Appraisal Guidance

Agenda for Change Employees

Updated July 2019

Introduction This toolkit aims to provide Appraisers and Appraisees with information and guidance on how to fully participate in positive and supportive appraisal conversations. All Appraisers are encouraged to attend the Trust’s Appraisal training sessions to ensure that they have the skills, knowledge and tools to support, appraise and develop staff within their team as part of the Trust’s Maximising our Potential Workforce Strategy click here The Appraisal process is important because it:

Provides individuals with formal feedback on their performance Formalises discussions and records progress in an annual Appraisal conversation Provides the opportunity for Appraisers to formally recognise efforts and achievements, plus

value an individual’s contributions Links individual performance objectives to the Trust’s Strategic Objectives Aligns an individual’s development to the Trust’s CARE values and behaviours Ensures ongoing staff engagement with the Trust’s vision and CARE values Enables the Trust to formally manage talent development and succession planning

The Appraisal Conversation To facilitate a quality appraisal conversation, it is expected both the Appraiser and Appraisee make time to adequately prepare. Both have responsibilities for the appraisal process as follows: Appraiser Role and Responsibilities

Ensure the Appraiser’s Preparation Form click here is completed, considering the Appraisee’s performance against previous objectives; what’s gone well, have they met their objectives, any barriers to progress; what requires improvement and why? What successes can be celebrated?

Provide the Appraisee with the Appraisee Preparation Form click here and the current Appraisal document (i.e. last 12 month period) at least 2 weeks before the Appraisal Conversation for them to prepare their reflections on their performance over the past year

Remind the Appraisee to prepare and provide evidence of progress against their performance objectives and development activities

To book a room, ensuring it is private and free from interruption and which allows for an open conversation. Allow a minimum of 1 hour for the Appraisal conversation to take place

Consider and prepare performance objectives for the forthcoming year which are linked to the Trust’s Strategic Objectives and aligned with the CARE values

Discuss how the individual contributes to Outstanding Care and how they are valued

Undertake the appraisal review within 3 months prior to an individual’s incremental pay progression date, to approve or defer incremental pay progression

Provide ongoing support to the Appraisee throughout the year to support them to achieve their objectives and development Note: Undertake a closing appraisal to review objectives if the individual moves jobs internally

To ensure a high quality, positive and supportive Appraisal Conversation by creating an environment of trust and honesty; open the conversation in a way that encourages the Appraisee to talk freely

Ask open questions to encourage the Appraisee to participate, for example; What? Where? When? How?

Maintain eye contact and take a genuine interest in the Appraisee’s responses

Demonstrate ‘active listening’. Give the Appraisee time to respond. Don’t rush to fill silences, and don’t talk over the Appraisee. It is important to nurture a discussion not supress it.

Provide constructive feedback. Include what has gone well and what they should continue with; what could the Appraisee improve and build on in the future.

Ensure that there are no surprises in the conversation. If there are issues with an Appraisee’s performance this should have already been addressed and managed in line with the Trust’s Capability Policy Capability Policy and the discussion should clearly acknowledge this. Additional guidance and templates are available for managers on having ‘Performance Conversations’ on the HR intranet site Capability Policy Supplementary Guidance

Ensure the Appraisee has completed the “Model Declaration Form” and brought a copy along to the appraisal discussion. To ensure that a copy is retained and if any concerns are identified that relevant discussions are held, obtaining relevant HR support where appropriate.

Note: Band 1 Staff appraisal – Following the Band 1 / Band 2 Choice exercise in 2018, staff who have chosen to remain in a Band 1 post should annually be given the choice to move to a Band 2 post, as per NHS Employers guidance click here. If the individual declares that they would like to transfer to a Band 2, managers should share the job description with the staff member and ask if they require any support during the transition. The decision needs to be recorded on the appraisal summary grid. It should be confirmed with the member of staff that their incremental date will change to the date of accepting the new role.

Note: Bands 7 and above – please ensure they have completed their annual declaration of interests on line.

Appraisee Role and Responsibilities The Appraisal Conversation is a two way conversation that supports the Appraisee to perform their job role to the required standard and to maximise their potential and talent(s), both in their current role and any aspiring roles for their career development. To support the appraisal conversation, the appraisee should:

Complete the Appraisee Preparation Form click here to support a 2-way conversation

Complete the “Model Declaration Form” click here honestly disclosing relevant information with your line manager

Describe what they have done (ie performance) to achieve their objectives over the last 12 months and demonstrated the CARE values and behaviours.

Prepare evidence to demonstrate development activities are achieved

Provide evidence that mandatory training is 100% complete or on target for completion

Prepare for the talent conversation by considering future development, career aspirations and support required to achieve the next career step or to maximise potential in the current job role.

Note: Band 7 and above – ensure you complete the annual declaration of interests online.

