should be summarised annually into a departmental training plan and sent to the Learning and Development Department by the department manager. Where appropriate the PDP should be shared with departmental educators for the purpose of training needs analysis. 7 360 APPRAISAL All staff bands 8C, 8D and 9 are required to have a 360-degree appraisal annually as part of the appraisal process. The aim of the 360 degree appraisal is to enhance the appraisal process. The report produced at the end of the 360 appraisal may be used to demonstrate your performance against the Trust Values. For bands 1 to 8B the 360 degree appraisal is optional. Alternatively, staff Bands 1 to 8B may provide a written evidence log at the appraisal discussion to demonstrate their performance against the Trust Values. 360 degree appraisal is a process by which an individual (known as the participant) receives feedback on their performance and behaviour from a variety of people (known as the raters) that they work with or interact with on a regular basis. The aim is to achieve a well rounded and complete picture that can be used to enhance the appraisal process, or as an ad hoc arrangement, to highlight the individual’s strengths and developmental needs. You should select between 7 – 12 raters’ whose views you respect and whom you believe will provide an honest and accurate assessment of your performance and behaviour. It is important that you contact each rater to ensure they are happy to take part in the appraisal. The categories for raters are:

Self

Line manager and more senior manager.

Direct reports

Colleagues/peers

Others. This is optional and are people that you work closely with either from other departments or other organisations but are not peers or direct reports.

The participant is asked to assess themselves. This allows the participant to compare what they believe their strengths, weaknesses or development needs to be with what those around them feel. Not all staff will have direct reports. These staff should ensure they have more raters in the ‘others’ category. To ensure a good range of perspectives are obtained, you should select at least 3 raters for each of the ‘peers’, ‘direct reports’ and ‘others’ categories. The 360 appraisal takes the form of an evaluation survey and takes between 15 to 45 minutes to complete. After the participant has confirmed that the rater is happy to take part in the appraisal the rater will be sent a link to the evaluation survey. Raters are given 10 working days to complete the survey. The questions in the survey are based on the Trust Values.


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Once the 10 days given to undertake the evaluation survey have gone by, your manager will request a feedback report from the central administrator for your area. This will show the details of the assessment grouped by the different types of raters. Any comments provided will also be listed but, please be advised that these are unmoderated. Your manager will provide you with a copy of this report and arrange a suitable time to undertake the appraisal discussion based on the information provided. Guidance on the use of the 360 appraisal tool can be found on the Trust Net. 8 PAY PROGRESSION LINKED TO PERFORMANCE

Pay progression should not be seen as an automatic right but rather something to be earned and a reward that is in line with the requirements of the role. With immediate effect from:

1st October, 2014 for Bands 8C, 8D and 9.

1st April 2015 for Bands 1 to 8B

Pay progression will only be awarded to staff under Agenda for Change terms and conditions that have demonstrated and evidenced that they:

Are up to date with all of their mandatory training requirements.

Have had an annual appraisal in the last 12 months with a performance rating that carries a pay increment.

Where staff fail to evidence the above, then unless there are exceptional circumstances the manager will be expected to defer the individual’s pay progression for 12 months. This applies to all pay points for pay bands 1 to 8B. For pay bands 8C, 8D and 9 this will apply for the first 4 pay points in the Band. In accordance with Agenda for Change Terms and Conditions for the last two pay points in bands 8C, 8D and 9 staff will progress through the last two pay points in these pay bands only when they are assessed as having met the required level of performance. When an individual who holds an annually earned pay point has not met the required level of performance and delivery for a given year, they will have one annually earned pay point withdrawn, except for those that reached the top of the pay band before April 2014. If the individual is absent from work due to sickness the absence should be managed in accordance with the Trust’s Sickness Absence Policy. Whenever possible the appraiser will still hold the appraisal before the pay increment is due subject to advice from the Occupational Health Department. If the appraisal cannot be held before the incremental date the individual will be given the opportunity to have their appraisal and get up to date with their mandatory training within 3 months of returning to work and their pay increment will be backdate if appropriate. It is the responsibility of the appraiser to inform payroll of the individual’s absence and if they subsequently qualify for an increment. In cases of sickness absence due to a disability advice should be sought from the HR Department. Also, refer to the Managers Guide and frequently asked questions held on the Trust intranet.


