POLICY FOR PERFORMANCE AND DEVELOPMENT REVIEWS, AND …€¦ · Policy Performance and Development Reviews and Pay Progression (HR/012/V5.03) September 2019 Version 5.3 2 Subject

Policy Performance and Development Reviews and Pay Progression (HR/012/V5.03) September 2019

Version 5.3 1

POLICY FOR PERFORMANCE AND DEVELOPMENT REVIEWS, AND PAY PROGRESSION

Version 5.3


Version 5.3 2

Subject and version number of document:

Policy for Performance and Development Reviews and Pay Progression Version 5.3

Serial number: HR/012/V5.03

Operative date: 1 October 2019

Author: Senior HR Business Partner, South Central & West Commissioning Support Unit (CSU) CCG Head of Organisational Development

CCG owner: Chief Officer

Links to Other Policies: • Conduct, Performance, Grievance & Absence Management Policy

• Performance Management Procedure

• Grievance Procedure

• Individual Rights Policy.

Review Date March 2021

For action by: All West Hampshire CCG Employees

Policy Statement: There is much evidence that effective staff development has a positive contribution to patient outcomes and is supported by the standards set out by the Care Quality Commission and the NHS Constitution.

This policy sets out a clear and simple process for carrying out performance development reviews. A staff handbook has been prepared to support staff in the appraisal process which contains guidance and all relevant paperwork.

Responsibility for dissemination to new staff:

Line managers at induction

Mechanism for dissemination: All new and revised policies are published on the CCG website and are promoted to staff through the staff newsletter and intranet.

Training implications: All employees of West Hampshire CCG

Resource implications: There are no resource implications in relation to this policy.

Further details and additional copies available from:

Website https://westhampshireccg.nhs.uk/document-tag/hr-policies/

https://westhampshireccg.nhs.uk/document-tag/hr-policies/



Version 5.3 3

Equality analysis completed? Equality Impact Assessment attached at Appendix I. The policy has been amended in order to have a positive impact for protected groups and will be monitored to identify any equality and diversity issues or negative impacts.

Consultation process: Policy development:

• Nick Birtley, Equality & Diversity Lead

• Policy Sub Group

• Staff Side Review:

• Executive Team

• Staff Forum

• Policy Sub Group

• HR

Approved By: Policy Sub Group

Date Approved: 11 September 2019


Version 5.3 4

Website upload:

Website Location in FOI Publication Scheme


Keywords Probationary Period; New Starter; Employee

Amendments Summary:

Amend No

Issued Page(s) Subject Action Date

1 Range of additions to improve positive impact of policy in terms of equality and diversity

2 Apr 14

2 Oct 16 26 Mandatory safeguarding training amended from 3 yearly to annual in line with L&D policy / latest requirements

Oct 16

3 Jan 18 5, 10, 16, 18, 30 & 31

Update references to Whistleblowing & Concerns Policy to Conduct, Performance, Grievance & Absence Management Policy (V4)

Jan 18

4 May 18 Updated in accordance with the CCG’s new behavioural framework / to reference the Framework agreement on the proposed reform of Agenda for Change: pay progression (V5)

May 18

5 Jul 18 Appendices A to D

Appendices updated slightly following feedback that they were not in a user friendly format (V5.01)

24 Jul 18

6 Oct 18 2, 15 and 20

Amend references to Subject Access Request Policy to Individual Rights Policy (V5.02)

26 Oct 18

7 Aug 19 10, 16, 18 and 19

Amendments to reflect implementation of new A4C pay progression framework (V5.03)

Aug 19

Review Log: Include details of when the document was last reviewed:

Version Number

Review Date

Reviewer Ratification Process

Notes

V1.02 8 Apr 2014

Associate Director of Communications & Organisational Development

Policy Sub Group

V1.03 6 May 2014

Performance Team Policy Sub Group




Version 5.3 5

Version Number

Review Date

Reviewer Ratification Process

Notes

V3 (ref

moved up to bring in line with version

published via TeamTalk on 23 May 2014)

10 Jun 2014

Governance Manager Re-format in line with new CCG style guide

V4 27 Jan 2016

AD Communications & Organisational Development

Updated to incorporate new approach to performance and development

V5 May 18 Business Planning Manager

Policy Sub Group

See amendment 4 above

V5.03 Aug 19 Interim HR Manager (SCW CWU)

Policy Sub Group

See amendment 7 above


Version 5.3 6

SUMMARY OF KEY POINTS TO NOTE

This policy sets out a clear and simple process for carrying out performance

development reviews (PDRs). Specifically:

• Staff should have regular meetings with their managers to ensure they have

an ongoing dialogue about performance, to discuss any issues or concerns

and to highlight achievements. It is suggested that these are held monthly

• In addition to these meetings, quarterly review meetings should be

undertaken to spend more time considering achievements against objectives,

learning and development and updates or changes to the documented and

agreed objectives

• The quarterly meeting held between April, May and June should be

considered as the annual review meeting. An annual review meeting must

take place for every member of staff as part of the regular programme of one

to one meetings

• The focus should be on the development of skills to deliver the requirements

of the role, areas for development, performance and the setting of new

objectives. Managers of nursing staff may prefer to use the nursing

competency framework if appropriate

• The annual PDR meeting should be booked well in advance to allow for

adequate preparation, and held in an appropriate venue where privacy can be

expected. Staff should be reminded of their responsibility and involvement

and that they will need to prepare as part of the communication to the

member of staff. Any relevant documentation should be sent to the member of

staff with the meeting request

• Existing staff employed prior to 31 March 2019 should progress through their

pay scale with annual increments, however if there have been performance

issues, then this should be raised throughout the year and dealt with through

the Conduct, Performance, Grievance & Absence Management Policy:

Performance Management Procedure. Incremental dates are not the same for

all staff as they are based on when staff join the NHS

• For staff employed since 1 April 2019, pay progression will no longer take

place annually. The new Agenda for Change (AfC) pay structure has fewer

pay steps within each band. This means that, although the time spent in

between pay step points is longer, staff reach the top of their band more

quickly than before. Under the new system, the first pay step reviews will take

place from April 2021, which is when staff joining or promoted from 1 April

2019 will reach their first pay step dates.