Agreeing Performance Objectives - What is an objective? An objective is a goal, aim or a task relevant to an individual’s job role which has to be achieved within a specific timeframe. All agreed objectives should link to one or more of the Trust’s strategic objectives (listed below). This enables teams and individuals to make a clear and direct link to how their individual job role and performance supports the SFH to achieve its strategic objectives.

To provide outstanding care To promote and support health and well-being To maximise the potential of our workforce To continuously learn and improve To achieve better value

When agreeing performance objectives, they should always be SMART. This means: Specific; Measurable; Achievable; Realistic and Time bound. They should focus on ‘what’ activities the individual needs to achieve in their job role. Appraisers should ensure objectives are:

Specific - Are they clear and specific enough for the Appraisee to understand? Are they clear ‘what’ needs to be achieved or delivered?

Measurable - Can the objective be easily measured? What will the Appraisee do that is different? How will this be demonstrated or evidenced?

Achievable - Is the objective achievable for the Appraisee? Objectives should not be ‘too big’, or too difficult to achieve.

Realistic - Is the objective realistic. Does the Appraisee have the knowledge, skills and resources to achieve it? If not, development activities must be included in the Personal Development Plan. Are the conditions or environment right for the individual to achieve their objective?

Timely - A realistic timeframe needs to be agreed for each objective in order for an end point to be reached.

Agreeing the Personal Development Plan (PDP) A Personal Development Plan should include learning, education and development activities that support the Appraisee in maximising their potential, which in turn will benefit the team and the organisation. Personal Development Plans should:

Outline development that is job relevant

Support staff to develop within their own job role and enable career development primarily within the organisation

Can include activities such as shadowing; presenting; researching; teaching others. It is not just attending training activities

Be supported by the appraiser throughout the year

Have realistic activities Please Note: Mandatory training is a contractual requirement and should not be agreed as an objective or as part of the personal development plan. Talent Conversations – See appendix 1 and 2 for full guidance The Trust’s Maximising our Potential Workforce Strategy (click here) recognises that all staff have talent and our aim is to maximise the contribution of every member of staff. We know that supporting an individual to identity and fulfil their potential is essential. People whose potential is used and developed are:

More energised More fulfilled Achieve their goals more effectively More engaged Perform better at work

Ideally, we need to align an individual’s potential and aspirations closely to the Trust’s workforce planning needs and linked to the Trust’s strategy. All managers are responsible for succession planning and talent management so that we retain staff and maximise their potential. Should someone leave a post tomorrow, the Trust needs to ensure there are potential candidates to replace that individual’s role. Therefore Appraisers should have talent conversations with Appraisees to support both the Appraisee’s career aspirations and organisational succession planning. Having a talent conversation is part of the appraisal conversation. The talent conversation uses coaching questions, which supports the individual to reflect on and consider their performance and behaviours in their current role, discuss any aspirations and potential they have for further progression or other roles, or explore how they can focus on their current role and support others e.g. by becoming a buddy or coach, or undertaking a project or improvement initiative. If an individual is content to focus on

their current role, the PDP would include activities that allow the individual to keep up to date with developments in their job role or profession, and to continue to support their team. Note: Talent conversations need to be realistic. An individual who has not achieved, or only partially achieved their objectives, will need support to reach their potential in their current role over the coming year rather than discussing how they will be developed for advancement. Equally, it is unlikely that someone who does not behave in accordance with the CARE values will have the potential to become a buddy or coach. The reasons why they have not met the objectives or displayed appropriate behaviours should be explored with the individual. If they don’t feel valued in their role they may find it difficult to perform. However, sometimes it can emerge that the individual’s talents may be better suited to a different role i.e. they are in the wrong role for them to shine. In that case, it’s about how to support the individual to reach their future potential wherever that may be. It’s about understanding the individual, why they may not be performing and behaving to the potential level the role requires, and supporting them to achieve. Further guidance on having difficult conversations is available on the HR intranet (click here) 9 Box Grid approach to Talent Conversations - for Bands 8a & above and Consultant Leaders See Appendix 2 The manager should invite the individual to the Appraisal and Leadership Talent Conversation, ensure they understand its purpose and send them a copy of their current appraisal document and the 9 box grid in advance to enable them to form their view on where they see themselves. Managers should make it clear to the individual that although the conversation is confidential, the outcome information will be used as part of the Trust’s talent mapping activities and will be seen by a small number of people in HR and the Executive Team. Signed permission should be sought from the individual for their 9 box grid outcome information to be processed for inclusion on the SFH Talent Succession Map. Coaching questions should be utilised to support the Leadership Talent Conversation. The manager and individual will discuss the 9 box grid approach and the categories in the Leadership Talent Conversation Outcome Report, to determine which category the individual fits best in at that time. Outcome Reports have three main purposes: • To create and document a shared understanding between the manager and the individual of the individuals performance and behaviour in their current role and their career progression aspirations • To provide information that helps to maximise the performance and potential of the individual and ensure that they their talent is recognised and used in the Trust • To provide information for the Trusts Leadership Talent Map and succession plan in a fair and consistent way Having had the Leadership Talent Conversation, the next step is to complete the best fit category on the Leadership Talent Conversation Outcome report. Ideally this should be agreed between both parties. Where agreement is not reached it should be noted on page 5 of the appraisal documentation. Completed Leadership Conversation Outcome reports should be sent to Annette Robinson, Senior Leadership and Management Development Trainer Annette.Robinson5@nhs.net Note: Please ensure the individual signs consent for their information on the Leadership Talent Conversation Outcome on page 5 to be processed for the SFHFT Talent Succession Map for review by the Executive Talent Management Group. Appraisal Compliance

