DEVELOPING OUR PEOPLE (APPRAISAL) POLICY

SEPTEMBER 2019

This policy is a working policy and supersedes all previous policies for staff appraisal

I _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

Policy title Appraisal Policy

Policy reference

HR25

Policy category Human Resources

Relevant to All staff employed on Agenda for Change contracts

Date published September 2019

Implementation date

September 2019

Date last reviewed

June 2019

Next review date

December 2022

Policy lead Kate Emery, Head of Learning and Organisational Development

Contact details Kate.emery@candi.nhs.uk

Accountable director

Sally Quinn, Director of HR & OD

Approved by (Group):

HR in conjunction with Staff side

Ratified by (Committee):

Workforce Committee September 2019

Document history

Date Version Summary of amendments

Jan 2011 1 New Policy

Jan 2014 2

Updated to reflect practice changes following new Annex W to AFC Handbook and revised Appraisal Progress Discussion guidance

Apr 2016 3

Updated to encompass a return to the approach outlined in Version 1 and the requirements of the Trust’s ‘Developing Our People

Jun 2019 4

Policy revised to incorporate changes to Agenda for change, and should be read in conjunction with the Pay Progression Policy

Membership of the policy development/ review team

Kate Emery, Head of Learning and Organisational Development Theresa Ekendu, HR Business Partner Tinu Olowe, Deputy Director HR&OD Craig Stewart, Head of Workforce Intelligence Ian Fishwick, OD Manager Muazzam Khokher, Resourcing and HR Operations Manager Olamide Ottun, HR Project Manager Staffside representatives

Consultation HR and L&OD teams, AfC Pay Progression Task and Finish Group and Staff side.

DO NOT AMEND THIS DOCUMENT

Further copies of this document can be found on the Foundation Trust intranet.

II _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

Contents Page

1 Introduction 3

2 Aims and objectives 3

3 Scope of the policy 3

4 Duties and responsibilities 4

5 The Appraisal Progress Discussion Process 5

6 Disputes & Appeals 5

7 Managing and monitoring Appraisal Progress Discussions 6

8 Dissemination and implementation arrangements 6

9 Training Arrangements 6

10 Monitoring and audit arrangements 6

11 Review of the policy 7

12 Associated documents 7

13 Equality impact analysis 7

Appendix 1: Appraisal Progress Discussion Guidance 8

Appendix 2: Appraisal Progress Discussion Form 10

Appendix 3: Appeal process flow chart 11

APPENDIX 1: Appraisal progress discussion guidance

3 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

1. Introduction

A workforce that is competent and confident is essential to an organisation committed to quality. All staff in the Trust need to feel supported to deliver what is expected of them in order that we might offer the highest possible standards of care to our service users. The Trust has committed to four Cultural Pillars:

We value each other

We keep things simple

We are empowered

We are connected

In the spirit of these Cultural Pillars, the Trust is adopting an appraisal process which supports managers and staff to agree priorities and objectives that are aligned within the team to deliver high quality service, which values the contribution of each member of the team, and which focuses on the quality of the appraisal conversation to do this. The Trust believes that Appraisal is a continuous process not an annual event, and that by agreeing and reviewing performance, goals and objectives regularly, managers and teams can work together more effectively to meet service priorities.

Camden and Islington NHS Foundation Trust believes that it is a mutual benefit to the Trust

and its employees to work in partnership with Staff side. This policy has been developed and

agreed by management and Staff side, in order to ensure staff are treated consistently and

fairly.

2. Aims and objectives

Camden & Islington NHS Foundation Trust is an organisation that is driven to ensure that its services are always of the very highest standard. In light of this, the emphasis is on Appraisal Progress Discussions that are regular and which support staff to achieve goals and objectives that will contribute to quality services for our service users. The Appraisal process will also capture development and aspirational opportunities.

The aims of this policy are:

1. To outline how managers and staff can work together to ensure that the Trust is best able to offer the highest possible quality of service to its Service users through the achievement of goals and objectives.

2. To ensure staff have the opportunity to discuss any development needs and can plan how to meet them. The Trust is committed to investing in our staff and retaining our talent. Our Staff First sets out a number of development initiatives designed to support our existing staff in their career development as well as improving their working lives. The Appraisal Progress Reviews and Discussions are a method by which an individual’s development opportunities can be discussed on a one to one basis with line managers.

