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Page 1 of 21 Jan17/ver01
APPRAISAL GUIDANCE NOTES
FOR APPRAISERS 1. Introduction
These Notes are to help you prepare for the annual appraisal meetings with your staff,
to make sure that the meeting is effective and productive.
You will need to take some time to think about the performance of the Appraisee. It is
important that progress and achievements are properly recognised, and also that any
difficulties are addressed honestly and openly, so that improvements can be made.
The outcome of the appraisal meeting should be an agreed summary of performance
over the last 12 months, and an agreed plan for the next 12 months, which may include
specific objectives or tasks for the Appraisee to complete. This forward plan should be
linked to Nugent’s Strategic Plan, Strategic Business Objectives and the Annual Business
Plan for your Home/School/Project/Department, so that it is clear how the Appraisee’s
achievements will contribute to the Strategic Objectives and the Business Plan. It should
also be linked to the Key Lines of Enquiry that form the basis of Supervision, so that it is
clear how the Appraisee’s work during the year will support the quality of service
delivery. This applies to Central Office staff as well as operational staff.
2. Preparation Form
The attached form is for you to complete in advance of the appraisal meeting to record
your thoughts and assessments. The form includes space for Looking Back on the
performance over the last 12 months, and Looking Forward to the work which needs to
be done over the next 12 months.
Looking Back
To assess the individual’s performance over the last 12 months, you will need to refer
to:
Supervision Records – this is the main source of information to summarise their
performance over the year. To help with this, the Appraisal covers the same five
categories of performance as are used in Supervision.
Page 2 of 21 Jan17/ver01
The Job Description/Person Specification – have they performed the full range of
tasks/responsibilities, and shown the required skills?
Nugent’s Strategic Plan, Strategic Business Objectives and the Annual Business
Plan for your Home/School/Project/Department – how have they contributed to
the achievement of the Strategic Objectives and the previous Plan?
Organisational Training Specification – what is the required training for their
role?
Individual’s Training Record – have they completed all the Mandatory and Role-
Essential training?
Looking Forward
At the appraisal meeting, you will discuss your expectations of the individual over the
next 12 months. Use the preparation form to set out the tasks or actions that you need
the individual to undertake. These will include any actions to rectify performance issues
from the previous year, and work linked to the Nugent’s Strategic Plan, Strategic
Business Objectives and the next Annual Business Plan. You will need to refer to:
The Job Description/Person Specification – does this need to change to reflect
current or new job/skill requirements?
Nugent’s Strategic Plan, Strategic Business Objectives and the next Annual
Business Plan – how will the individual contribute to achieving the Plan for your
Home/School/Project/Department?
Organisational Training Specification – do they need to undertake or complete
any Mandatory or Role-Essential training, or any refreshers?
When you have completed the form, you can share it with the individual in advance of
the appraisal meeting, preferably at the last supervision session before the appraisal, if
you feel this would help the discussion. The individual will complete their own
preparation form, and may share this with you.
3. Appraisal Meeting
The individual should have an awareness of their level of performance from the regular
feedback they have received from you. It should not be necessary to raise any issues
that the individual is not aware of, unless they have arisen very recently. The important
principle is that there should be no surprises at the appraisal meeting.
You should encourage the individual to talk about their own performance, in addition to
giving your views. If there is a difference of opinion, you will need to discuss their
performance in more detail with them, referring to specific examples from the
Supervision records. Individuals can also underestimate their achievements, so be sure
to mention their successes even if they don’t. The meeting should end in an agreement
between you and the individual about their achievements and level of performance.
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Discussing an individual’s performance with them requires good interpersonal and
communication skills, and emotional intelligence. The key elements our iACCORD
philosophy here are integrity, Courage and Respect. The appraisal meeting should
reflect the beliefs and behaviours set out in the Strategic Plan. These are included as an
Appendix to this Guidance.
Training in Appraisal Skills is available from the Learning & Development Department,
and you should consider with your manager whether or not you would benefit from
this.
4. Career Development
The individual should be encouraged to think about their future career and how this
might develop. Nugent aims to provide staff with opportunities for career development
where possible, to retain skills within the organisation and to assist with succession
planning.
If you think the individual has the potential to move to a different or more senior role,
be prepared to discuss this with them at the appraisal meeting.
Of course, the individual may be satisfied with their current role, in which case they will
be supported to give their best in that role.
5. Appraisal Record Form
You should complete the attached Appraisal Record form during or shortly after the
meeting, noting the agreed summary of their performance, and the objectives for the
current year. In addition to the Looking Back/Looking Forward sections, you should note
any discussions about career development, and, importantly, set out their Development
Plan for the year.
Send the form to the individual for them to make any additional comments in the space
provided on the form, and to sign it. When they have done this, you will countersign it
and give a copy back to them. A further copy must be put on their supervision file. For
staff in registered services, this file is held locally. You will need to refer to the Looking
Forward section of the Record Form when you prepare for the regular Supervision
meetings.