The Trust Appraisal compliance target is 95%. The 5% gap allows for any staff on long term sick leave and staff turnover. The appraisal report excludes the following staff groups in order to ensure that a 95% compliance rate is achievable:

Less than 1 year service

Maternity leave

Staff who are on ‘Suspend no pay’ – this normally applies to those who have been employed on a fixed term contract basis and those whom have not been terminated from ESR

Bank staff

Students

Medirest

External secondments/career breaks

Secondary assignments where the second assignment sits within the same department A monthly Appraisal Report is produced by the HR Workforce Information team using the data captured by the Electronic Staff Record (ESR) system. This report is circulated by e-mail to line managers and their nominated representatives for review. The report confirms:

staff who were compliant/non-compliant for the previous month

staff who require an appraisal ‘in month’

and increments due to be paid in the following month

For example, a report which is sent to managers in February will confirm: January compliance rate, staff due for Appraisal in February, and increments due to be paid in March. Note: To ensure that data accuracy is maintained, managers must ensure change and termination forms are completed promptly as staff move posts or leave the organisation. Employees with Less Than 1 Years’ Service For employees who are new to the Trust with less than 1 years’ service the following should be applied:

In accordance with the Trust’s Induction Policy a local departmental induction must be undertaken with new staff within the first 6 weeks of commencement. Once complete, the Induction Checklist must be returned to the Training, Education and Development (TED) team.

The Appraiser must meet the new employee at 30, 60 and 90 days from their commencement date to positively support their induction and to ensure that they are settling into their role, and integrating into the wider team.

A Personal Development Plan and Performance Objectives must be agreed within the first 90 days (3 months) of the employee starting in their new post. This ensures that the Appraiser clarifies their expectations, and supports the individual in performing their job role as early as possible.

Appraisal for staff with less than 1 years’ service should be undertaken 3 months prior to the 1 year anniversary to ensure compliance and incremental pay progression/deferment. Employees who internally transfer in the Trust Where a member of staff moves wards or departments internally, the appraisal date is still effective from their previous role. Note: The line manager should review the agreed objectives and achievements before the employee transfers to the new area and ensure they are up to date with their mandatory training. The new line manager / appraiser then sets objectives for the forthcoming year on the First Year in Post paperwork click here as the appraisee, being similar to a new starter, will need clarity of role and expectations. These objectives can include completion of an induction package or competency package for the new role or work area. This objective setting can reset the appraisal date and should be confirmed to HR Workforce Information Officer on the Appraisal return.

Where an appraisal is due and where a member of staff has not been working in the department for a year, an objective setting review should take place and the date of this review can be used as the appraisal date. All queries relating to scheduling of appraisal for internally transferred staff should be made to the Workforce Information Officer. Staff who have moved from another Trust Where staff have moved from another Trust, incremental progression will automatically take place within the first 9 months of their service with this Trust, providing that they are fully compliant with their mandatory training. However, if the incremental date is within months 10 to 12 months of service in this Trust they will require compliance with their mandatory training and an up to date appraisal. See examples as follows:

a) Incremental date transferred from previous trust is 1st August 2018 and SFH Trust start date is 1st January 2018 (7 months service with SFH) – staff will need to evidence 100% compliance with their SFHFT mandatory training.

b) Incremental date transferred from previous trust is 1st November 2018 and SFH Trust start date is 1st January 2018 (11 months service with SFH) – staff will need to evidence 100% compliance on with SFHFT mandatory training and have an annual appraisal.