Version 5.3 7

POLICY FOR PERFORMANCE DEVELOPMENT REVIEWS AND PAY

PROGRESSION CONTENTS 1. Summary........................................................................................................................ 9

2. Introduction .................................................................................................................. 10

3. Purpose ....................................................................................................................... 11

4. Scope ........................................................................................................................... 11

5. Roles and responsibilities ............................................................................................. 11

5.1 Individual employees need to ................................................................................ 11

5.2 Managers need to ................................................................................................. 12

6. The performance and development review process ..................................................... 13

6.1 Communication ..................................................................................................... 13

6.2 Preparation ............................................................................................................ 13

6.3 Reviewing performance ......................................................................................... 13

6.4 The skills audit....................................................................................................... 14

6.5 Setting personal objectives .................................................................................... 14

6.6 Ongoing review ..................................................................................................... 14

6.7 Recording the review meetings ............................................................................. 15

7. Values Based Behavioural Framework ......................................................................... 15

8. Incremental progression ............................................................................................... 16

8.1 Pay progression .................................................................................................... 16

9. Appeals process........................................................................................................... 19

10. Training requirements .................................................................................................. 19

11. Success Criteria / Monitoring the Effectiveness of the Policy........................................ 19

12. Equality and diversity ................................................................................................... 20

13. Review ......................................................................................................................... 20

14. References and links to other policies / documents ...................................................... 21

Appendix A Values Based Framework for Everyone ....................................................... 22

Appendix B Values Based Behavioural Framework for Team Leaders and Supervisors.. 36

Appendix C Associate Directors and Senior Managers .................................................... 50

Appendix D Executive Directors and the Governing Body ............................................... 64

Appendix E Pay Progression Policy – staff in post on 31 March 2019 ............................. 78

Appendix F Pay Progression: Non Compliance Confirmation Form ................................. 81

Appendix G Pay progression for staff appointed or promoted since 1 April 2019 ............. 82

Appendix H Pay Progression for staff appointed or promoted since 1 April 2019 ............. 89

Appendix I Equality Impact Assessment ........................................................................ 91


Version 5.3 8


Version 5.3 9

POLICY FOR PERSONAL DEVELOPMENT REVIEW AND PAY PROGRESSION

1. SUMMARY

1.1. This policy is designed to provide guidance and support for both employees

and managers on the application of performance and development reviews (PDRs) for staff.

1.2. This summary is designed to help the reader understand the key messages

from the policy. 1.3. The CCG has adopted a process for staff performance and development

which ensures an ongoing dialogue between staff and their managers about performance, achievements and development opportunities.

1.4. All staff should have regular meetings with their managers to ensure they

have an ongoing dialogue about performance, to discuss any issues or concerns and to highlight achievements. It is suggested that these are held monthly. These meetings must be documented using the templates contained within the appendices.

1.5. In addition to these meetings, quarterly review meetings should be

undertaken to spend more time considering achievements against objectives, learning and development and updates or changes to the documented and agreed objectives.

1.6. The quarterly meeting held between April, May and June should be

considered as the annual review meeting. An annual review meeting must take place for every member of staff as part of the regular programme of one to one meetings. This review meetings has two key elements:

• Discussions about skills and competencies to help staff undertake their role and any areas which need to be addressed and supported

• Discussions on the previous year’s achievements, progress against agreed objectives and setting new objectives for the coming year.

1.7. This meeting should be recorded and agreed by both parties on the agreed

template attached to this policy (see Appendix A). 1.8. This meeting should be an evaluation of achievements throughout the year,

and a culmination of the regular meetings throughout the year. There should be no surprises at this meeting.

1.9. The date of the annual review meeting must be recorded onto the electronic

staff record (ESR). 1.10. The focus should be on the development of skills to deliver the requirements

of the role, areas for development, performance and the setting of new


Version 5.3 10

objectives. Managers of nursing staff may prefer to use the nursing competency framework if appropriate.

1.11. Existing staff employed prior to 31 March 2019 should progress through their

pay scale with annual increments, however if there have been performance issues, then this should be raised throughout the year and dealt with through the Conduct, Performance, Grievance & Absence Management Policy: Performance Management Procedure. Incremental dates are not the same for all staff as they are based on when staff join the NHS (refer to Appendix E for more details on this pay progression process).

1.12. For staff employed since 1 April 2019, pay progression will no longer take place annually. The new Agenda for Change (AfC) pay structure has fewer pay steps within each band. This means that, although the time spent in-between pay step points is longer, staff reach the top of their band more quickly than before. Under the new system, the first pay step reviews will take place from April 2021, which is when staff joining or promoted from 1 April 2019 will reach their first pay step dates (refer to Appendix G for more details on this pay progression process).

1.13. All these meetings are called performance and development reviews (PDR).

2. INTRODUCTION

2.1. Effective performance reviews are good employment practice, leading to improved staff performance, higher staff satisfaction and better patient outcomes.

2.2. The NHS Constitution also commits NHS organisations to providing staff with

'clear roles and responsibilities', and 'personal development' and 'line management support to succeed'.

2.3. Ensuring that staff are clear about what they are doing and why, and have the

skills to do their jobs, are crucial if the CCG is to achieve the required efficiency savings whilst commissioning high quality services.

2.4. An organisation-wide process that focuses on performance, skills and

personal development, and has clear links to the organisational strategic priorities and values, helps deliver this.

2.5. The delivery of the CCG’s strategy depends on every member of staff:

• having a clear understanding of their role and the part they play in their team and the wider CCG

• having an agreed set of priorities and objectives for their work

• possessing and applying the skills and knowledge they need to perform that role effectively and to achieve their objectives.