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For those staff going on maternity leave their appraisal discussion should be completed prior to them going on maternity leave. Any objectives already set should be reviewed so that an assessment can be made regarding how much it is reasonable to expect the staff member to complete prior to the commencement of maternity leave. When the member of staff returns from maternity leave they will be given the opportunity to get up to date with their mandatory training and set objectives for the remaining period between the return date and the next appraisal date so that an appraisal discussion and rating can be undertaken. For further guidance please refer to the Managers Guide help on the Trust intranet or seek advice from HR. 9 TIMESCALES FOR CONDUCTING APPRAISALS

At least 4 months before the pay incremental date 360 degree appraisal to be conducted for bands 8C, 8D and 9. This is optional for staff on other grades.

At least 3 months before the pay incremental date annual appraisal to be conducted

At least 6 weeks before the pay incremental date the Appraisal Confirmation and Pay Approval form must be completed by the Appraiser and emailed to payroll.

10 SUPPORT AND TRAINING Regular training is available to support appraisers and appraises to both understand the process and develop the key skills needed for effective appraisal process. For further information please refer to the Trust intranet. 11 SETTLING DISPUTES Should the member of staff dispute the deferral or withdrawal of an incremental point increase they should appeal the decision within 21 calendar days of the date of the fully completed Appraisal Summary documentation confirming the appraisal rating using the Trust’s Appeals Policy held on TrustNet. 12 DOCUMENTATION Templates are provided in order to facilitate the recording of the appraisal discussion. The appraisal summary must be completed and signed by the appraiser, appraisee and the professional supervisor or appraiser’s line manager (where relevant) and a copy should be held by the appraiser and appraisee. The Appraisal confirmation and pay approval form must be completed and sent to payroll at least 6 weeks before the appraisal is due in order to receive the annual increment. 13. MONITORING COMPLIANCE No pay increments will be processed automatically. In order for an individual to receive pay progression through an incremental pay point the relevant manager needs to email the Appraisal Confirmation & Pay Approval Form to payroll confirming the individual has met the criteria to receive an increment. When an individual has had an appraisal the date the appraisal was held will be entered onto ESR by the appraiser within five working days of the appraisal date. Appraisal reports are sent to managers on a monthly basis, percentages of staff that have had an appraisal will be reported to the Trust Board monthly through the Performance Balanced Scorecard. The quality of Appraisal is captured through the National Staff Survey.


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14. DISSEMINATION AND IMPLEMENTATION OF THIS POLICY This policy will be disseminated through the Aspire Newsletter and through relevant committees and forums. This Policy is held on ASPH TrustNet.


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APPENDIX ONE

APPRAISAL DISCUSSION

STEP BY STEP GUIDE To help you prepare for the Appraisal Discussion please refer to the Appraisal Paperwork held on the Trust intranet.

Preparation prior to the Appraisal discussion

Please follow the step by step guide: 1. Appraiser and Appraisee to agree the time and date of appraisal. 2. Ensure you both have the relevant documentation: Job description and person specification Objectives and PDP for the previous 12 months Record of mandatory training completed Prepare for the Appraisal Discussion using the Appraisal Paperwork held on

the Trust intranet. Trust appraisal policy 360 degree Appraisal Report, if applicable. 3. Appraisee to take to the appraisal discussion: An evidence log to demonstrate they have achieved their objectives for the last

12 months (Refer to the Appraisal Paperwork held on the intranet) An evidence log to demonstrate they have achieved the Trust Values for the

last 12 months (Refer to the Appraisal Paperwork held on the intranet). Record of mandatory training completed.

The Appraisal Discussion

4. Performance Review Against Objectives: Appraiser and appraisee discuss performance against agreed objectives for the

previous year (Complete the Appraisal Paperwork held on the Trust intranet) Appraisee provides the appraiser with their evidence log to demonstrate they

have achieved their performance objectives. If objectives were not achieved discuss what hindered performance. Appraiser writes a summary of the individual’s performance on Section 2 the

Appraisal Paperwork. Allocate appropriate performance rating (As per Appendix 4 below) 5. Performance Review Against Trust Values: Appraiser and appraisee discuss performance against Trust Values for the

previous year (Complete the Appraisal Paperwork held on the Trust intranet) Appraisee provides the appraiser with their evidence log to demonstrate they

have achieved a minimum of one factor for each Trust Value. If the Trust Values have not been achieved discuss why. Appraiser writes a summary of performance in Section 3 of the Appraisal

Paperwork. Allocate appropriate performance rating (As per Appendix 4 below).


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6. Objectives and PDP for the next year Appraiser and appraisee discuss and agree SMART objectives for the coming

year. Discuss career aspirations, if appropriate. Identify training and development and how they will be addressed to support

achievement of the objectives and career aspirations.