All queries relating to scheduling of appraisal for staff moving from other Trusts should be made to the Human Resources Workforce Information Officer. Incremental Pay Progression The Appraiser must confirm whether the incremental pay progression is ‘Authorised, Declined or Not Applicable’ as indicated on the Appraisal Summary sheet. Further guidance can be found in the Trust’s Incremental Pay Progression Policy click here For instances where incremental pay may be deferred, further guidance can be found on the Deferment of Incremental Pay Progression Review Process and Senior Managers Guidance click here All queries relating to incremental pay progression/deferment should be made to the Human Resources Operational Team. Appraisal Returns to HR A copy of the HR appraisal return report is shown overleaf, including guidance on completion. Regular Reviews Appraising staff is an ongoing process. It is mandatory for each employee to have a formal Appraisal Conversation once a year. It is best practice to undertake a 6 month review to ensure staff are fully supported in completing their development activities outlined in their PDP, and in achieving their full potential in their job role by achieving their performance objectives. Appraisers should ensure that on an ongoing basis that they:

Provide regular feedback – outline what is going well and highlight any areas for improvement

Undertake regular 1:1 conversations with staff in their teams

Support learning and development activities required

For additional resources please see: People Performance Management toolkit - NHS Employers

Cost Centre ManagerAssignment

NumberTitle First Name Last Name

Incremental

Date as at

11apr16

Top of Band

/

Incremental

Appraisal

Compliant/N

on-

Compliant

Appraisal

Completed

Information -

upto 31st

March 2016

New

Completed

Appraisal -

upto 30th

April 2016

Approved /

DeferredComments

Date of

Visual Hand

Check

Mandatory

Training

Compliance

% as at 30th

April 2016

Date New

Appraisal

Date Rec'd

from Mgr but

not 100%

Compliant

on Training

as at 31st

March 2016

Date Info

Recd from

Manager

AA54321 AA 11111111 Mr. A Aaaaaa 23-Mar-2016 IncrementalNon-

Compliant100.00%

AA54321 AA 22222222 Mr. A Bbbbbb 13-May-2016 IncrementalNon-

Compliant25-Apr-16 25-Apr-16 100.00% 26-Apr-16

AA54321 AA 33333333 Miss B Aaaaaa 01-Oct-2011 Top of Band Compliant 24-Nov-15 24-Nov-15 100.00%

AA54321 AA 44444444 Miss B Bbbbbb 17-Jul-2014 Top of Band Compliant 15-May-16 18-Dec-15 87.50%

AA54321 AA 55555555 Mrs. C Aaaaaa Top of Band Compliant 21-Dec-15 21-Dec-15 37.50%

AA54321 AA 66666666 Mr. C Bbbbbb 01-Oct-2014 Top of Band Compliant 01-May-15 100.00%

AA54321 AA 77777777 Mrs. D Aaaaaa 21-Sep-2007 Top of Band Compliant 11-May-15 87.50%

AA54321 AA 88888888 Mr. D Bbbbbb 26-May-2016 Incremental Compliant 13-Apr-16 65.00%

In this example the increment will be paid in May as we have

now received a new and up to date appraisal date and the

mandatory training is showing as 100% compliant.

The Incremental Date is shown here in Yellow to highlight that an

increment is due to be paid in the following month salary. If we do not have

an up to date appraisal and mandatory training does not show as 100%

compliant on the last day of the Month before the increment due date, the

increment will not be paid at the point of the increment being due.

in this instance the member of staff will not receive their increment in May 2015 as we have not received a new

appraisal date and the training is not 100% compliant

In the Appraisal Completed Information - upto 31st March 2016 - this shows two highighted dates. The yellow

date shows that the appraisal is due to expire this month and therefore a new appraisal needs completing

urgently. The orange date shows a date that is due to expire next month.

You will only be able to type in the blue and green

columns. All other columns are password protected Mandatory

Training

Compliance

Rate -

information

from Training

& Education

Appraisal Information needs to be returned by the last day of the month - failure to do so may affect your appraisal compliance figures and pyament of increments to staff

This cost centre has staff assigned to it which can be

managed by several different managers, therefore this

cost centre will be emailed to all of the managers that are

shown in the cost centre – All managers will then see

which staff are affecting the compliance rate for this cost

centre. If the manager is incorrect, please advise of this in

the “Additional Comments” column and this will be

amended for the following month.

Required for

staff that wash

their hands

over 20 times

per day

You should input new dates or new

information in to these two blue columns.

Future/planned dates will not be used or

recorded.

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Performance Appraisal & Development Review Bands 1-7: ongoing years - EXAMPLE

The Trust values the importance of the appraisal process, which provides individuals with formal feedback on their performance, what’s gone well, where

improvement is needed and why. It promotes staff engagement with the Trust’s vision, values and strategic priorities, plus supports employees to achieve

for themselves and the organisation. It is an opportunity for appraisers to formally recognise efforts, achievements and celebrate successes, making an

individual feel valued. It also supports talent development, succession planning and career progression.

Appraiser’s responsibilities and preparation

Book a private room where you will be uninterrupted Provide the individual with a copy of this appraisal document two weeks

before the review meeting for them to prepare their reflections on their performance over the past year

Consider the individual’s performance: what’s gone well, have they met their objectives, what requires improvement and why? What successes can be celebrated?