Version 5.3 11

2.6. Both employees and managers must share the responsibility for ensuring that appraisals and personal development are embedded in everyday working practices. However, accountability for appraisal is with the manager.

2.7. The CCG will always aim to ensure that staff are fully supported to achieve and maintain a high standard of performance in their work. Managers must therefore ensure that acceptable standards are established and communicated, individual performance is regularly monitored and staff are given appropriate training and support to meet these standards.

3. PURPOSE

3.1. There is much evidence that effective performance reviews and staff development has a positive contribution to patient outcomes and is supported by the standards set out by the Care Quality Commission and the NHS Constitution.

3.2. This policy sets out a clear and simple process for carrying out performance

and development review to ensure the alignment of the CCG priorities, values, skills and competencies. In particular this policy applies to the annual review meeting to take place between April and June each year.

4. SCOPE

4.1. This policy will apply to all employees of the CCG.

5. ROLES AND RESPONSIBILITIES 5.1 Individual employees need to

• Be familiar with the CCG vision, aims and strategic objectives

• Prepare for the review meetings with evidence and practical examples of how they are working towards objectives, successes and achievements, and consider learning and development opportunity ideas

• Complete their skills audit and understand areas for development

• Attend awareness and development sessions if appropriate to understand the new approach and the review meetings

• Understand the review process and what is expected

• Evidence how any learning has met development needs and the learning is being put into practice

• Regularly discuss progress against personal objectives and identify any issues or constraints faced at the regular one to one meetings.


Version 5.3 12

5.2 Managers need to

• Ensure they have the skills and ability to undertake effective regular review meetings

• Provide information on the CCG vision, aims and strategic objectives

• Ensure job descriptions are up-to-date and are issued to staff during their first few weeks in post

• Explain the process for performance reviews, how performance will be measured, how we use the skills audit and what is expected from the member of staff

• Have regular documented conversations (using the templates contained within the appendices) with each individual providing feedback on progress towards personal objectives and development, and raising and resolving issues if and when they occur

• Have quarterly formal review meetings to check progress and achievements, with an annual meeting between April and June

• Be aware of the evidence (seen and heard) that will show the individual’s progress against objectives

• Support the skills audit process and undertake positive discussions with staff about the outcomes and identify any areas for further development

• Prepare for the review meetings

• Review any previous learning with the individual and how this has been put into practice

• Maintain a record of review meetings and the individual’s progress. The record must be agreed as accurate by both the manager and employee post meeting

• Use the review meetings as an opportunity to advance equal opportunities by considering positive actions to help employees from protected characteristic groups that may be under-represented in certain pay bands or occupations to develop the skills needed to progress their careers, and to ensure fair access to learning and development opportunities for all employees

• Use the review meetings to ensure all employees play their part in meeting the CCG’s commitment to meeting its duties under the Public Sector Equality Duty and improve performance against the goals of the NHS Equality Delivery System.


Version 5.3 13

6. THE PERFORMANCE AND DEVELOPMENT REVIEW PROCESS 6.1 Communication

6.1.1 The PDR process is the joint responsibility of the individual and the line manager and should be a two-way process with agreed outcomes and expectations for each meeting.

6.1.2 Every member of staff must have an annual personal development

review meeting to help to understand progress over the past year and agree expectations for the coming year. However this is part of the ongoing PDR process with regular feedback and discussion throughout the year.

6.1.3 The annual PDR meeting should be booked well in advance to allow for

adequate preparation, and held in an appropriate venue where privacy can be expected. Staff should be reminded of their responsibility and involvement and that they will need to prepare as part of the communication to the member of staff. Any relevant documentation should be sent to the member of staff with the meeting request.

6.2 Preparation

6.2.1 Once the dates for PDR meetings have been fixed, it is important that both parties prepare for the meeting and an informal agenda may be helpful to make sure that all issues are addressed.

6.2.2 For the annual review meeting, staff should be given some protected

work time to prepare properly. 6.2.3 It is helpful for both parties to keep brief notes of achievements and

experiences to help with the regular and the annual meetings. 6.2.4 The CCG skills audit should be undertaken before the annual review

meeting to support the conversation about development and competencies.

6.3 Reviewing performance

6.3.1 A key part of the quarterly PDR meetings is to review performance over the previous year. This should be considered as follows

• A review of general performance, attitude and approach to work

• Consideration of performance and behaviours against CCG Behavioural Framework, CCG Values, NHS Constitution and Public Sector Equality Duty

• An assessment of the achievements against previously agreed objectives


Version 5.3 14

• Achievements and recognition for good work

• Any actions against personal reviews, such as 360o processes and achievements to date.

6.4 The skills audit

6.4.1 Before the annual review meeting, all staff should have undertaken an audit of their skills using the agreed CCG process. This audit should be the basis of the discussions to agree the final skills level and identify

any areas for development. At this time a review of training and development over the previous year should be undertaken with an assessment of the benefit of any activity for both the member of staff

and the organisation. This will include making sure the staff member has completed all statutory and mandatory training.

6.4.2 There should be an open discussion about how the member of staff can address any gaps and what opportunities are available. This could include training, however coaching, shadowing or mentoring might be

more appropriate. 6.5 Setting personal objectives

6.5.1 The agreement of personal objectives, priorities and how their achievement can be measured is a key part of the annual review meeting. It is important that there is a link between the individual’s objectives and the CCG strategic objectives and values.

6.5.2 Objectives for the coming year should be developed together and

should reflect the work that needs to be done in order to achieve the CCG strategic objectives. All objectives should be specific, measurable, achievable, realistic and timely (SMART objectives). Progress towards the objectives should be considered at the quarterly review meetings, and formally assessed at the annual meeting.

