Heart of England NHS Foundation Trust Appraisal Documentation Guidance Notes for Appraisers

August 2016

Heart of England NHS Foundation Trust Appraisal Documentation Guidance notes for Appraisers and Appraisees.

ContentsPage

Introduction / 2
The timetable / 3
The appraisal meeting / 3
The documentation / 3
Section 1 - Personal details and code of conduct declaration / 4
Section 2 - Review of last year against Trust Values / 4
Section 3 - Review of last year’s objectives/training and development activities / 5
Section 4 - Review of mandatory training and training required by job role / 6
Section 5 - Setting of new objectives/training and development activities / 7
Section 6 – Evidence of CPD (Continuous Professional Development) / 8
Section 7 - Summary / 8
Appendix 1 – Mentors of Nursing and Midwifery Students / 10

Introduction

People performance management is important and how well we do it has a big impact on the quality of care that people who use our services receive. The way you develop and grow your team will make a difference to how they feel about their job and their ability to work to the right standard. Performance management is an on-going and positive process, it includes:

a robust induction processes
a setting of standards and expectations
identification of development needs
regular 1:1’s
regular constructive feedback
management of performance concerns to achieve a positive outcome
an annual appraisal

Performanceconcerns must be raised immediately and discussed openly.Shouldthese concerns continue please contact the HR team and refer to the Trust’s Performance and Capability Policy. Where appropriate, managers can decide to stop the incremental pay progression of the individual. This may be applied at any point during the year.

The appraisal meeting is to review how an individual has performed during the past 12 months and agree what their key targets and objectives will be for the next 12 months, and what personal development needs they have. Whilst the formal appraisal process takes place on an annual basis, all managers have a responsibility for ensuring they undertake on-going progress checks with their direct reports and are highlighting any areas of concern, as well as giving praise on a regular basis.

One of the most significant benefits of performance appraisal is that it offers a chance for a one-on-one discussion of important work issues that might not otherwise be addressed. The appraisal meeting offers a valuable opportunity to focus on work activities and career goals, to identify and correct existing problems, and to encourage better future performance for the individual and the performance of the whole organisation.

The timetable

Dates for appraisals should be scheduled in as early as possible and preferably booked throughout the year. The appraiser contacts the appraisee to schedule an appraisal date and give them either a copy of the appraisal form or direct them to where they can access it at least three weeks prior to the date of the appraisal. One week before the meeting appraisee will send their completed copy of the appraisal document to the appraiser.

The appraisal meeting

The meeting must be organised by the appraiser, who should be the immediate supervisor, with the correct and relevant documentation;

the job description
statement of performance or appraisal form
a record highlighting the employee's performance
other relevant documentation such as peer assessments can be included
if appropriate, comments from service users, and any self-assessment forms
mandatory training records
CPD (Continuous Professional Development) evidence
the individual’s personal file should be referred to which contains notes on the employeeand any disciplinary issues.

The documentation

This appraisal form is for all staffexcept the Executive Team and Medics/GMC registered who have their own separate paperwork to complete. For Medics/GMC registered please contact the revalidation

Please note that all sections are compulsory and must be completed. Once completed a copy needs to be stored on the personal file and a copy given to the individual. To complete the appraisal please notify the team by email to giving the name of the appraise, the date and the name of the appraiser.

When completing an appraisal, you find additional assistance on the Trust intranet under A. It is recommended that you view these pages when preparing for your annual appraisal. If you require any additional information about the appraisal process or training courses, please email

Appraisee - What do I complete?

There are seven sections to your appraisal form. Please complete sections 1 to 4 prior to your appraisal and return them to your appraiser one week before your appraisal date.

Sections 5, 6 and 7 will be completed in the appraisal meeting.

New starters and new to role need to complete sections 1, 5,6 & 7

Section 1 - Personal details and code of conduct declaration

Please complete your personal details. The code of conduct check must becompleted.

The Code of Conduct for the Trust requires all employees to declare any conflicts of interests and any hospitality as outlined within the policy which can be found here

If you have nothing to declare please indicate this. If you are unsure please speak to your appraiser.