Specifically, it describes:

How managers and staff will work together on the achievement of goals and objectives through regular one-to-one and team meetings;

The process by which staff achievement against agreed goals and objectives will be discussed and supported;

3. Scope of the Policy

This policy applies to all Trust employees under Agenda for Change terms and conditions. In

respect to appraisal in general, separate provisions exist for medical staff. Directors and Non-

Executive Director arrangements will mirror the arrangements set out in this policy.

APPENDIX 1: Appraisal progress discussion guidance

4 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

This policy should be read in conjunction with the Trust’s Probation Policy and the Pay progression

Policy. Managers should agree a Personal Development Plan (PDP) and goals and objectives

during an employee’s probation phase so that achievements can be reviewed at the final six

monthly probation review meeting. The appraisal and probation processes run in parallel during

this time. Objectives and Personal Development Plans are key to both processes.

Staff who are on long term sick leave or formal absences, such as maternity leave and

employment breaks at the time of their scheduled Appraisal Progress Discussion, should have

their Appraisal Progress Discussion meeting as soon as possible following their return to work, with

objectives adjusted accordingly. Staff who have been absent for the majority, or all, of the

preceding 6 months will need to agree objectives upon their return to work.

3.1 Reporting and Appraisal Progress Discussion Cycle

Managers are expected to carry out at least one appraisal with their staff every year which must be

reported through ESR Managers’ self-service, where available, or by emailing L&OD via the

training inbox.

It is still best practice to hold regular one to one meetings to review progress and mid-year reviews.

Records of these meetings should be held locally.

The appraisal should be held three months prior to the pay progression date in order to allow time

for amendments to be made through payroll. Where pay progression is agreed managers must

positively report this in order for the progression to be implemented. This is a change to previous

processes. Pay progression will not be actioned unless it is triggered by the manager.

4. Duties & Responsibilities

4.1 Human Resources and Organisational Development

The HR and OD Directorate is responsible for:

Offering Appraisal Progress Discussion training to managers and staff via the L&OD team

Communicating this policy

Monitoring and reporting of Appraisal Progress Discussion completion via the L&D team

who will record Appraisal Progress Discussion data on the ESR Training Records system.

(Where ESR managers’ self-service is available, appraisal dates will be recorded directly

into ESR by the line manager.)

4.2 Heads of Professions

Heads of professions will be responsible for responding to managers’ requests for assistance in

relation to professional development and objectives.

4.3 Managers

Line managers are responsible for:

Ensuring they are familiar with this policy

Scheduling, carrying out and reporting at least one Appraisal Progress Discussions per

year for each of their staff

Ensuring that the Appraisal Progress Discussion is carried out in the three months prior to

the pay progression date for the staff member in order that the pay progression can be

authorised in time for payroll notification and the processing of changes.

APPENDIX 1: Appraisal progress discussion guidance

5 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

Applying the policy and process consistently and fairly and in line with the Trust’s Equality

and Diversity Policy

Supporting staff to attain their Appraisal Progress Discussion goals and objectives

Ensuring the Appraisal Progress Discussion record is written up and both manager and

staff member has a copy in the local management record

Complying with requests in relation to monitoring the implementation of the policy

Attending training on the Appraisal Progress Discussion system as necessary.

Ensuring all team members have a high quality Appraisal Progress Discussion

4.4 Staff

Individual members of staff are responsible for:

Preparing in advance and fully participating in the Appraisal Progress Discussion process

and acting in a way which supports the implementation of this policy

Discussing with their manager any concerns they may have with achieving the goals and

objectives identified in their Appraisal Progress Discussion.

5. The Appraisal Progress Discussion Process

The Appraisal Progress Discussion process is as follows:

The manager schedules an Appraisal Progress Discussion meeting with all of their staff to take place three months prior to the Pay Progression date in order to process the pay progression confirmation through payroll in a timely manner.

The member of staff must be invited with a least a week’s notice to enable all parties to prepare adequately.

The line manager and member of staff should prepare for the Appraisal Progress Discussion

The Appraisal Progress Discussion takes place. (Training on Appraisal Progress Discussion is available via the Learning & Organisational Development Team).

During the end of year and mid-year reviews, the Appraisal Progress Discussion will provide the opportunity for both manager and staff member to reflect on achievements, and set new goals and objectives, including development and aspirations.