6.6 Ongoing review

6.6.1 Having regular, ongoing discussion, coaching, feedback and review of performance and skills development are important aspects of the process. It is essential that the PDR meetings discuss objectives and progress, new priorities, achievements and any other issues. The quarterly PDR meetings would include:

• Discussion of progress against objectives and any areas where changes or unexpected developments mean that personal objectives should be adjusted

• Review against the CCG behavioural framework and any planned adjustments undertaken


Version 5.3 15

• Review of progress in knowledge and skills required and of any planned development undertaken

• Confirmation and/or adjustment of actions for the rest of the year.

6.6.2. Any problems or issues with the member of staff should be raised and addressed as they occur. Support should be given to individuals to ensure the development of the required knowledge and skills to enable them to carry out their job competently. There should be a principal of ‘no surprises’ for either the member of staff or the manager at the annual review meeting. Issues should be dealt with in line with relevant CCG policies and procedures.

6.7 Recording the review meetings

6.7.1 Whilst the focus of this process is about the ongoing conversation between the managers and their staff, it is appropriate that there is some record of the PDR meetings.

6.7.2 The CCG paper based documentation should be used to record all

meetings. These can be found at Appendix A. 6.7.3 Both parties should agree the notes and each should retain a copy. 6.7.4 The date of the annual review must be sent to the directorate PA. 6.7.5 For employees who require information in alternative formats, this will

be provided to ensure that the records are in an accessible format. 6.7.6 Under the General Data Protection Regulation staff are permitted to

request access to their personal data under Article 15. For further details please see the Individual Rights Policy.

7. VALUES BASED BEHAVIOURAL FRAMEWORK 7.1 The CCG has developed a refreshed, values based personal development

review approach for all staff that sets out behavioural standards, based upon our values, which everyone working in our organisation are expected to display. These value driven behaviours are designed to help staff make the right decisions and guide how we treat our customers, stakeholders and each other.

7.2 The new approach will support significant improvements in the way we

develop staff. It offers a transparent, consistent method through which every member of staff should feel supported and valued. Greater emphasis will be placed on treating development planning as a priority. It also enables everyone to be much clearer about their objectives, enables deeper exploration of individual’s aspirations and aims to help people understand how


Version 5.3 16

their role contributes to the overall effectiveness of their team, department and our organisation.

7.3 In summary, the approach is designed to deliver the following benefits:

• Ensuring everyone is pulling in the same direction

• Ensuring we promote and share the same core values

• Further opportunity for praise and recognition

• Frequent feedback on performance

• More targeted learning and development 7.4 The CCG has developed separate behaviour frameworks to reflect increasing

levels of responsibilities for staff and line managers within the CCG. All staff need to demonstrate the values in the framework for everyone building on this for increasing levels of line and organisational management responsibilities.

• Appendix A: Values Based Behavoiural Framework for Everyone

• Appendix B: Values Based Behavioural Framework for Team Leaders and Supervisors

• Appendix C: Values Based Behavioural Framework for Associate Directors and Senior Managers

• Appendix D: Values Based Behavioural Framework for Executive Directors and Governing Body

8. INCREMENTAL PROGRESSION 8.1 Pay progression

Staff in post on 31 March 2019

8.1.1 Up until March 2021, automatic pay progression for all staff (in post before 1 April 2019) through annual Agenda for Change pay points is conditional on individuals meeting their locally agreed annual performance targets. Incremental progression should be used to check the relevant knowledge and skills are being applied at the required level.

8.1.2 Pay Bands 8c, 8d and 9 progression into the last 2 points in the band

will be earned annually and only retained where the individual’s level of performance against locally agreed personal objectives is reached in the given year.

8.1.3 Pay progression should not normally be withheld unless significant

performance issues have been identified. These performance issues should be managed with regular support and opportunities for individuals to improve. If the lack of progress and development is significant against objectives, competencies or values then at any point


Version 5.3 17

on the pay band the Conduct, Performance, Grievance & Absence Management Policy, Performance Management Procedure should be referred to.

8.1.4. It should be noted that the incremental date and the review date may

not be the same. Review meetings should be undertaken between April and June each year, whereas incremental dates are when people started in post or on a specific pay band. Appendix E outlines the Pay Progression Policy.

8.1.5 All staff (i.e. including those in post before 1 April 2019) will be subject

to the new Agenda for Change Pay Progression Scheme from April 2021.

8.1.6 If there is any disagreement between the member of staff and their

manager relating to a decision on the pay progression then a review can be requested with the line manager's manager or other agreed party. The individual should make this request in writing to their manager within two weeks of the staff member being told of the withholding of any increment. The manager will be responsible for arranging the review as soon as possible, usually within two weeks of receipt of the letter.

8.1.7 However, if the individual is unable to demonstrate the application of

the required skills and knowledge before the appropriate review due to one of the following reasons, then they may still be able to progress through to the next increment. These reasons may include:

• Organisational factors outside the employees control

• Inadequate managerial support as agreed

• Release from the workplace due to critical staffing issues

• Course schedules, that is, where an essential course is not available until after the review date

• The CCG has been unable to make the reasonable adjustments required to facilitate additional learning needs due to a disability.

8.1.8 This list is indicative, not exhaustive and, where other reasons exist, further advice should be sought from the appropriate HR representative to determine whether pay progression is still appropriate. Where it is decided that pay progression is appropriate, a short-term action plan will be agreed to ensure that the desired performance and knowledge levels are met as quickly as possible.

8.1.9 If the individual is unable to demonstrate appropriate application of the

knowledge and skills required and cannot provide a substantial reason for this, they will not be able to progress to the next increment on the pay band. Short-term actions will be agreed together with a date for


Version 5.3 18

review. Providing the knowledge and skills requirements are met before an agreed deadline and evidence submitted at a review meeting, the individual may progress.

8.1.10 Pay progression to the next increment on the pay band will then

commence from the date of the review meeting. The individual’s incremental date will remain unchanged.

8.1.11 If reasonable time and resources have been provided and the

performance levels are still not being met by the review date it may be appropriate for the CCG’s Conduct, Performance, Grievance & Absence Management Policy: Performance Management Procedure to be considered.