7. Optional KSF Competence Assessment

You may wish to consider using KSF outline to assess if the required levels of skills and knowledge have been displayed by the appraisee.

8. Mandatory Training.

Confirm statutory and mandatory training has been completed in Section 5 of

the Appraisal Paperwork. 9. Overall Rating Allocate overall rating for the appraisee’s performance. This rating combines

the rating for performance objectives and Trust Values.

Following the appraisal Discussion

10. After the appraisal discussion Appraisee, Appraiser and appraiser’s line manager sign the Appraisal

Paperwork Appraiser retains the Appraisal Summary. Appraisee retains a copy. Appraiser e-mails the Appraisal Confirmation & Pay Approval form to payroll. At

least 6 weeks before the incremental date is due.


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APPRAISAL PROCESS APPENDIX 2

REVIEW

Jointly discuss and review evidence of achievement of objectives,

development and behaviour against the Trust values from the previous year

and agree performance rating (1-4)

PERSONAL DEVELOPMENT PLAN

Agree and categorise learning and development needs and add to the Personal

Development Plan (PDP)

OBJECTIVES

Discuss and agree personal objectives for the next 12 months. Ensure these are

aligned to departmental and divisional objectives and values.

SUMMARY & SIGN OFF

Summary comments from Appraiser & Appraisee.

Record performance rating, compliance with Mandatory Training and

completion of Appraisal (if applicable).

Confirmation of pay progression

Appraiser & Appraisee sign off

Forward to Grandparent/Countersigning Manager for sign off

Appraisee preparation

Appraiser

preparation

Face to Face meeting and appraisal

discussion

Appraiser completes Annual Appraisal

Confirmation and Pay Approval form. Moderation by Grandparent

Review, discuss and consistency

check performance ratings for

Service Line/team and

agree/make recommendations Appraiser notifies Appraisee

Appraiser to log onto ESR and record appraisal outcomes (rating and compliance) within 5 days of meeting

At least 3

months

before the

pay

increment is

due

At least 6

weeks

before pay

increment

is due


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MODERATION PROCESS APPENDIX 3

Annual appraisal discussion held

Appraiser and Appraisee review and agree performance rating (1-

4) for previous year’s performance

The Appraiser & Appraiser sign off

Appraiser enters the appraisal date onto ESR

Information forwarded to

Grandparent/Countersigning Manager for

moderation and sign off

Step 1

Grandparent/Countersigning Manager to review ratings for:

Consistency – are individual performance ratings being applied

fairly and equitably?

Quality – are objectives SMART and aligned to Divisional and

Departmental objectives and Trust values?

Are there any anomalies or causes for concern?

Step 4

Appraiser to instruct payroll to

award/defer/withdraw annual

increment

Step 3

Agreement and sign off

Grandparent/Countersigning Manager to finalise

and agree ratings for their area.

Step 2

Constructive Challenge

Grandparent/Countersigning Manager to discuss any

anomalies or cause for concern with relevant

appraiser/s


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Performance Ratings and Indicators

NB: Annually earned pay points for Bands 8C, 8D and 9 will not be withdrawn if they were obtained before April 2014.

Performance Rating Indicators Action

1 Exceeds expectations Appraisee exceeds all their objectives and Trust values and exceeds performance expectations for the job by performing over and above their objectives, for example by completing additional projects not agreed as part of their objectives.

Consistently exceeds all performance objectives, Trust values and expectations for the role. Demonstrates high level of performance in all areas of responsibility.

Work is done independently and completed on schedule with a high degree of accuracy and independence.

Performance is what can be expected of a fully qualified and experienced person.

Errors in judgement are rare and seldom repeated.

The employee shows initiative.

Employee completes additional projects not part of the agreed objectives.

The employee requires minimal supervision.

The employee is up to date with their own statutory mandatory training

Member of staff proceeds to next increment. Appraiser works with the appraisee to identify developmental opportunities for career aspirations.

2 Meets expectations Appraisee meets all their performance objectives and a minimum of one factor for each of the Trust values and may exceed some objectives/Trust values.

A solid performance that consistently meets the performance objectives and Trust values.

May exceed some performance objectives and Trust values.

Results can be expected that are timely and accurate.

Recognises, participates in, and adjusts to changing situations and work assignments

The employee is up to date with their own statutory mandatory training

Member of staff proceeds to the next pay increment. Appraiser works with the appraisee to identify developmental opportunities for career aspirations

3 Partially meets expectations Appraisee meets some but not all of their performance objectives. Also, the appraisee has not demonstrated they have met at least one factor for

Performance does not consistently meet all performance objectives and/or

Trust values.

