Guidance on Completing Heft Appraisal Documentation

GUIDANCE ON COMPLETING HEFT APPRAISAL DOCUMENTATION

1.INTRODUCTION

The purpose of an appraisal process is to review how an individual has performed during the past 12 months, 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 ongoing progress checks with their direct reports and are highlighting any areas of concern, as well as giving praise on a regular basis. There should be no surprises when it comes to the annual formal appraisal.

2.PERFORMANCE MANAGEMENT AND WHAT IT IS

The management of performance is a key role of any manager. Performance management is an ongoing and positive process, it includes:

Robust induction processes
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
Annual appraisal

Where performance concerns exist, these must be raised immediately and discussed openly. A clear plan that is aimed to support the individual in improving or achieving; what the targets/objectives need to be and when they will be put in place.

Where these concerns continue then the individual should be managed under 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.

3.THE APPRAISAL PROCESS

All staff will be appraised. Dates for appraisals should be scheduled in as early as possible and theAppraisershould contact the Appraisee to schedule an appraisal date. At least 6 weeks’ notice should be given prior to the date of the appraisal. TheAppraisee should be sent a copy of the Appraisal Document by theAppraiser,or at the very least be advised where to access the document.

Appraiser preparation

As the Appraiser, it is crucial that you are prepared for the appraisal. The Appraisee should give you their completed paperwork 1 week prior to the appraisal date. You should reflect on how you believe the Appraisee has performed; what you believe their strengths and weaknesses are; what might their development needs be? Do you believe they have talent for something else or promotion? How can you support that? Remember there should be no surprises at the appraisal, so if you have any concerns these should be discussed outside of the appraisal meeting.

You will need to establish what the directorate objectives are. This will help you to set individual objectives you may want to put into place, in order to help achieve these (see section on Objective Cascade).

The appraisal meeting

The appraisal meeting should be mostly led by the Appraisee. The Appraisee should feedback their own views of performance using the assessments and personal reflection they have undertaken.

The Appraiser should give feedback on this 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.

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

Recording a completed appraisal

Once an appraisal has taken place, it is the Appraiser’s responsibility to inform the Appraisal team via email () of the following information:

Appraisee’s name
Appraiser’s name
Appraisal Date
Medical Devices Self Assessment completed – yes / no / not applicable.

Please Note:

The following pages consist of the HEFT Appraisal Documentation. Guidance notes on how to complete it are made in red text.

WHEN YOU HAVE COMPLETED YOUR APPRAISAL PLEASE CONFIRM BY EMAIL GIVING NAMES OF MANAGER AND STAFF MEMBER AND THE DATE TO :

/ HEFT APPRAISAL DOCUMENT

This document can be completed electronically or hand written (though it must be legible)

Appraisee Name:
Appraiser’s Name:
Appraisal Date:

Trust’s Objectives

Performance Area / Performance Criteria / Performance Area / Performance Criteria
Safe & Caring / Top 10% in England for safety metrics / Locally Engaged / Distinct identity for each hospital
80% net recommender index / Elderly service redesign
75% staff engagement / Good corporate citizen
Recognised for staff involvement / Health and wellbeing
Efficient / 15% cost reduction / Innovative / Institute of healthcare research
Emergency length of stay 6 days or less / Faculty of education developed
50% cost reduction in absence / Leading open organization
Consistent delivery of targets / National recognition HEFT nurse brand

NHS Values:

Respect & dignity
Commitment to quality of care
Compassion
Improving lives
Working together for patients
Everyone counts

Other Points:
Appraisal Guidance notes can be found on the HR webpage via the following link:
This is a generic document and can be used as a base format to be amended / adapted to user’s requirements.
Non – Medical prescribers – if the Appraisee is a Non-Medical Prescriber, please ensure you discuss non-medical prescribing during the appraisal
In-house courses can be found via the following link:

APPRAISEE SELF REFLECTION FORM

Guidance: It is best practice that the Appraisee completes this prior to the appraisal and return to their Appraiser 1 week before the appraisal date. The Appraiser should review and make comments where necessary. This form must be taken to the appraisal meeting.