If no ESR self service is available, the manager or the employee completes the Record of Appraisal Progress Discussion form and gives this to the employee to sign. The signatures provide a record of the Appraisal Progress Discussion having been completed and does not indicate acceptance, agreement or disagreement. Once the employee has signed the Record of Appraisal Progress Discussion form, the manager and member of staff each retain a copy.

The date of the Appraisal Progress Discussion must be sent to Learning and Organisational Development (L&OD) in order to update the staff record or entered into Electronic Staff Record via managers self-service’ where applicable

Throughout the year, the manager and member of staff work proactively to enable the achievement of the Appraisal Progress Discussion objectives, through regular one to ones and supervisory Additional support will be available for staff who might need this due to a disability.

6. Disputes and Appeals

If an employee is unhappy with their Appraisal Progress Discussion, they should seek to resolve their concerns informally in the first instance. The manager will be expected to work together with the employee with a view to achieving resolution. If informal resolution fails, despite the best efforts of both parties, the next stage is to follow the appeal process laid out in the Pay Progression Policy and outlined in Appendix 3 of this policy. The grandparent manager is the line manager’s manager or, in exceptional circumstances, a designated more senior manager.

APPENDIX 1: Appraisal progress discussion guidance

6 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

If the employee is significantly underachieving, a development plan must be drawn up and HR advice taken on managing the situation under the appropriate Trust Policy, e.g. the Capability Policy. No new performance issues should be raised during an appraisal discussion.

7. Managing and Monitoring Appraisal Progress Discussions

Managers should:

know whether the staff over whom they have managerial responsibility have had an Appraisal Progress Discussion and ensure that the completion of these Appraisal Progress Discussions has been properly recorded

carry out or ensure Appraisal Progress Discussions occur with all those whom they directly line manage in order to secure their own pay progression under the requirements of Agenda for Change

have had discussions with their direct reports to ensure quality of appraisal discussions and gain a greater sense of workforce development needs among their staff.

8. Dissemination and Implementation Arrangements

This document will be circulated to all managers who will be required to cascade the information to members of their teams. It will be presented by Human Resources Business Partners at Divisional meetings and available to all staff via the Trust intranet. Managers will ensure that staff are briefed on its contents and on what it means for them.

9. Training Arrangements Training will be made available to support those who feel they need additional information or

coaching in order to engage in Appraisals.

10. Monitoring and Audit Arrangements

To ensure that the Trust moves towards all staff having at least one Appraisal Progress Discussions each year, the following records will be maintained:

Every manager will report appraisal dates for all staff through managers’ self service on ESR, where available, or by notifying the L&OD team of the date for each member of staff upon completion of the discussion.

Human Resources and Organisational Development monitor Appraisal Progress Discussion compliance information from managers regularly and produce reports of Appraisal Progress Discussion completions across the organisation. This will be presented at the relevant trust committees.

Elements to be monitored

Lead Method for monitoring compliance

Frequency Reporting

80% compliance in regard to appraisal progress discussions in a 12 month rolling year

Training Manager

Review of compliance records held by Line Managers

annually

Quarterly

Monthly data

Workforce Committee Oversight report produced for divisional performance meetings Sent to senior managers

APPENDIX 1: Appraisal progress discussion guidance

7 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

Process and documentation

Training Manager

Random audit of completed documentation

6 monthly initially and annually

11. Review of the policy

This policy will be reviewed comprehensively by October 2021 in conjunction with staffside.

12. Associated documents

This policy should be read in conjunction with the following policies:

Pay Progression Policy

Trust Equality and Diversity Policy

Trust Probation Policy

Trust Disciplinary Policy

Trust Capability Policy

Talent Strategy

13. Equality Impact Analysis

1. C&I Equality Impact Analysis Guidance Document

1. Please indicate the expected impact of your proposal on people with protected characteristics

Characteristics Significant +ve Some +ve Neutral Some -ve Significant -ve

Age

Disability

Ethnicity

Gender re-assignment:

Religion/Belief:

Sex (male or female)

Sexual Orientation

Marriage and civil partnership

Pregnancy and maternity

The Trust is also concerned about key disadvantaged groups event though they are not protected by law

Substance mis-users

Homeless people

Unemployed people

Part-time staff

Please remember just because a policy or initiative applies to all, does not mean it will have an equal impact on all.