8.1.12 If it is unlikely that the performance standards will be met before the

incremental review because of other reasons, such as maternity leave, then the relevant policy should be referred to for guidance.

Staff appointed or promoted since 1 April 2019

8.1.13 A new pay progression system became effective from 1 April 2019 for new starters or those promoted to a new role on or after 1 April 2019.

8.1.14 The pay progression system will help ensure that all staff have the

appropriate knowledge and skills they need to carry out their roles, and so make the greatest possible contribution to patient care.

8.1.15 The new pay progression system:

• Enables staff in Bands 2-7 to reach the top of their pay band more quickly

• Describes minimum periods of time before progression to the next pay-step point

• Is not automatic

• Gives staff the opportunity to demonstrate they have met the required standards including appraisals

• Requires line managers and staff to follow the pay-step submission process (described in the pay progression framework document) in order to access the next pay-step point

• Requires employers to provide information to enable the NHS Staff Council to undertake monitoring of pay progression and re-earnable pay in relation to employees with protected characteristics

• Apply to all staff appointed or promoted within the CCG from 1 April 2019.


Version 5.3 19

9. APPEALS PROCESS 9.1 The review meeting should be the culmination of the year’s PDR meetings,

and should not raise new issues or introduce any new performance concerns. However if there are disagreements with the manager’s assessment of performance and achievements over the year, these should try to be resolved in the meeting. Evidence should be produced to support the assessment wherever possible.

9.2. However if an agreement cannot be reached, a meeting should be set up with

the line manager to explain the issues from both parties. The line manager will make a decision and this is final.

9.3 Details of the Appeals Process to be followed with regard to decisions to defer

pay progression (for staff in post 31 March 2019) or to appeal their pay progression decision (for staff appointed or promoted since 1 April 2019) can be found in Appendix E and Appendix G respectively.

10. TRAINING REQUIREMENTS 10.1 All managers should attend training to support them to have key

conversations with their staff about performance and development. This will be provided by the CCG.

10.2 All managers should undertake equality and diversity training (including

cultural competence) at least every three years. 10.3 During April each year, in preparation for the annual review meeting and the

skills audit, training and awareness sessions will be available and all staff should attend these to ensure they are supported in their discussions about skills and achievements.

11. SUCCESS CRITERIA / MONITORING THE EFFECTIVENESS OF THE POLICY

11.1 The CCG will monitor the implementation of this policy as part of its formal

arrangements. 11.2 The number of staff who have reported they have received an annual PDR

review meeting will also be monitored by the CCG. Each director’s PA report on ESR when a PDR has been completed and outstanding reports are followed up with line managers. In addition staff report on whether or not they have received a PDR and the effectiveness of the procedure is captured in the annul staff survey. Appropriate actions will be agreed with those departments not achieving the requirements of the CCG.

11.3 All individuals should be treated fairly and equitably and account taken of any

issues that may mean the individual requires additional or alternative support


Version 5.3 20

in order to deliver the responsibilities of their job and progress in their career as far as they would like. The CCG and managers will work proactively to make reasonable adjustments, for those staff with a specific need to enable them to carry out their job competently.

11.4 We will monitor the protected characteristics of those not granted pay

progression in order to identify any potential unconscious bias by line managers and take appropriate actions in agreement with the departments involved.

11.5 The CCG has a legal requirement as a public sector organisation to monitor

the protected characteristics of staff affected by the organisation’s performance assessment procedures. This enables the CCG to make sure that the appraisal process is used fairly and equitably so that discrimination is eliminated, equal opportunities are advanced and good relations fostered between employees with one or more of the protected characteristics defined in the Equality Act 2010. If a staff member or manager thinks they or another member of staff has suffered a detriment as a result of the appraisal process they should raise it with the head of organisational development or their line manager and Human Resources advisor.

11.6 To support compliance with equality legislation, managers will have access to equalities monitoring information so that inequalities can be identified and resolved as part of the appraisal process.

12. EQUALITY AND DIVERSITY 12.1 In applying this policy, the CCG will have due regard for the need to eliminate

unlawful discrimination, promote equality of opportunity, and foster good relations between employees from diverse groups, in particular on the grounds of the following characteristics protected by the Equality Act (2010); age, disability, gender, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, and sexual orientation, in addition to offending background, trade union membership, or any other personal characteristic.

12.2 This policy has been assessed for equality impact on staff from protected

characteristic groups. Where necessary the policy was amended to reduce the potential for negative impact on different groups.

13. REVIEW 13.1 This document may be reviewed at any time at the request of either the Staff

Forum or management, or in response to new legislation or guidance, but will automatically be reviewed on a biennial basis.


Version 5.3 21

14. REFERENCES AND LINKS TO OTHER POLICIES / DOCUMENTS

• CCG Conduct, Performance, Grievance & Absence Management Policy

o Performance Management Procedure

o Grievance Procedure

• CCG Individual Rights Policy

• Agenda for Change: NHS Employers - http://www.nhsemployers.org/agendaforchange

• Framework agreement on the proposed reform of Agenda for Change http://www.nhsemployers.org/-/media/Employers/Documents/Pay-and-reward/FINAL-Framework-agreement-21-March-2018.pdf

http://www.nhsemployers.org/agendaforchange


Version 5.3 22

Appendix A Values Based Framework for Everyone

Personal Development Review Everyone

-

Your name

Your role

Manager’s name

Date of review

A: Reflect B: Review C: Plan

This section gives you space to reflect on your work, to identify your achievements and learning.

Please complete this section before your conversation

This section is all about your manager sharing the overall objectives with you. You can then discuss and agree your individual objectives, and the personal development you need to achieve these and to consider your aspirations for the future You will complete this during your meeting. You should consider your objectives as part of your preparation.