COMMENTS / COMMENTS
What have you achieved in the past 12 months that you are proud of? / Gives the appraiser insight into what the appraisee feels that they have achieved. Discussion point during appraisal meeting / Have you undertaken all necessary training and development identified in your PDP in your last appraisal? / Self explanatory
What gives you the greatest job satisfaction and least satisfaction?
Please state why. / Gives the appraiser insight into what key strenghtes the appraisee has and that can be built upon. Also allows the appraiser to ascertain if any training, mentoring, or support is required. / What specific objectives were you set in your last appraisal that contributed to your service / department plans and Trust Objectives and have they been met/achieved?
(Trust Objectives can be found on page 1) / Self explanatory
What do you need to maintain health & wellbeing and your motivation at work? / May indicate any stress points that affect the individual. Discussion point during appraisal meeting
What skills or abilities do you have that your manager is not aware of? How can they support you to unlock your potential? / Helps to identify career progress and potential areas of talent within the organisation. / Are you fully competent / up to date with:
a)Role specific competencies
b)Mandatory Training
c)Medical devices
d)Mentor of Nursing & Midwifery Students requirements
Supplementary documentation for c) and d) can be found on / Note:
c) Medical Devices form only to be completed by Clinical Staff and needs to be downloaded separately to this document
d)Mentors of Nursing and Midwifery students to be completed if relevant to role and can be downloaded separately
If you have completed a 360 feedback questionnaire, what areas require reflection? / Self explanatory
CPD (Continuous Professional Development) – What evidence and reflective pieces do you have in your Personal Folder to support CPD?
If an appraisee has a CPD folder, they should be gathering evidence throughout the year. This should be mentioned in this section and the appraisee may benefit from bring evidence to the meeting
Have all your clinical / professional / technical competencies been assessed and are up to date? Yes or no. If not, why not. To be discussed during meeting.
Have you achieved all necessary KPI indicators as set by your manager/Trust? Yes or no. if not why not. To be discussed during meeting
Are there any issues regarding your competencies? Yes or no – if competencies are not met, this will need to be discussed during meeting
What do you feel are your key development needs for the next 12 months and what individual objectives may be appropriate to enable you to support the team/Trust objectives? Appraisee to reflect and think about what development needs they have
Any other comments to discuss:
there may be issues the appraisee may want to discuss with their manager / appraiser.
REFLECTION OF BEHAVIOURS

Guidance: This should be used by the Appraisee to reflect on their strengths, limitations and development needs around key behaviours. Use the “Appraisee Evidence” column to document examples around each of the listed categories. You may want to use additional evidence or data to assist with this process, i.e. absence data.

GENERIC BEHAVIOURAL QUESTIONS FOR ALL STAFF TO COMPLETE / MANAGEMENT / LEADERSHIP SPECIFIC QUESTIONS
QUESTION / RATING & COMMENTS / QUESTION / RATING & COMMENTS
Q1) Do you understand the impact of your behaviours on others? / These questions need to be completed by ALL staff regardless of grade.
Use the rating scale below / Q1) Do you ensure that your service plans fit within the wider internal strategy and, where appropriate, wider healthcare system? / These questions are only to be completed by those in a Management or Leadership role.
Wider healthcare system: any organisations that the service link into.
Q2) Do you change your behaviour in light of feedback and reflection? / Q2) Do you accurately identify the appropriate type and level of resources required to deliver safe and effective services?
Q3) Do you communicate effectively with others, adjusting style as necessary (i.e. taking into consideration social, cultural backgrounds, age, gender and ability)? / Q3) Do you regularly and consistently review the performance of teams and team members to ensure that planned services outcomes are met?
Q4) Do you actively seek views from others? / Q4) Do you take responsibility for tackling difficult situations?
Q5) Do you listen to others and recognise different perspectives? / Q5) Do you seek and act upon patient, carer, user and staff feedback and experiences?
Q6) Do you have a clear sense of your role, responsibilities and purpose within the team? / Q6) Do you act as a positive role model for innovation and improvement?
Q7) Do you actively raise concerns around risk, potential malpractice or wrong doing? / Q7) Do you clearly articulate the need for change and its impact on people and services?
Q8) Are you open with patients and their families?
Q9) Do you always strive to maintain the highest possible standards of car

RATING:YES / NO / SOMETIMES

PERSONAL DEVELOPMENT PLAN &

INDIVIDUAL PERFORMANCE TARGETS / OBJECTIVES

Identify development needs to support the individual in achieving career goals and personal development, address any areas of improvement and support the service needs and the 4 Trust priorities.