Undertake the appraisal review within 3 months prior to an individual’s incremental pay progression date, to approve or defer incremental pay progression

N.B. Undertake a closing appraisal to review objectives if the individual moves jobs internally

See Appraisal Toolkit for full guidance

Appraisee’s responsibilities and preparation

To prepare for and participate in the review it is helpful to consider:

What’s gone well for me this year? What am I most proud of? I have contributed to the delivery of Outstanding Care by…. What I like about my job? What keeps me motivated? I feel valued when…. I have achieved my objectives and lived the CARE values in my

performance by…. I have not achieved my objectives due to the following challenges…. My performance has been affected by.... I have the following knowledge and skills that are unutilised… In the next 12 months I would like to achieve …. I need the following support to help me reach my full potential… What my career aspirations are

An Appraisee Preparation Form is available within the Appraisal Toolkit for

those wishing to use it

Year on Year timeline

Annual Performance Appraisal &

Development Review includes

talent conversation

Ongoing support to

achieve objectives and

PDP

6 months review anad

on going support

Appraisee and appriaser prepare

2 weeks for review meeeting

Performance Appraisal &

Development Review at 9-12

months includes Talent

Ccnversation

Set objectives and PDP;

record on Year 2 Onwards

Form

10

Part 1: Reflections of past year and contribution to Outstanding Care

Name of Employee Name of Line Manager /

Appraiser

Job Title Job Title

Department Department

Part 1: Individual’s reflections of the past year. Include what’s gone well, what they are most proud of, the successes and any challenges.

Part 1: How does this role contribute to the delivery of Outstanding Care at SFHFT? Include discussion of how the role and person is valued, plus what

motivates them. How they have demonstrated compassionate and inclusive leadership (if applicable to role).

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Part 2: Set Objectives, measures and timescales for the 12 month period from May 2018 to April 2019 (insert dates). For review at 9-12 months

2a) Performance Objectives (Tasks)

Agree performance objectives for next

12 months, linked to job role, team

objectives and strategic priorities.

2a) Measurement & timescale

How objectives will be

measured and timescale to

achieve.

2b) Performance Appraisal & Development Review at 9-12 months

Review performance against objectives, how achieved and any challenges

Identify how the CARE value(s) and behaviours have been demonstrated

2b)

Performance

score *

1, 2 or 3

Objective 1 - e.g. to implement protected meal times guidelines on in the ward area

The protected mealtimes guidelines will be fully implemented on the ward. September 2018

Nurse Smith has interpreted the guidelines for our ward and ensured that each member of staff has been made aware via departmental training, the protected meal time guidelines are now up and running within the department and working well. Patients and staff have responded well to the signage that Nurse Smith has developed. Hard work has been recognised here. Communicating & Working Together – Nurse Smith has involved others in the work that has been undertaken to ensure that team working was maximised

Objective 2 – e.g. to ensure 100% accuracy in filing patient records and sending patient letters.

Audit results will be 100% August 2018

Administrator Smith has demonstrated 100% accuracy in their work during the last 12 month period and this has improved the quality of the service that is delivered within Medical Records. The hard work and attention to detail has not gone unnoticed within the department. Efficient and safe – patient confidentiality has been maintained via 100% accuracy and has demonstrated confidence and consistency in the work undertaken

Objective 3 – e.g. to undertake a research project on physiotherapy patients, recommending and implementing actions within Physiotherapy

Completed research project with recommended actions implemented April 2019

Physiotherapist Smith undertook the research within the physiotherapy department, has made recommendations and implementing them within the department, the objective was achieved however there is still continued work to be undertaken to ensure that the research recommendations are embedded within practice. A difficult research topic completed within limited timescales. Aspiring and improving – this research has allowed the department to set better standards and build on excellent care for patients

* Performance Score descriptors 1) Exceeded expectations 2) Met expectations 3) Partially met expectations

All objectives should be aligned to

the Trust’s Strategic Priorities

Score performance against

each objective.

12

Part 3: Personal and Professional Development Plan for CURRENT ROLE Identify the activities needed to support delivery of your performance objectives, enhance your performance, enhance your behaviour

Area for development The knowledge, skills or behaviours to help you do your job better. e.g. cannulation, team-working

Action How will you do this and support required? e.g. Cannulation course and practice. Participate in team meetings and co-operate with colleagues

Target Completion Date

Evidence How will you demonstrate you have achieved it? e.g Able to cannulate patients safely and efficiently. A happier team with less staff stress.

PDP 1 – e.g. To be aware of and implement the SFH Nursing and Midwifery Strategy

Read the Nursing and Midwifery Strategy and discuss how Nurse Smith can implement this on the ward.

August 2018 Knowledge of the strategy; able to discuss what it means to Nurse Smith in her daily care of patients

PDP 2 – e.g. To undertake a shadowing period of a Senior Manager as Nurse Smith wants to progress their career in the future

Time to shadow the senior manager. October 2018 An understanding of the roles and responsibilities of a senior staff nurse.

PDP 3 – Mentoring

Nurse Smith will become a mentor to an NQN on the ward.