This section gives you space to review your past organisational and personal development objectives and to consider the behaviours you have demonstrated. Please complete this section before

your conversation

Please read the preparation guide for further information


Version 5.3 23

How has your role changed/evolved?

•

What achievements are you most proud of?

•

What has gone less well?

•

What have you learned?

•

What has your manager done to support you?

What could they do more or less of?

•

Is your job description up to date?

•

Part A: Personal Reflections over the past 12 months


Version 5.3 24

Progress with my organisational objectives Is this your first review? Yes □ No □ (if yes, move on to page 4)

Objective

Comments (include the outcome, what went well, what you could do differently)

Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

ed

ed

req

uir

em

en

t

Part B: Review of my Performance


Version 5.3 25

Progress with my personal development objectives

Objective

Comments (include the outcome, how the development has been of benefit and anything further you require in this area)

Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

ed

ed

req

uir

em

en

t


Version 5.3 26

-

COMPASSIONATE – We will take time to understand the needs of our local population and take account of their views in the decisions we take so

we can improve services and develop better ways of working. We will be sympathetic and respond appropriately and effectively to local and national issues people raise.

Effective Behaviours 4 3 2 1 Ineffective Behaviours

+ Displays genuine empathy and compassion towards others

- Lacks empathy, consideration and/or compassion for others

+ Listens actively; pays attention to detail and takes time to understand what people really want or need

- Appears rushed/impatient; may overlook detail or appear pre-occupied with their workload rather than balancing this with what’s important to others

+ Takes different circumstances into account and adapts the way they interact with others accordingly

- Adopts the same approach with everyone; impacting upon ability to establish rapport or handle interactions appropriately

+ Shares knowledge and information in a timely and appropriate way

- Keeps valuable information to themselves; may fail to pass things on or ensure relevant parties are kept up to date

+ Communicates clearly and courteously with everyone; is helpful and friendly in their approach

- Appears unfriendly or selective about who they talk to; is abrupt towards or ignores those who may require assistance

+ Remains focused on and responsive to those they provide services to

- Slow to respond or gets easily distracted from delivering their priorities or doing things that make a difference

Examples/evidence:

Part B: Review of my behaviour

Rating scale: 4 = all the time; 3 = most of the time; 2 = sometimes; 1 = rarely


Version 5.3 27

-

INCLUSIVE – We will work closely with the public, patients and partners in health and social care, local authorities and the private and voluntary

sectors to ensure that local services are of the highest quality for everyone. We will keep people informed about our plans and ensure they know how they can help us achieve them.


+ Understands the purpose and goals of their team and organisation and how they can contribute to delivering the best outcomes

- Loses sight of team/organisational goals and priorities; may concentrate on own needs and agenda rather than looking at the bigger picture

+ Builds effective, trusting working relationships; makes a conscious effort to get to know those they are working with

- Hesitant in building relationships with others; may lack trust in or be suspicious of people outside their own team or area of expertise

+ Develops rapport with their colleagues; takes time to understand how best to support them

- Dismissive of or overlooks the efforts of their colleagues; does not recognise or acknowledge how their role fits with that of others they work with

+ Considers the perspectives and opinions of others; finds out what really matters to them

- Gives little thought to the desired outcomes others are seeking; makes little or no attempt to understand what’s important to them

+ Works collaboratively with others to provide a seamless service; involves the right people in conversations

- Displays little interest in tasks or activities outside their direct remit; overlooks opportunities to work cohesively or join things up

+ Shows respect for and tolerance of the differences in those they support and work with

- Appears intolerant of or disinterested in the differences in others

Examples/evidence:



Version 5.3 28

-

FAIR – We will trust each other to carry out our jobs efficiently and effectively; we will understand the different needs of our local population and

actively work to ensure that everyone is treated fairly and equally; we will encourage our people to grow and develop, and support those who work with us to do the same


+ Gets things done to the highest possible standard; takes initiative and responsibility for own actions

- Contributes the bare minimum or takes little responsibility for what they should be doing, waiting to be told or expecting others to do things for them

+ Organises self effectively, meets deadlines and works productively in pressured environments; seeks support when this is not possible

- Appears disorganised, misses deadlines, leaves things unfinished or takes on too much rather than asking for help

+ Develops awareness of their colleagues’ roles and the priorities/challenges they are facing; offers support when needed

- Lacks awareness of or respect for the work that others do; may leave them to struggle when they could offer help

+ Prioritises quality, safety and experience for those they work with; understands and adheres to guidelines, policies and procedures

- Lacks understanding of key agendas; may be overly relaxed about standards or skip over important procedural steps

+ Responds sensitively and calmly when handling conflict, challenge or frustration

- Responds defensively or aggressively when dealing with conflict or challenging situations or may avoid them altogether

+ Uses resources responsibly; is conscious of public funding and considers what will make a difference and/or add value

- Wasteful with resources; lacks consideration as to how best to utilise them, what they might cost and/or whether there might be more affordable alternatives

Examples/evidence:



Version 5.3 29

-

HONEST – We will be open and transparent about everything we do, with local people, partner organisations with and each other. We will

constructively challenge ourselves and our partners if things are right, admit if we are wrong and say sorry and learn from mistakes to make improvements to the way we work.


+ Seeks feedback from stakeholders and colleagues about their performance; instigates action or change where appropriate

- Lacks insight into their own capability; afraid to share their shortcomings with others or does not seek feedback on performance

+ Displays an appetite for maintaining and developing knowledge and skills and learning new things

- Places little value upon or may lack interest in learning or keeping up to date with the latest developments

+ Raises concerns constructively or speaks up when something isn’t right

- Tolerates or walks past issues of concern rather than addressing them or ensuring they have been resolved

+ Maintains a positive outlook during challenging times and promotes this ethos with their colleagues

- Becomes overly negative or despondent when things are not going well; may struggle to find ways to cope in challenging situations

+ Demonstrates professionalism; is open and honest in their dealings with others

- Covers up mistakes or attempts to blame them on other parties; lacks transparency in their dealings with others

+ Displays a ‘can do’ attitude; focuses on finding practical solutions

- Dwells overly on problems or obstacles rather than finding a way to make things work

Examples/evidence:



Version 5.3 30

AMBITIOUS – We will be ambitious but realistic in our plans for the health of local people and ensure that we are amongst the best nationally both

as an organisation and in ensuring better health for our population. We will bring an innovative approach to our work, be open to new ideas and ways of working. We will be courageous, taking appropriate risks and difficult decisions when needed to benefit our population.


