POLICY:

HR 049 - Performance Development

Review (Appraisal) Policy

Executive Director Lead Director of People

Policy Owner Director of People
Policy Author Mandatory Training Lead

Document Type Policy

Document Version Number 6
Date of Approval 14/09/2020
Approved By Executive Directors’ Group
Date of Issue 23/09/2020
Date for Review 30/09/2023

Summary of policy

Performance Development Review (Appraisal) policy

All Trust employees and the Trust Board (excluding Medical staff)

The changes made to this version of the policy are summarised on page X (amendment log).
Target audience All Trust staff who have a PDR and all PDR reviewers.

Keywords PDR – Performance Development Review also known as

Appraisal

Storage
This is Version 6 and is stored and available through the SHSC Intranet/Internet.
This version supersedes the previous Version 5 - April 2017.
Any copies of the previous policy held separately should be destroyed and replaced with this version.

Performance Development Review (Appraisal) Policy V6 Sept 2020

 Contents

Section Page
Version Control and Amendment Log
Flowchart 1
1 Introduction 2
2 Scope 2
3 Purpose 2
4 Definitions 3
5 Details of the Policy and Duties 3
6 Procedure 7
7 Development, Consultation and Approval 7
8 Audit, Monitoring and Review 8
9 Implementation Plan 8
10 Dissemination, Storage and Archiving (Version Control) 9
11 Training and Other Resource Implications 10
12 Links to Other Policies, Standards, References, Legislation 10
and National Guidance
13 Contact Details 10
APPENDICES
Appendix A - Equality Impact Assessment 11

Performance Development Review (Appraisal) Policy V6 Sept 2020

Version Control and Amendment Log

Version Type of Change Date Description of Change(s)

Number
New policy commissioned
0.1 New draft policy created July 2015 by EDG on approval of a
Case for Need.
Amendments made during
1.0 Ratification and issue Sept 2015 consultation, prior to
ratification.
Early review undertaken to
update the policy to in order
2.0 Review/ratification/issue Sept 2016
to comply with new
regulatory requirements.

Review on expiry of Committee structure

2.1 June 2019
policy updated.

Full review completed as

3.0 Review/ratification/issue August 2019 per schedule.

Verified by Staff Side.

Minor updates prior to the
5.0 April 2017 Ratified by EDG ahead of
new focal point window.
PGG.
New national process for
incremental progressions
Review on expiry of
6.0 Sept 2020 has been received and the
policy
policy updated accordingly.

Performance Development Review (Appraisal) Policy V6 Sept 2020

Flowchart

Reviewer and Reviewee identify a date for the PDR discussion during the focal point window

The PDR discussion takes place. All details, including the Reviewee’s comments, are discussed and recorded -Blank PDR form is hosted on the intranet in E-Forms
section

email must be sent to the PDR Team [email protected] advising them of the date that the PDR discussion took place.
ESR will not be up-to-date without this information.

Performance Development Review (Appraisal) Policy V6 Sept 2020 Page 1 of 12

 1. Introduction

Effective ‘Performance and Development Review’ (PDR) means that an individual’s

performance is measured regularly, fairly and equally in relation to the demands of
their job role and allows all employees to contribute effectively to the overall
success of the Trust.
All employees need appropriate support to help them to be successful in their job.

Employees have the right to expect:

• regular communication and feedback from their manager

• a clear idea of what performance is expected
• access to learning and development relevant to the Trust’s business objectives
and their roles and responsibilities

Although goals and objectives are cascaded from the top of the Trust/organisation,
the Performance Management Process is a two way process, with feedback from
employees shaping their future goals, objectives, learning and support.

Every member of staff is required to participate in an individual Performance and

Development Review and have a personal development plan related to the Trust’s
business objectives. The Mandatory Training Policy describes the Trust’s
principles for education, training and development and should be read in
conjunction with this policy. Decisions about access to learning opportunities must
be in line with the Trust's Study and Study Leave Policy and will be recorded, be
open to scrutiny, and be monitored for equality purposes.

2. Scope

This policy applies to all Trust staff except medical staff, who follow the review
guidelines determined by the GMC revalidation process, and Executive Directors
who have separate PDR arrangements. This policy may also apply to staff based at
SHSC where SHSC has agreed to take on line management responsibilities.

3. Purpose

The purpose of the policy is to define the requirements of all employees and the
organisation in terms of PDR both as employees, line managers and The
Directorates.