Each individual’s Development Plan will be entered on to the Training Needs Analysis for
your Home/School/Project/Department. This is a document produced jointly by the
Learning & Development Department and the Head of Home/Project, and which is
monitored during the year. More details of this process are set out in the Training
Procedure.
Page 4 of 21 Jan17/ver01
Each individual’s Development Plan should be sent by email to
[email protected]. If Heads of Home/School/Project/Department have not
carried out the appraisal personally, they can decide locally if they wish to see the
Development Plan before it is emailed. A copy of the Plan should be placed on the
individual’s local training file for inspection purposes. Plans will be collated centrally,
and the appropriate L&D Officer will liaise with the Head of Home/School /Project/
Department regarding the training needs for that establishment.
6. Disputes
The individual should have the opportunity to query any comments you have made
before signing the form. In the event of a dispute regarding the information on the
Record Form, which cannot be resolved through discussion with the individual, refer the
matter to your manager, who will attempt to resolve the issue. If this is not possible, the
matter will be referred to the appropriate Director/Assistant Director.
7. Timescales
The Appraisal process links with the annual Business Planning and Budget setting
cycles.
The Business Plans for your Service and Home/Project/School/Department should be
available prior to April each year, so you can refer to them when setting objectives for
the forthcoming year.
The estimated cost of training and development needs to be factored in to the Budget
setting process, which takes place in September each year. These costs are calculated
based on the information given in the Development Plans, and in order to give sufficient
time for this process to take place, individual appraisal meetings must be completed by
the end of June.
The timescale for carrying out all of your appraisals is therefore April to June each
year.
8. Further Advice
If you need further advice on planning and carrying out appraisals, contact the HR
Department.
For further advice on Mandatory and Role-Essential training, or on Development
Planning, contact the Learning & Development Department
Page 5 of 21 Jan17/ver01
APPRAISAL PREPARATION – APPRAISER
Name of Appraisee: [ ] Job Title: [ ]
Use this form to prepare for the annual appraisal meeting. You can share the form with the Appraisee before the meeting if you wish,
or just refer to it during the meeting. The Appraisee will also prepare their comments in advance, and may share these with you before
the meeting.
LOOKING BACK
Page 6 of 21 Jan17/ver01
Caring: Developing positive caring relationships, involving people in decisions about their care and promoting privacy, dignity
and respect
Notes for Discussion
Page 7 of 21 Jan17/ver01
Safe: Protecting people from harm or abuse, managing risks, managing medicines and controlling infection
Notes for Discussion
Effective: Applying your training in practice, seeking consent to treatment, supporting people to eat and drink, maintain their
health and have their individual needs met
Notes for Discussion
Page 8 of 21 Jan17/ver01
Responsive: Responding to people’s changing needs, and listening and learning from people’s experiences, concerns and
complaints
Notes for Discussion
Page 9 of 21 Jan17/ver01
Contribution to the Annual Plan and Strategic Business Objectives
Notes for Discussion
Well - Led: Communication and support among your team, creating an open and positive culture that is inclusive and
empowering,
and ensuring the delivery of high quality services
Notes for Discussion
Page 10 of 21 Jan17/ver01
LOOKING FORWARD
Objective/project/task for the next
year
Action Business Plan ref. Key Line of
Enquiry ref.
Page 11 of 21 Jan17/ver01
APPRAISAL RECORD
Appraisee: [ ] Job Title: [ ]
Home/School/Project: [ ] Appraiser: [ ]
Date of Appraisal Meeting: [ ]
This form should be completed either during or shortly after the appraisal meeting, summarising the discussion and recording agreed actions.
The form must be signed by both the Appraiser and Appraisee.
LOOKING BACK
Summary of performance over the last 12 months, agreed by Appraiser and Appraisee.
Page 12 of 21 Jan17/ver01
Caring: Developing positive caring relationships, involving people in decisions about their care and promoting privacy, dignity
and respect
Discussion Notes Action by whom/when
Safe: Protecting people from harm or abuse, managing risks, managing medicines and controlling infection
Discussion Notes Action by whom/when
Page 13 of 21 Jan17/ver01
Effective: Applying your training in practice, seeking consent to treatment, supporting people to eat and drink, maintain their
health and have their individual needs met
Discussion Notes Action by whom/when
Responsive: Responding to people’s changing needs, and listening and learning from people’s experiences, concerns and
complaints
Discussion Notes
Action by whom/when
Page 14 of 21 Jan17/ver01
Contribution to the Annual Plan and Strategic Business Objectives
Notes for Discussion
Well - Led: Communication and support among your team, creating an open and positive culture that is inclusive and
empowering,
and ensuring the delivery of high quality services
Discussion Notes Action by whom/when
Page 15 of 21 Jan17/ver01
Any additional comments by Appraisee
LOOKING FORWARD
Summary of individual objectives or tasks to be undertaken by the individual, based on Nugent’s Strategic Plan, Strategic Business
Objectives and the Annual Business Plan for the forthcoming year.