Section 2- Review of last year against Trust Values

This section asks you to review yourself against the Trust values and behaviours.

A full list of behaviours can be found via the following link:

This can be used by the appraisee and appraiser to reflect on their strengths, limitations and development needs around key behaviours. Use the box provided to document examples around each of the values. You may want to use additional evidence or data to assist with this process.

The values are shown with some examples of how you might display these in your behaviours at work.

Caring - Treating everyone with compassion & respect

I always introduce myself to staff and patients with a friendly demeanour. I am always helpful and polite to others. For example, where I see a patient or visitor is lost, I will stop and introduce myself and then help them to get to their destination. I take time to listen to colleagues and patients in order to find out their thoughts. When they give me feedback, I try to incorporate this into their care. I ensure that I always treat everyone with dignity and respect.

Honest - Truthful and open with all

I always pass on information to my colleagues, usually through team meetings or via email. Where I make mistakes, I own up and try to learn from the mistakes I make.

Accountable - Taking personal and collective responsibility for doing our best

When I make a commitment to do a task, I always follow it through.

I ensure that I always work to trust policies and use the weekly emails to see what changes I need to be aware of.

In this year, I have booked myself onto all courses documented in my last appraisal and attended them.

Supportive - Working together to get things done

Team working is very important to me and I always ensure that I help and support my colleagues. During team meetings, will listen to other’s comments and suggestions.

I am always mindful that we all work as a team, and that everyone is included in our meetings.

Question: What do you think has gone well over the last review period? Please provide evidence of performance against your objectives. What has been your key achievement?

Please document your key achievements with examples.

Question: What do you think has not gone so well over the last review period?

Use this section to reflect on what could have been improved. You could always use a reflective cycle.

Section 3 - Review of last year’s objectives/training and development activities

Please use to review your objectives from the previous year.

Section 4- Review of mandatory training and training required by job role

Mandatory Training

All staff must be up to date with their mandatory training. Both appraiser and appraise can check if they are up to date by looking on easylearning (which can found under e on the intranet) with our guidance notes and frequently asked questions. If you have any queries regarding your mandatory training please email .

The next sections are all job specific training sections please check to ensure that you complete all training pertinent to your role.

For Mentors of Nursing and Midwifery Students only

Appendix 1 of this document must be completed by those who are mentors of nursing and midwifery students. Please print separately and one copy kept on file and one sent to the Practice Placement Team

Completion of this page is an NMC regulatory requirement for all Mentors of Nursing and Midwifery Students. If you wish to undertake Mentor training or for details of annual Mentor updates please visit the Practice Placement website under P on the intranet. Please email a copy to or

Medical Devices

Medical Devices are an integral part of the diagnosis, treatment, support and care of patients. Professional users need to understand how the manufacturer intends the device/equipment to be used, and how it normally operates to be able to use it effectively and safely, (MHRA, 2015).

The Trust recognises the risks to patients, staff and others that may arise by the use of medical devices and that it has an obligation to minimise the risk of using medical devices by ensuring that staff are trained to competently and safely use equipment.

On an annual basis, all clinical staff must review their competence and educational requirements. Staff will be required to self-declare their own competence on relevant equipment within their jurisdiction every 3 years. However, in order maintain safe practice and ensure patient safety, Medical Device educational requirements need to be discussed annually in order to comply with CQC Regulations:

•All equipment is used in accordance with manufacturers’ instructions and is only used for the intended purpose and for the intended service user(s)

•Providers must ensure staff and relevant others are trained to use equipment appropriately

Care Quality Commission (2014) Guidance for Providers on Meeting the Fundamental Standards and on CQC’s Enforcement Powers.

Training can be booked via the Easy Learning system. Alternatively for further advice and support, please contact the Medical Device Team via

Non-medical Prescribers

All non-medical prescribers must review their scope of practice by completing the annual audit form and discussing this as part of their annual appraisal, with a copy kept on the personal file and copy sent to .

Please visit the non-medical prescribing intranet site which can be found on the intranet under N or by clicking here

Preceptors for Nurses , Midwives and AHPs

The LDA document requests that placement providers must ensure the effectiveness of a preceptor is monitored through systems such as appraisal.