December 2018

Positive feedback from NQN. Nurse Smith will have developed their leadership abilities and fostered the development of the NQN.

13

Part 4: Six month review - it is good practice to review performance at 6 months to support staff where regular 1:1’s cannot be evidenced

Six month review – Review performance against agreed objectives. Are our CARE values being demonstrated whilst working towards achieving the objectives? Is anything affecting performance? Is any additional support required?

Appraiser’s / Manager’s signature: Appraisee’s signature:

Date: Date:

Part 5: Talent conversation to maximise potential and identify career development – Bands 1-7 See “Talent Conversations to Maximise Potential (Bands 1-7) Managers guidance” (appendix 1)

Summary of talent conversation - record the main points of the conversation including outcomes e.g. content to focus on current role and support others; interested in coaching or mentoring others, working on a project or initiative, maintain CPD (if applicable). To develop next step in career path. Identify specific development required to achieve this.

Business Support Officer Carol has the potential to progress in the future to a Business Manager position; however she is not currently looking to progress or move, as

she is fairly new into post at the Trust and wants to consolidate her knowledge and put into practice at SFH. Additionally Carol feels her current personal circumstances

and demands do not enable her to take on additional responsibility at this time. She is happy to mentor and support new members of business unit staff, and also

continue to support the cost improvement initiatives / projects the division is working on over the next 6-9 months. She will professionally keep up to date by

undertaking relevant business webinars and applying new knowledge into practice. She will explore an apprenticeship to support future development and she would like

to shadow a Business Manager from another Division; we discussed approaching D&O Business Manager; by February 2019.

14

Part 6: Summary and sign off

Summary comments Include any key actions agreed as an outcome of the discussions

Appraiser’s / Manager’s signature: Print name: Date:

Appraisee’s comments

Signature: Print name: Date:

Note key points that were covered in the appraisal – also note any actions that have been agreed as an outcome of the appraisal meeting e.g. line manager will arrange computer training

with IT

15

Record the forthcoming year’s objectives and PDP on the Performance Appraisal & Development Review: Ongoing years form

Is the Appraisee: Y/N Guidance Incremental Pay Progression

(Monetary or non-monetary)

Administration Y/ N

Subject to a live disciplinary sanction? If yes then the incremental progression should

be stopped

Authorised Has HR been informed of appraisal date?

Subject to sickness targets? If yes, then incremental pay progression may

be stopped as part of the target discussion

Declined

Has a copy of this appraisal paperwork been

given to the appraisee within 14 days of

undertaking the appraisal?

100% compliant with their mandatory and

statutory training?

If no then the incremental pay progression

should be stopped

Not Applicable Has a copy of the appraisal paperwork been

placed on the individual’s personal file?

Is being/has been managed in line with the

formal stages of the Trust’s Capability Policy?

Incremental pay progression will be stopped for

the period of the formal stages

Has annual hand skin surveillance visual check been completed? (if applicable)

Has the employee completed the annual

criminal convictions Model a Declaration form?

If any concerns are presented on the form

please contact the Operational HR Team

Date Appraisal undertaken:

BAND 1 STAFF ONLY: Does the employee wish

to transfer to the Band 2 Job Description? For further guidance, please read the Appraisal

Guidance document

Line Manager signature

16

Appendix 1 - For use in appraisals for Bands 1-7

Talent Conversations to Maximise Potential (Bands 1-7) Manager’s

guidance

At SFH we encourage everyone to do their best for our patients, to live our values and aspire

to fulfil their potential. All staff have talent and our aim is to maximise the contribution of

every member of staff, whether they are developing in a new role, aspire to a higher role, or

are content to be an ‘expert in their field’ and support others. Ideally, we need to align an

individual’s potential and aspirations closely to what the Trust needs currently and going

forward for our organisational success.

The annual performance appraisal and development review focusses on the individual; their

performance and behaviours, how their role contributes to the Trust achieving its objectives

and maximising their potential. We know that supporting an individual to identity and fulfil

their potential is essential. People whose potential is used and developed are:

More energised

More fulfilled

Achieve their goals more effectively

More engaged

Perform better at work 1. The Talent Conversation Having a talent conversation is really an extension of the appraisal. The talent conversation

supports the individual to reflect on and consider their performance and behaviours in their

current role, discuss any aspirations and potential they have for further progression or other

roles, or explore how they can focus on their current role and support others by becoming a

buddy or coach, or undertaking a project or improvement initiative.

2. Keeping it real Talent conversations need to be realistic. An individual who has not achieved or only

partially achieved their objectives will need support to reach their potential in their current

role over the coming year rather than discussing how they will be developed for

advancement. Equally, it is unlikely that someone who does not behave in accordance with

the CARE values will have the potential to become a buddy or coach. The reasons why they

have not met the objectives or displayed appropriate behaviours should be explored with the

individual. If they don’t feel valued in their role they may find it difficult to perform. However,

sometimes it can emerge that the individuals’ talents may be better suited to a different role

17

i.e. they are in the wrong role for them to shine. Then it’s about how to support the

individual to reach their future potential wherever that may be. It’s about understanding the

individual, why they may not be performing and behaving to the potential level the role

requires, and supporting them to achieve. Further guidance on having difficult conversations

is available on the HR intranet (hyperlink).