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4. Definitions

PDR The Performance Development Review is an

annual assessment of an employee’s
performance. The PDR is an opportunity to
take an overall view of work content, loads
and volumes, to look back on what has been
achieved during the past year and agree
objectives for the forthcoming year. PDRs
should not be viewed in isolation, but as part
of effective management of staff.

Reviewee Employee whose performance is being

reviewed.

Reviewer Individual undertaking the review with the

employee, usually the line manager.

Appraisal The process of agreeing personal objectives

and how their achievement can be
measured, and then assessing how
employees perform against them in the
context of the Trust’s goals and values.

Agenda for Change Is the current National Health Service (NHS)

grading and pay system for all NHS staff,
with the exception of doctors, dentists and
some senior managers.

Line Manager Manager that the employee reports directly

to. Person who usually provides supervision
and Performance Development Reviews.

5. Details and Duties

All employees will take part in an annual individual Performance and Development
Review discussion. This review is a partnership process undertaken between an
individual member of staff and ‘a Reviewer’. The Reviewer will usually be the line
manager, however in certain circumstances the role of Reviewer may be delegated to
someone else. For example, a ward manager may delegate this to deputy managers,
and staff nurses may review support workers.

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 In all cases PDR Reviewers in this role are required to attend training in the review
process and will be recognised in this role by both staff and management.

If any issues have been identified in the individual’s work performance or development
during the year, these issues should have been addressed at the time they arise; they
should not be left until the PDR review meeting. Any disciplinary issues must be dealt
with through the normal channels as they arise. The guiding principle of the
development review process is ‘no surprises’.

The annual PDR review will have the following main purposes:
• Reviewing and updating an individual’s Job Description and performance in the
previous year; consolidating the previous year’s supervision 1 to 1 sessions,
previous objectives and ongoing work performance.
• The review period of all PDRs in the Trust will be the preceding year at the time
when the PDR is completed.

• Setting Performance objectives for the coming year to support the

team/department/ward and related organisational objectives.
• Identifying and agreeing learning needs both for the coming year ensuring firstly
that the ‘Reviewee’ has a training plan for the next 12 months that meets their
mandatory training requirements as set out in the Trust’s Training Needs Analysis;
and in the shorter or longer term a Learning Performance Development Plan
related to the Trust’s business objectives.

Focal Point Window

• PDR’s will take place in the ‘Focal Point Window’ which is the typically first 3
months of the financial year - April to June inclusive each year. This links very
closely to the Trust business cycle, and should therefore make the identification of
objectives easier as they link more closely to those of the Trust.

• All staff who commence with the Trust before the 31st December will have their
PDR in the next Focal Point Window, and staff who commence between 1 st
January – 31st March inclusive will receive their PDR in the Focal Point Window the
year after, if the focal point window is moved then all staff who commenced in post
up to 3 months before the window opened will receive their PDR in the focal point
window.

• Staff changing roles within the Trust will automatically have a PDR during each
‘Focal Point Window’.

• An employee on a Bank Staffing Only contract who then obtains a substantive post
will be treated as a member of staff changing roles.

• Interim objectives should be set at 3 months and reviewed at 6 and 9 months.

• Any line manager who believes they will not be able to complete the PDRs for their
direct reports within the window must raise the issue with HR at the earliest

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 opportunity. As a guideline, anyone with more than ten PDRs to complete should
contact HR for advice.

• Staff on Maternity Leave, Shared Parental Leave, Adoption Leave, Partner Leave
or long term sickness during the whole Focal Point Window period should have
their PDR as soon as possible upon their return

Incremental Progress

https://www.nhsemployers.org/tchandbook/annex-21-to-25/annex-23-pay-progression-england

1. The 2018 framework agreement on the reform of Agenda for Change introduced provisions
to move to a new pay system with faster progression to the top of pay bands through fewer
pay step points. This annex describes the agreed pay progression framework which
underpins the pay structure and requires a manager/staff submission process to be followed
for pay step points to be achieved.

2. This pay progression framework will be underpinned by local appraisal policies that deliver
the mandatory annual appraisal process. It is intended to ensure that within each pay band
staff have the appropriate knowledge and skills they need to carry out their roles and so
make the greatest possible contribution to patient care. Local appraisal policies will be
agreed in partnership with trade unions and may cover issues such as development
opportunities and organisational values and behaviours (see also paragraph 54).