Objective/project/task Action Business Plan ref. Key Line of
Enquiry ref.
Time Scale
Page 16 of 21 Jan17/ver01
CAREER DEVELOPMENT
Record of any future career plans or aspirations discussed with the Appraisee. Actions may be agreed for the next 12 months or over a
longer period. Where possible, support over the long term should be made available.
Career plan Future Actions
Page 17 of 21 Jan17/ver01
JOB DESCRIPTION
Does the Appraisee’s Job Description or Person Specification need to change for the forthcoming year? Yes/No
If Yes, have you discussed the necessary changes with the Appraisee? Yes/No
If No, arrange to meet again with the Appraisee to discuss the changes before signing off this Appraisal Record.
CONFIRMATION
The agreed outcome of this Appraisal Meeting is:
the overall assessment of performance in the previous year set out above
the set of actions/tasks or projects required in the forthcoming year set out above
where necessary, agreed changes to the job description
a Development Plan for the forthcoming year as set out below
a discussion about future career development
Appraiser’s signature: [ ] Date: [ ]
Appraisee’s signature: [ ] Date: [ ]
Page 18 of 21 Jan17/ver01
DEVELOPMENT PLAN
Name of Employee: [ ] Job Title: [ ]
Service/Establishment: [ ]
Category of Training
(refer to Organisational Training
Specification)
Subject/Award Reason for undertaking – eg. new
appointee, refresher, new/further skill
required (specify), completion of Award,
etc
Mandatory
Role – Essential
Personal Development/Career Plan
Copies of this Appraisal Record should be given to the Appraisee, and put on their personal file.
Page 19 of 21 Jan17/ver01
iACCORD
OUR VALUES, BELIEFS AND BEHAVIOURS
Value Synonyms Belief Behaviour Words that have
the same spirit or
meaning as our
chosen value
words
These are the beliefs
that we have as an
organization based on
our values.
These are the behaviours we
would expect of ourselves given
our shared values and beliefs.
i Integrity Honesty
Trust
Openness
Fairness
Truth
Justice
As a health and social
care provider we
should have strong
moral principles
We do what we say we are going
to do.
We ensure our decisions are
underpinned by our values.
We are consistent, open and
fair.
We are open and provide
constructive feedback.
We are inquisitive and open to
ideas.
We share knowledge and
information with each other.
We confront ethical and legal
dilemmas immediately.
We use resources entrusted to
us responsibly.
A Ambition Commitment
Dedication
Passionate
Creative
Professional
Cooperation
In order to provide the
best outcomes for our
service users we
aspire to be the best
we can be.
We are collaborative.
We constantly strive to be
outstanding.
We make a positive difference.
We manage our finances
diligently.
We ensure we deliver high
quality care.
We work as a team to ensure
our success.
We focus on the balance
between important business
issues for the charity and care
provision.
We ensure that we are seen as a
provider of choice and quality
services by our regulators.
We continue to ensure we
maintain a skilled, emotionally
Page 20 of 21 Jan17/ver01
intelligent and diverse
workforce.
C Courage Bravery
Safety
Determination
Fortitude
We must do what is
right even if it is
difficult to do.
We keep people safe.
We bravely travel new roads and
build up or challenge accepted
wisdom and practice.
We clarify our expectations with
each other and promote
change.
We advocate and are the voice
of the voiceless.
We are brave enough to have
difficult conversations.
We take on difficult times in the
best interest of the service user.
We are accountable and take
responsibility.
We learn from our mistakes.
C Compassion Kindness
Caring
Loving
Patience
Those that are
suffering deserve to
be helped.
We ensure that our decisions
are made with the best interest
of our service users in mind.
We treat others as we wish to be
treated.
We show that we care by being
kind.
We are comforting.
We continue to make our
services available to people who
are most in need of them.
We ensure our care is evidence
and outcome based.
O Optimism Humour
Fun
Faith
Happiness
Hope
Expecting the best
possible outcome
from any given
situation.
We believe we will succeed.
We use appreciative enquiry to
clarify our understanding.
We are solution focused.
We celebrate our successes.
We are eager for innovation.
R Respect Consideration
Polite
Courteous
Treat others as we
wish to be treated.
We show consideration for one
another.
We respect each other views
and listen.
We give praise where it is due,
and challenge where we need
to.
We care for the environment.
We respect the spirit of our
Collective Agreement.
We continue to involve service
users in the planning and
development of services.
D Dignity Peace
Ethical
People have an innate
worth, value and
distinction.
We strive to provide dignity at
work.