+ Shows an interest in and supports innovation; contributes suggestions and new ideas

- Criticises new ideas or ways of working; does not take time to reflect on what needs to be done differently

+ Demonstrates willingness to try new things; shares and applies learning from their experiences

- Inclined to do things in the same way they have always been done; and inhibits others from participating in new initiatives through negative influence

+ Identifies ways to improve or simplify ways of working to benefit stakeholders and/or colleagues

- Fails to adapt their work around the demands they are facing or may spend time on unnecessary activities

+ Copes well with uncertainty and finds ways to build their resilience; adopts a flexible approach in response to change

- Displays resistance to change or new initiatives; may stick rigidly to existing processes or create unnecessary barriers

+ Makes decisions within the scope of their authority; asks for help, guidance or input from others when needed

- Rushes into things or acts without thinking through the consequences; may make assumptions or fail to involve the right people in decision making

+ Takes pride in their work; ensures own behaviour is aligned with the organisation’s values

- Talks negatively about their work/organisation or that of others; lacks pace and/or enthusiasm in what they do

Examples/evidence:



Version 5.3 31

Part C: Thinking about my future

Based upon your performance in your current role (i.e. the review

of your objectives and behaviours) agree your readiness for

another role.

Readiness:

Now

and/or

At this point I am content to stay in my current role

What would you like to achieve in your current role?

What more do you need to continue to do your job

effectively?

What challenges/obstacles are you faced with?

How could you overcome these?

How would you like to develop within your current

role?

What support would you value with this?

I would like my role to evolve and/or am considering moving to

another role at some point in the future

6 – 12

months

2 – 3

years

How would you like your role evolve or change?

What is the attraction?

What development will you need to make this transition?

What support do you need to do this?


Version 5.3 32

My organisation’s objectives

My team’s objectives

My organisational objectives

What I need to deliver How this will be measured When I need to do this by What support might I need

The 2018/2019 CCG objectives are to: • Insert here

• Insert here

• Insert here

• Insert here

• Insert here

• Insert here

What these organisational objectives mean specifically for my team/dept:

•

•

•

Part C: My organisational objectives


Version 5.3 33

- -

Are you up to date with your statutory and mandatory training

*If no, this must be included in your PDP and be treated as a priority above other learning and development

Yes □ No* □

My personal development objectives (This includes skills, knowledge and/or behaviours that need developing in order to achieve the organisational objectives)

What do I want/need to learn?

What will I do to achieve this? What resources or support will I need?

What will my success criteria be?

Target dates for review and completion

Statutory and mandatory/professional training requirements to be completed

Training requirements Date due Date booked

Part C: My personal development plan


Version 5.3 34

Managers name: Signature: Date:

Your name: Signature: Date:

Completion should be recorded via Directorate PAs on ESR and a copy of the personal development plan should be sent to Head of Organisational Development.

Additional Comments

Your comments:

Your manager’s comments:

Have you met all of your objectives? Yes/No Is pay progression approved Yes/No If no, complete reasons on pay progression form Please complete pay progression form and send to [email protected]

mailto:[email protected]


Version 5.3 35


Line Manager’s name Signature: Date:

Your well-being

• Check in on well-being

Your performance/objectives

• Comments on progress, confirmation of objectives met or new objective set

Your potential/behaviours

• Feedback on behavioural observations

Personal Development and Aspirations

• Comments on progress and impact of personal development undertaken

Other Comments

MONTHLY ONE TO ONE RECORD


Version 5.3 36

Appendix B Values Based Behavioural Framework for Team Leaders and Supervisors

Personal Development Review

Team Leaders and Supervisors

Your name

Your role

Manager’s name

Date of review






your conversation



Version 5.3 37


•


•


•


•

What has your manager done to support you? What could they do more or less of?

•


•



Version 5.3 38


Objective


Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

eded

re

qu

irem

ent



Version 5.3 39


Objective


Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

eded

re

qu

irem

ent


Version 5.3 40




- Values others; maintains frequent dialogue and builds rapport with and empathy for those they work with

- Displays little empathy, warmth or concern for others, may struggle to establish rapport or appear cold or uncaring

+ Takes time to listen carefully to gain a deep understanding of the situation and what’s really important

- Spends little time with stakeholders or their team; displays reluctance to communicate in person or is out of touch with the realities others are facing

+ Adapts their interpersonal style to suit the situation and individuals they are dealing with

- Uses the same communication style with everyone; fails to tailor this appropriately to the needs of different teams or individuals

+ Shares expertise and best practice; keeps others up to date and ensures information is accurate

- Restricts or delays the flow of information; may not see the relevance or need to share it beyond their immediate team

+ Explains things clearly and concisely; communicates proactively and makes self available to their team and stakeholders

- Uses language/style that others struggle to connect with; may be hard to find or appear to busy or unwelcoming to those who need to speak to them

+ Works at pace; responds quickly and mobilises their team to provide practical help and support

- Lacks a sense of urgency or ability to inject pace and energy into their own work and that of their team; fails to provide people with what they need




Version 5.3 41




+ Identifies complementary strengths and skills across different teams and brings them together to provide the best possible service

- May see other teams as competition; creates barriers and in doing so, prevents opportunities for learning and/or joint working

+ Creates a positive atmosphere; builds supportive relationships across organisational and professional boundaries

- Does little to remove organisational and/or professional boundaries; may appear untrusting or suspicious of what others are doing