Where the individual is performing well in their current role, it is appropriate for the

conversation to explore their career aspirations which ideally should focus on the careers

that are available in the Trust or will be required in the future. Individuals who are content in

their current role may wish to consider becoming a coach or buddy, or in extending their

competencies, or supporting a team/department /Divisional/ trust wide project or initiative.

3. The Quality of the talent conversation

The quality of the talent conversation is the most valuable aspect of the process. Our staff

value being able to communicate openly and honestly; they want two-way input into their

careers, to be understood and respected. Therefore the conversation should be clear and

confident, where both sides have their say. Managers who take a sincere interest in their

employees, who value their contribution and their well-being help to drive employee

engagement, which in turn yields superior work performance and enhanced quality of care

for our patients.

The talent conversation does not need to be perfect in all parts; the key is that employees

should come out of the conversation feeling they are valued, understand how they contribute

to outstanding care and believing that they matter.

4. Useful Coaching Questions to support the talent conversation

The following questions can be useful for managers who are new to appraisal and talent

conversations. These help identify where an individual is currently sitting in their personal

and career development.

What do you like about the current job you do? Is there any aspect you don’t like about

the job and why?

Are there any gaps or barriers that prevent you performing to your maximum potential?

How can we overcome these?

How can the Trust best use your knowledge skills and expertise? Do you have any

knowledge, skills and expertise we are not utilising?

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Can you help to develop others by sharing your knowledge, skills and expertise? Have

you considered becoming a buddy, coach or mentor, or being involved with a project or

improvement initiative, or working groups at ward/dept./Division or trust level?

How do we maintain your professional development in your current role?

Where do you see yourself in 2-3 years? What role do you aspire to?

What appeals to you more – a leadership role, or deeper development into your technical

expertise?

Are there any gaps or barriers you can identify in relation to being able to progress

towards your next career role? How could we overcome these?

How could we stretch you outside of your comfort zone and offer you more challenge?

Are your strengths, talents and personal values misaligned with your current role? Are they better suited to a different role? If so how can I support you to achieve that move? (Developed from the NHS Leadership Academy Maximising Potential

Conversation Tool)

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Appendix 2 - For use with Consultant Leaders and Bands 8a and above

Leadership Talent Conversations Guidance What are Leadership Talent Conversations? The Leadership Talent Conversation usually takes place in the annual appraisal. It is held

between an individual and their manager and provides a structured process in which the

individual is encouraged to reflect on and consider their performance in their current role and to

identify and discuss any aspirations and potential they have for further progression to a senior /

leadership role. They are for any individual 8a and above in a leadership role.

In the Leadership Talent Conversation the manager and individual will discuss and report on the

category in the Leadership Talent Conversation Outcome Report, that the individual best fits at

that time using a 9 box grid approach. Outcome Reports have three main purposes:

To create and document a shared understanding between the manager and the individual of

the individuals performance and behaviour in their current role and their career progression

aspirations

To provide information that helps to maximise the performance and potential of the individual

and ensure that they their talent is recognised and used in the Trust

To provide information for the Trusts Leadership Talent Map and succession plan in a fair

and consistent way

Healthcare Leadership Model (HLM) The Healthcare Leadership Model (HLM) describes nine dimensions of leadership behavior from

“Essential” to “Exemplary”. All nine are important, however the context of the current or potential

role influences which dimensions are the most important for an individual to display and develop,

and at what level. The nine dimensions are:

Inspiring Shared purpose

Leading with care

Evaluating Information

Connecting our service

Sharing the vision

Engaging the team

Holding to account

Developing capability

Influencing for results

The individual’s ability to display the 9 dimensions of leadership behaviour can be a useful part of

the Leadership Talent Conversation. Copies of the HLM are available from the NHS Leadership

Academy website at www.leadershipacademy.nhs.uk Self-assessment against the HLM is

available using the free, electronic tool on the website. If the individual has already completed a

360* assessment and received feedback, that may be referred to if the individual is agreeable as

such feedback is confidential to them.

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Preparation and gathering evidence The manager should invite the individual to the Leadership Talent Conversation, ensure they

understand its purpose and send them a copy of this document and the 9 box grid in advance to

enable them to form their view on where they see themselves. Managers should make it clear to

the individual that although the conversation is confidential the outcome information will be used

as part of the Trusts talent mapping activities and will be seen by a small number of people in HR

and the Executive Team.