3. The expectation is that all staff will meet the required standards (see paragraph 19) and
therefore be able to progress on their pay step date. Appraisal processes should involve
regular conversations between staff and their line managers to ensure that required
standards are understood, and additional support identified in good time.

Line Manager Responsibilities:

The Trust recognises that Performance Development of staff is a key indicator of

management effectiveness and expects all Line Managers to:

• Establish effective structures for supervision and review, including regular 1 to 1s in

line with the Trusts Supervision Policy ensuring that as a Reviewer they should not
supervise/review more than 10 people.

• Set effective objectives for every person in line with the Trust’s business objectives
relating to Quality, People and Sustainability and the relevant team goals.

• Line Managers will themselves have an annual objective to undertake an annual PDR
of all the individual staff they are assigned to review. This includes reviewing and
updating the Job Description of each individual.

• Establish on-going learning as a feature of employment within the Trust by ensuring

that every person has a Learning Performance Development Plan that takes a flexible
approach to learning and development opportunities for staff, including the use of

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 reflective objectives as a key part of supervision, shadowing others within the Trust to
develop new performance skills, e-learning opportunities.

The Reviewer will usually be the line manager, however in certain circumstances the role of
Reviewer may be delegated to someone else. For example, a ward manager may delegate
this to deputy managers, and staff nurses may review support workers.

Individual :
Everyone has a responsibility for maintaining their own Professional and Personal
Performance Development and to measure their own performance against Job
Description and objectives as a basis for action and development.

The Trust requires everyone to:

• Identify where they need further performance development and suggest those areas
that seem to be the most important in relation to the Trust’s business objectives

• Contribute effectively and actively to the overall success of the Trust by delivering
results against their performance objectives.

• Complete the necessary learning opportunities for effective performance of their role;

• Make advanced timely arrangements for managing their workload to identify sufficient
time to attend all required mandatory training and other identified key learning
development opportunities;

• Draw up their own Performance Development Plan in conjunction with their manager,
to progress and maintain knowledge and expertise, and to develop their abilities and
skills in the interest of the Trust, the broader NHS values and our service users.

• Individuals should check a PDR has been arranged and ensure details are placed in
the appropriate diary or off duty to ensure time is allocated appropriately for the
Review

Senior Responsibilities:
The Trust recognises that performance development of staff is a key indicator of
management effectiveness and expects all Directorates to:

• Support Line Managers to ensure dedicated time is planned and available for the
PDRs to be undertaken within the annual time frame (taking into account the Focal
Point Window).

• Ensure all Line Managers have an objective to complete PDR’s.

• Ensure a suitable alternative ‘Reviewer’ is identified in a timely manner when the

previous assigned Line Manager is unavailable.

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Supervision and Interim Review

Following the annual Performance Development Review the individual works towards their
objectives, and makes progress on their Performance development goals. As they progress,
both the individual (primary responsibility), and the manager gather appropriate evidence of
both work performed and learning development opportunities completed.

There is a need for continuous monitoring and feedback. This keeps the employee on track,
ensuring that they feel supported and that their contribution is valued. Continuous monitoring
also allows individual objectives to be updated, in line with changes to the department and/or
Trust goals.

During the year, line managers and individuals are required to review progress against
objectives and PDRs quarterly, and undertake monthly 1 to 1s for support and supervision,
with constructive feedback given on the individual’s work and related development.
Objectives set at the outset can be changed as necessary throughout the year to remain
relevant and up to date

6. Procedure

Reviewers should arrange the PDR’s for the staff assigned to them during the focal
window, ensuring details have been entered into the appropriate diaries and off duties
and ensure an appropriate room as been allocated for the PDR. Staff who have
increment dates at the start of the window should be prioritised, and Reviewers should
ensure they email [email protected] to ensure the PDR is recorded on the
Electronic Staff Record..

7. Development, Consultation and Approval

Reviewed between April 2020 – August 2020

Reviewed by JPG August 2020

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8. Audit, Monitoring and Review

Monitoring Compliance Template

Minimum Process for Responsible Individual/ Frequency of Review of Results Responsible Responsible
Requirement Monitoring group/committee Monitoring process (e.g. who Individual/group/ Individual/group/
does this?) committee for committee for action
action plan plan monitoring and
development implementation
Regular e.g. Review, People Committee in Weekly through e.g. Quality People Committee Director of People
reporting to audit conjunction with the focal point Assurance
check Workforce team window, monthly Committee
completion rest of the year
rate

The policy review date is 30 September 2023.