Please ensure that you have accessed the Moodle Online Preceptor Training and bring your completion certificate to your appraisal. You can access Moodle under M on the intranet.

Section 5 - Setting of new objectives/training and development activities

The appraiser will need to go through the job description to ensure that it is up to date. If not, minor changes can be made. Where there are major changes, please contact your HR Team for support.

Objectives set should clearly link to the team objectives and overall Trust objectives. Objectives could be carried over from the year before with new objectives set for the coming year. Objectives need to be SMART i.e. Specific, Measurable, Achievable, Realistic, and Timed.

• Specific – Be precise about what you are going to achieve.

• Measurable – Quantify your objectives.

• Achievable – Are you attempting too much?

• Realistic – Do you have the resources to make the objective happen (men, money, machines, materials, minutes)?

• Timed – State when you will achieve the objective (within a month? By February 2018?)

Team leaders/Manager’s objectives: If you are a manager then your objectives could include ensuring all your staff are up to date with training and appraisals and if you are a budget holder that you have attended budget holder training.

Individual objectives: Your objectives could be to ensure that you are up to date with all your training and that you ensure you are up to date with all policies in your area.

Section 6 – Evidence of CPD (Continuous Professional Development)

If aclinical or non-clinical appraisee has a CPD folder, the gathered evidence needs to be discussed and brought to the meeting.

Registered Nurses and Midwives Only – Revalidation readiness

Revalidation is the new process that all nurses and midwives in the UK will need to follow to maintain their registration with the NMC.

Taking effect from April 2016, revalidation is straightforward and will help you as a nurse or midwife demonstrate that you practise safely and effectively. It will encourage you to reflect on the role ofthe Codein your practice and demonstrate that you are 'living'the standards set out within it.

This new process replaces the Prep requirements, and you will have to revalidate every three years to renew your registration.

You will need to submit your application for revalidation online, so it’s very important that you have an NMC Online account. If you haven’t already, you can set up yourNMC Online account here.

The NMC will make reasonable adjustments for you if you have a disability which means that you may find using NMC Online difficult. There are also have special arrangements in place for you if you cannot meet the revalidation requirements because of exceptional circumstances. For more information about reasonable adjustments and exceptional circumstances please see the NMCguidance sheet.

All HEFT staff need to complete the appraisal revalidation form and keep a copy on their personal file which can be found under R for revalidation on our intranet.

Section 7 - Summary

This section is to be completed and signed in the appraisal meeting so both can reflect on the year that has gone by.The appraiser should give feedback from their perspective. If there are any areas where the appraiser strongly disagrees with the appraisee’s self-assessment, then these need to be carefully discussed. Evidence should be provided and will need to be considered. The appraiser should give clear reasons for their assessment. An agreement has to be reached.

The appraiser and appraisee must be in agreement on the overall assessment and outcomes from the appraisal before the form can be signed off.

Where there is any dispute, this can be referred to the Appraiser’s line manager for independent review and input.

Once an appraisal has taken place, it is the appraiser’s responsibility to notify the appraisal team via email with the following information:

•Appraisee’s name and employee number

•Appraiser’s name

•Appraisal Date

Appendix 1 – Mentors of Nursing and Midwifery Students

The Nursing and Midwifery Council (NMC) have introduced Mandatory Triennial review for Mentors (NMC 2008). This is for Mentors and Sign off Mentors to discuss Mentorship at their annual Appraisal with their Line Manager. Mentors and Sign-off Mentors are required to:

Mandatory requirement / Date achieved / Date to be achieved by
Mentor or supervise at least 2 students over the last 3 year period
Complete an annual Mentor Update
Discuss mentoring judgments and decisions with colleagues
Have evidence of professional development in their role as Mentor
Supervisors of Midwives only - Mentor at least 1 student undertaking a supervisor of midwives programme during the last 3 year period

Signature of Appraiser………………………………………………………..

Signature of Appraisee ……………………………………………………….

Reference: Standards to Support Learning and Assessment in Practice. (NMC, 2008)