Holding the Conversation This will usually be in the second part of the appraisal. Managers should adopt a coaching style, which consists of:

Useful Coaching Questions

What do you like about the current job you do?

How can the Trust best use your skills and expertise?

Are there any gaps or barriers that prevent you performing to your maximum potential? How

can we overcome these?

Do you have any knowledge, skills and expertise we are not utilising? How can we utilise

these to assist patient care or the team?

Can you help to develop others by sharing your knowledge, skills and expertise? Have you

considered becoming a buddy, coach or mentor?

How do we maintain your professional development in your current role?

Where do you see yourself in 2-3 years? What role do you aspire to?

How could we stretch you outside of your comfort zone and offer you more challenge?

Establish the conversation

Set the tone in your introduction

Emphasise the two way nature of the conversation

Identify topics and goal

Clarify the agenda - usually the individuals

performance, behaviours & potential

Desired outcome - a shared understanding of future development

and fit with the 9 box grid

Surface understanding

and build insight

Build mutual understanding through listening and questions

Give constructive feedback and challenge based on evidence and with

positive intent

Shape agreements and

reach conclusions

Acknowledge what insights and conclusions

have been gained

Summarise conclusions, actions and identify best fit with the 9 box grid

Summarise and close

Agree specific actions Complete and sign the Outcome Report

and utline next steps regarding the individuals development

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Determining best fit in the 9 box grid The Leadership Talent Conversation requires the completion of the Outcome grid (Page 5 of the

appraisal document) which uses a 9 box grid approach (see diagram overleaf). It is used to

capture the detail of talent conversations and helps the Trust to have a consistent approach.

This standard tool helps staff and managers to measure ‘performance’ (what you achieve) and

‘behaviours’ (how you achieve it) of the individual against their demonstrated ‘potential’ (capacity,

ambition, motivation, readiness) to move on in their career path in the immediate, short or longer

term, on their journey to reach their full potential.

Rating performance (vertical axis) – This is about how well the individual performs in their

current role, both in relation to what they achieve (performance) and how they achieve it

(behaviours). It is either exceeds, meets or partially meets expectations.

Rating potential (horizontal axis) – This is about identifying their demonstrated potential. This

includes their capacity, ambition, motivation and readiness to move on in their career.

Some individuals may be content to stay in their current role or need to improve their

performance. If so, they are likely to be in the first column as a professional in field, future

professional in field or a developing professional.

Where it is appropriate to discuss a career path / their next step, it is advised that an aspirant

role is identified. This is their next step role that they aspire to e.g., a Deputy Director may aspire

to a Director role. Occasionally an aspirant role could be a change of career path e.g. a Deputy

Director of HR to a Divisional General Manager. Where an aspirant role has been identified, it

should be included in the Outcome Report.

The “ready soon” and the “ready now” columns indicate the likely timescale for the individual to

be fully ready to step into their aspirant role. “Ready soon” usually indicates 1 to 3 years. Longer

timescales would normally place someone in the professional talent column.

Record the Best Fit on the Leadership Talent Conversation Outcome

The next step is to mark the best fit category on the Leadership Talent Conversation Outcome

grid which mirrors the 9 box grid. Ideally this should be agreed. Where agreement is not reached

it should be noted within that part of the appraisal documentation.

NB Please ensure the employee signs consent for their information on the Leadership Talent

Conversation Outcome page to be processed for the SFHFT Talent Succession Map for review

by the Executive Talent Management Group.

A copy of the Talent Conversation Outcome grid and Leadership Development Plan should be

emailed to Annette Robinson: Senior Leadership and Management Development Lead

Annette.robinson5@nhs.net Please note that this outcome is subject to moderation by the

Executive Talent Group. Any changes will be fed back to the line manager, who is responsible for

communicating it to the individual.

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Supporting Talent development Green

For those in the ‘Ready Now’ category who need support to reach their full potential, these

individuals should be put forward to leadership programmes. Those who are ‘Key Generalists’

and ‘Future Emergent Potential’ may also be given similar opportunities, however more targeted

discussions should be had

to explore if any chosen programme is right for their development needs.

Only people who fall in the green category, who you identify as needing exposure to further

leadership development opportunities to reach their next role / potential, should be put forward

for the NHS Leadership Academy’s Professional Leadership Programmes.

Purple

For people who fall into this category, it’s about recognising and thanking them for the good jobs

they are doing and maintaining their development, or providing opportunities that may help

stretch them or help them become more expert in their field. Remember, we need good

consistent performers and experts, if not the NHS would not continue to deliver.

Blue

For these individuals, it’s about acknowledging they need targeted development to reach their

potential in role, whether it be someone who is new to post who needs development support to

perform in their new role, or people who for whatever reason need support to reach their

performance potential in their current roles or identifying where else their skills may be effectively

utilised.

For further information please contact Annette Robinson, Senior Leadership and Management

Development Trainer on ext 3278 annette.robinson5@nhs.net

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