9. Implementation Plan

Action / Task Responsible Person Deadline Progress update

Upload new policy onto intranet and Comms via Sept 2020
remove old version Policy Governance

All staff communications to be sent out Comms via Sept 2020

before the next focal point window Policy Governance
regarding the changes to the form.
Training available from October 2020 Recovery Education Oct 2020
Team
Overall accountability Executive Lead – ----- -----
Director of HR /
Deputy

Performance Development Review (Appraisal) Policy V6 Sept 2020 Page 8 of 12

10. Dissemination, Storage and Archiving (Version Control)

Version Date on website Date of entry in Connect Any other promotion/

(intranet and internet) (all staff communication) dissemination (include dates)
1 Sept 2012 Sept 2012 N/A

2 Sept 2016 Sept 2016 N/A

3 Aug 2019 Aug 2019 Managers Briefing as appropriate

Next meeting Sept 2019

5 Minor updates prior to the new April 2017 Verified by Staff Side
focal point window. Ratified by EDG ahead of PGG

This is Version 6 and is stored and available through the SHSC Intranet/Internet.
This version supersedes the previous Version 5 [month/date].
Any copies of the previous policy held separately should be destroyed and replaced with this version.

All versions of HR policies are stored on the HR Shared Drive by the policy author and the PA to the Director of Human
Resources.

Word copies of final versions of policies can be obtained from Policy Governance via the PA to the Director of Human Resources.

Performance Development Review (Appraisal) Policy V6 Sept 2020 Page 9 of 12

11. Training and Other Resource Implications

Training for Reviewers provided by the Recovery Education Team and Coaching
conversations provided by the Organisational Development team to support
effective and quality PDR’s.

Resources required within the Workforce team to ensure the accurate recording
and reporting of the completion of PDR’s

12. Links to Other Policies, Standards, References, Legislation (Associated

Documents) and National Guidance

Links to other policies, standards and legislation (associated documents)

➢ Supervision Policy
➢ Mandatory Training Policy
➢ Study and Study Leave Policy
➢ Trust Training Needs Analysis
➢ Stress Management at Work Policy
➢ Equal Opportunities and Dignity at Work Policy
➢ Capability Policy
➢ Induction Policy
➢ Promoting Attendance and Managing Sickness Absence Policy
➢ Agenda for Change terms and conditions in relation to Incremental
Progression
➢ https://www.nhsemployers.org/tchandbook/annex-21-to-25/annex-23-
pay-progression-england

13. Contact Details

Job Title Name Phone Email

Executive Lead Director of People 0114 226 3626 [email protected]
Author Mandatory Training 0114 226 3110 [email protected]
Lead

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 Appendix A
Equality Impact Assessment Process and Record for Written Policies
Stage 1 – Relevance - Is the policy potentially relevant to equality i.e. will this policy potentially impact on staff, patients or the public? This should be considered as
part of the Case of Need for new policies.
I confirm that this policy does not impact on staff, patients YES, Go
I confirm that this policy does not impact on staff, patients or the public. or the public.
to Stage 2
Name/Date: Jennie Wilson – September 2020

Stage 2 Policy Screening and Drafting Policy - Public authorities are legally required to have ‘due regard’ to eliminating discrimination, advancing equal
opportunity and fostering good relations in relation to people who share certain ‘protected characteristics’ and those that do not. The following table should be used
to consider this and inform changes to the policy (indicate yes/no/ don’t know and note reasons). Please see the SHSC Guidance and Flow Chart.
Stage 3 – Policy Revision - Make amendments to the policy or identify any remedial action required and record any action planned in the policy implementation
plan section

Does any aspect of this policy or Can equality of opportunity for this group Can this policy be amended so that it works to
SCREENING potentially discriminate against be improved through this policy or enhance relations between people in this group
RECORD this group? changes to this policy? and people not in this group?

Age

Disability

Gender
Reassignment

Pregnancy and
Maternity

Race

Performance Development Review (Appraisal) Policy V6 Sept 2020 Page 11 of 12

Religion or Belief

Sex

Sexual Orientation

Marriage or Civil
Partnership

Please delete as appropriate: - Policy Amended / Action Identified Impact Assessment Completed by:
(see Implementation Plan) / no changes made. Name /Date

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