2. Consideration of available data, research and information Please list any monitoring, demographic or service data or other information you have used to help you analyse whether you are delivering a fair and equitable service. Social factors are significant determinants of health or employment outcomes. Monitoring data and other information should be used to help you analyse whether you are delivering a fair and equitable service. Social factors are significant determinants of health outcomes. Please consult these types of potential sources as appropriate. There are links on the Trust website: • Joint strategic needs analysis (JSNA) for each borough • Demographic data and other statistics, including census findings • Recent research findings (local and national) • Results from consultation or engagement you have undertaken • Service user monitoring data (including age, disability, ethnicity, gender, religion/belief, sexual orientation and) • Information from relevant groups or agencies, for example trade unions and voluntary/community organisations • Analysis of records of enquiries about your service, or complaints or compliments about them Recommendations of external inspections or audit reports

APPENDIX 1: Appraisal progress discussion guidance

8 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

Key questions (supports EDS Goals)

Your Response

Please reference data, research and information that you have reviewed

which you have used to form your response

2.1 What evidence, data or information have you

considered to determine how this policy/

development contributes to delivering better

health outcomes for all?

N/A

2.2 What evidence, data or information have you

considered to determine how this policy/

development contributes to improving patient

access and experience?

N/A

2.3 What evidence, data or information have you

considered to determine how this

development/policy contributes to delivering a

representative and well supported workforce?

Consultation nationally and locally with Unions and staffside

Consultation with Workforce Committee members

2.4 What evidence, data or information have you

considered to determine how this

policy/development contributes to inclusive

leadership and governance?

National Agenda For Change Policy changes require pay progression

discussions to occur and including this in the appraisal means that all

Agenda for Change staff must have an appraisal

3. It is Trust policy that you explain your proposed development or change to people who might be affected by it, or their

representatives. Please outline how you plan to do this.

Group Methods of engagement

Staff Intranet, launch through the Trust bulletin,

Managers Intranet, launch through the Trust bulletin, training,

4. Equality Impact Analysis Improvement Plan If your analysis indicates some negative impacts, please list actions that you plan to take as a result of this analysis to reduce those impacts, or rebalance opportunities. These actions should be based upon the analysis of data and engagement, any gaps in the data you have identified, and any steps you will be taking to address any negative impacts or remove barriers. The actions need to be built into your service planning framework. Actions/targets should be measurable, achievable, realistic and time framed.

Negative impacts identified Actions planned By who

Disability

Reasonable adjustments to complete Core Skills and Appraisal will be

identified and made for those with disabilities

Management,

OH and HR

5. Sign off and publishing

Once you have completed this form, it needs to be ‘approved’ by Service Director, Clinical Director or an Executive Director or their nominated deputy. If this Equality Impact Analysis relates to a policy, procedure or protocol, please attach it to the policy and process it through the normal approval process. Following this sign off by the Sub Policy Group your policy and the associated EqIA will be published by the Trust’s Policy Lead on the website. If your EqIA related to a service development or business /financial plan or strategy, once your Director or the relevant committee has approved it please send a copy to the Equality and Diversity Lead (equalityanddiversity@candi.nhs.uk), who will publish it on the Trust’s website. Keep a copy for your own records.

I have conducted this Equality Impact Analysis in line with Trust guidance

Your name: Position

Signed: Date:

Approved by:

Your name: Position

APPENDIX 1: Appraisal progress discussion guidance

9 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

Sign:

Date

APPENDIX 1: Appraisal progress discussion guidance

10 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

APPENDIX 1: Appraisal progress discussion guidance

11 _APPRAISAL_POLICY_HR25_SEPTEMBER 2019

APPENDIX 2: Appraisal progress discussion form

APPENDIX 3: Appeal process flow chart

Appendix 3- Appeal process flow chart

Grandparent requests a written submission from the line manager, in response to the appeal received

& line manager makes the submission within 3 working days

of request

The grandparent reviews all submissions & provides a written outcome within 10 working days

Appeal form & evidence submitted by the employee to the Grandparent manager within 5 working days Pay step or appraisal review meeting.

Appeal Upheld Appeal not upheld – there is no further right to appeal

Manager completes a Pay Step Progression form to confirm pay progression or addresses other concerns raised during appraisal discussion. Payment will be

backdated to the original incremental date.