Target / Objective Identified
Objectives set should clearly link to the team objectives and overall Trust objectives. / How will this be addressed?
E.g. course / coaching / Date to be achieved by / Date to be Reviewed / Expected Outcome / Comments / Objective Review
Has the target been met? Please tick
E.g. to represent the team in a staff forum / Internal minute taking course / July 2013 / May 2014 / To improve communication and staff engagement for own area and across directorate
This section should be completed once development has been discussed. Can be completed during the appraisal meeting or typed up afterwards. More lines can be added if required.
Development Need Identified / How will this be addressed?
E.g. course / coaching / Date to be achieved by / Date to be Reviewed / Expected Outcome / Comments / Objective Review
Has the target been met? Please tick
E.g. Aspiration to undertake Office Manager position / Shadowing
Mentoring / November 2013 / May 2014 / To have knowledge and experience of role in order to further career
Has the job description been recently reviewed? The appraiser will need to go through the JD to ensure that it is up to date. If not, minor changes can be made. Where there are major changes, please contact your HR Advisor for support.

DOCUMENTATION SIGN OFF FORM

COMMENTS OF APPRAISER

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

COMMENTS OF APPRAISEE

Signature of Appraisee ……………………………………………………………………………Date …………………………………………………………

Once the document has been signed by both parties, the Appraiser should give the Appraisee a copy for their own reference. The original should be put on the Appraisee’s personnel file.

INCREMENTAL PAY REVIEW

I confirm that this appraisal meeting established that is performing to the appropriate level. Therefore, incremental pay progress should take place.

Signature of Line Manager ……………………………………………………………………… Date …………………………………………………

It is imperative that this part is completed by the line manager after the appraisal has taken place. Failure to complete this section and notify payroll or the Appraisal team that the person can go through their annual Incremental Pay will result in them staying on their current spot within the Pay scale of their band.

THIS PAGE IS ONLY APPLICABLE TO CLINICAL STAFF AND SHOULD BE DOWNLOADED SEPARATELY

Clinical Staff must complete the Medical Devices self assessment form annually. This form can be found on the ward or within the working area. It is a list of all the medical devices within that area and has a tick column by the side. The individual should review their own competencies and mark the sheet with YES (competent), NO (not competent) or N/A (medical equipment is not applicable to them or their role).

Based upon Medical Devices form, this page should then be completed.

If the Appraisee feels that they are fully competent on the medical equipment specific to their role – then they sign.

If the Appraiser feels that the Appraisee is fully competent on using the medical equipment – then they sign.

If there is any doubt on competency a discussion should take place and where applicable training should be arranged.

Medical Devices – Self Assessment
Clinical Staff Only

Medical Devices are an integral part of the diagnosis, treatment, support and care of patients. 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 and update their individual ‘Medical Equipment Self Assessment of Competency’ and a copy of this must be included in the individual’s personal files, and checked at time of appraisal. Where a staff member assesses themselves as a beginner 3 months after completing appropriate device specific training, this should be addressed within the individual training plan with the aim of achieving ‘Competent’ status.

For support and advice regarding completion of the self assessment document, or training requirements please contact: Faculty Educators, Medical Devices Team, Undergraduate Office, Heartlands Hospital, Heart of England NHS Foundation

Self Assessment Completed and reviewed – Date:- ......

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

References:

Medical Devices Management Policy;

Policy for the Management of Medical Devices (V5) - Medical DeviceProcedures

THIS PAGE SHOULD ONLY BE COMPLETED BY THOSE WHO ARE MENTORS OF NURSING AND MIDWIFERY STUDENTS. IT SHOULD BE DOWNLOADED SEPARATELY

For Mentors of Nursing and Midwifery students only

Triennial Review

Triennial review

Completion of this page is an NMC regulatory requirement for all Mentors of Nursing and Midwifery Students. Leave page blank if this does not apply to you. Use of the appraisal tracker system will indicate triennial review has been undertaken for all Mentors. If you wish to undertake Mentor training please contactFaculty Business Unit on ext 42043/41341/41347.

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

For details of annual Mentor updates please visit the Faculty of Education Website or contact the Practice Placement Team on ext 40643

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

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