Performance deficiencies should be discussed between the employee and line

manager.

A development plan must be outlined and monitored, with timelines for

improvement established.

If this is the first assessment at Level 4 individuals Band 1 – 7 and 8C, 8D and 9

in their first 4 pay bands will proceed to not the pay increment. If this is not the

If first time performance rating of 3, the appraisee proceeds to the next increment (Bands 1 – 7 only) If this is not the first time performance rating of 3, incremental progression will be deferred for 12 months.

Appendix 4


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each of the Trust values. first assessment at Level 4 the pay increment will be deferred for 12 months.

For pay bands 8C, 8D and 9 in their last 2 pay bands one annually earned pay

point will be withdrawn unless the annually earned pay point was obtained

before April 2014.

The employee may not be up to date with their own statutory mandatory training

Line manager should arrange for informal action under the Trust’s Performance Capability Process. Capability concerns will have been discussed prior to the annual appraisal. Bands 8C, 8D and 9 in their last 2 pay points will have one annually earned pay point withdrawn at their first performance rating of 3.

4 Not met expectations Appraisee does not meet their performance objectives and does not meet a minimum of one factor for each of the Trust values.

Performance is consistently below expectations and has failed to make

reasonable progress towards agreed upon performance objectives and Trust

values.

Employee requires close guidance and direction in order to perform routine job

duties.

Performance deficiencies should be discussed between the employee and line

manager.

The employee may not be up to date with their own statutory mandatory

training.

Line manager arranges for formal action to be taken under the Trust’s Capability Policy. Capability concerns will have been discussed prior to the annual appraisal. Incremental progression will be deferred for 12 months. Bands 8C, 8D and 9 in their last 2 pay points will have one annually earned pay point withdrawn.

5 Not applicable Appraisee has been on long term sick leave, maternity/paternity/adoption leave, etc and it is therefore not possible to rate their performance for the year.

Appraisee has not performed in the job long enough to fully demonstrate performance against objectives and Trust values. This appraisal is for feedback purposes and the appraisee will be reviewed and assessed at a later date.


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Equality Impact Assessment Summary Name – Diane Arthur Policy/Service: APPRAISAL POLICY

Background

Description of the aims of the policy

Context in which the policy operates

Who was involved in the Equality Impact Assessment

The aims of the policy are to ensure that all staff receive an appraisal on an annual basis and have access to appropriate ongoing professional development for their role.

Methodology

A brief account of how the likely effects of the policy was assessed (to include race and ethnic origin, disability, gender, culture, religion or belief, sexual orientation, age)

The data sources and any other information used.

The consultation that was carried out (Who, why and how?)

The policy will be taken to the Workforce OD Committee for further comments.

Key Findings:

Describe the results of the assessment.

Identify if there is adverse or a potentially adverse impacts of any equalities groups.

There are no adverse impacts for any equalities groups; the policy will help support the development for all groups of staff whatever their equality group.

Conclusion

Provide a summary of the overall conclusions.

This policy when implemented will promote equality of access to staff in regard to appraisal and training.

Recommendations:

State recommended changes to the proposed policy as a result of the impact assessment.

Where it has not been possible to amend the policy, provide the detail of any actions that have been identified.

Describe the plans for reviewing the assessment.

The system of appraisal will be monitored to determine the groups of staff being appraised and whether further training is required and whether any groups of staff appear not to be participating in an annual appraisal.


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Guidance on Equalities Groups

Race and Ethnic Origin (includes gypsies and travellers) (consider communication, access to information on services and employment, and ease of access to services and employment)

Religion or belief (include dress, individual care needs, family relationships, dietary requirements and spiritual needs for consideration)

Disability (Consider communication issues, access to employment and services, whether individual care needs are being met and whether the policy promotes the involvement of disabled people).

Sexual orientation including lesbian, gay and bisexual people (consider whether the policy/service promotes a culture or openness and takes account of individual needs.

Gender (Consider care needs and employment issues, identify and remove or justify terms which are gender specific)

Age (consider any barriers to accessing services or employment, identify and remove or justify terms which could be ageist, for example, using titles of senior or junior).

Culture (consider dietary requirements, family relationships and individual care needs).

Social class (consider ability to access services and information, for example, is information provided in plain English?)

APPRAISAL POLICY - asph.mobi · key principles of the appraisal policy 4.1 Both appraiser (Manager)...

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Transcript of APPRAISAL POLICY - asph.mobi · key principles of the appraisal policy 4.1 Both appraiser (Manager)...