+ Attracts, recruits and retains talented individuals; manages all aspects of their performance effectively

- Lacks focus on identifying and/or nurturing talent; vague about the level of performance expected and/or slow to manage shortcomings

+ Solicits feedback and uses this to develop a service which is shaped around the needs of individuals and families

- Builds or maintains a service which is convenient for them and the team rather than the unique requirements of individuals and their families

+ Seeks out opportunities to provide seamless support; ensures all partners have a voice in decisions that will impact upon them

- Lacks interest in creating the right conditions for collaborative and/or partnership working

+ Respects the rights and opinions of others; implements inclusive approaches and encourages people to learn from each other

- Demonstrates a lack of tolerance toward or respect for others; does little to prevent divisiveness within their own and others’ teams

Examples/evidence:



Version 5.3 42




+ Makes things happen; takes ownership and responsibility for own actions and those of team members

- Lacks the impetus to act before they are asked, slow to get things off the ground of fails to motivate or support their team to deliver

+ Develops and implements plans; sets realistic objectives and balances operational demands on self and team

+ Appears disorganised; may struggle to prioritise work or lurch from crisis to crisis with no clear plan; frequently misses deadlines and/or targets

+ Demonstrates understanding and respect for the differing pressures on others; provides practical help and support

+ Focuses largely on their own team; may know little about their counterparts and priorities elsewhere either in or outside their own organisation

+ Focuses their team on priorities; ensures policies and procedures are fit for purpose and that standards are understood and upheld

- Loses sight of the real issues; may fail to maintain competence or keep their team up to date in relation to the standards that are expected of them

+ Balances assertiveness with tact and diplomacy when managing challenging situations or relationships; speaks up on behalf of their team as appropriate

- Struggles to resolve conflict, either through allowing it to remain unresolved or exacerbating it through being overly aggressive or dismissive in their response

+ Demonstrates financial awareness; manages resources and/or allocated budgets and implements realistic, cost effective solutions

- Slow to address inefficiencies or waste; does not take responsibility for keeping the team within budget or inform them of their role in supporting this

Examples/evidence:



Version 5.3 43




+ Welcomes feedback from others; uses this to enhance their self-awareness and underpin their own personal development

- Places little emphasis on their own personal development; may lack awareness of their impact on others

+ Identifies and creates opportunities for their team members to learn and develop; adopts a coaching style to get the best out of them

- Provides limited opportunities for development to others; or may try to micro-manage, giving little leeway for people to learn or do things differently

+ Challenges constructively when accepted rules or working practices are blocking progress; takes steps to address these

- Focuses on the problem rather than the outcome that’s required; may be subservient or argumentative rather than proactively finding a way forward

+ Remains calm under pressure; keeps emotions under control in difficult situations

- May struggle to cope when under pressure or find it hard to keep their emotions in check in stressful circumstances

+ Acts with integrity and transparency; encourages this behaviour amongst their colleagues and team members

- Appears unwilling to discuss things openly or discourages others from doing so; may make decisions behind closed doors

+ Takes time to think through problems; reflects on what could work and offers a range of solutions

- Gets drawn into or is slow to sort out problems; tends to escalate issues unnecessarily or holds fixed views as to how things should be done

Examples/evidence:



Version 5.3 44




+ Supports their staff to innovate safely; encourages production of new ideas, approaches or insights

- Does not create opportunities for their team members to identify and implement improvement; discourages their involvement in change initiatives

+ Encourages their staff to do things differently; provides basic checks and balances then lets them run with ideas

- Seems content with the way things are; maybe overly cautious about or dismissive of the ideas of their team members

+ Removes barriers to effective working; balances use of quick fixes with what will work in the medium to long-term

- Shows little inclination to remove obstacles or streamline services; may focus on the short-term, fire-fighting or sticking to what people know

+ Adapts to changing circumstances; acts as an enabler and demonstrates drive to transform services

- Unwilling to change or demonstrate flexibility; lacks impetus to adapt existing services or create new ones

+ Takes an inclusive approach and gathers appropriate evidence to support decision making; considers the impact on others

- Does not inform people about their choices or involve them in decisions; may not make use of evidence/information to substantiate options they provide

+ Accepts and tackles challenges with energy and enthusiasm; understands and shows commitment to the vision and priorities of the organisation

- Reluctant to take on anything new or different; easily frustrated by challenges or lacks a sense of pride in their team and/or organisation

Examples/evidence:



Version 5.3 45




another role.

Readiness:

Now

and/or




effectively?




role?




6 – 12

months

2 – 3

years






Version 5.3 46






• Insert here

• Insert here

• Insert here

• Insert here

• Insert here


•

•

•



Version 5.3 47



Yes □ No* □



What will I do to achieve this?

What resources or support will I need?







Version 5.3 48



Completion should be recorded via Directorate PAs on ESR and a copy of the personal development plan should be sent to Head of Organisational Development.

Additional Comments

Your comments:





Version 5.3 49

Your name: Date:

Line Manager’s name Date:

Your well-being








Other Comments



Version 5.3 50

Appendix C Associate Directors and Senior Managers


Associate Directors and Senior Managers

Your name

Your role

Manager’s name

Date of review






your conversation



Version 5.3 51


•


•


•


•


•


•



Version 5.3 52


Objective


Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

eded

re

qu

irem

ent



Version 5.3 53


Objective


Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

eded

re

qu

irem

ent


Version 5.3 54




- Treats the well-being of stakeholders and staff as a priority; shows genuine interest in others and makes them feel valued

- Focuses overly on the delivery of plans and targets; may be out of touch with the realities faced by stakeholders and staff

+ Takes full account of what people have to say; balances empathy and concern with the support and action needed

- Does not take time to listen to or fully understand the situation; may wade in, take over or push actions based on assumptions

+ Adapts style and content of communication to suit a range of audiences; influences with credibility

- Adopts the same approach to managing relationships rather than tailoring their style; lacks ability to influence others

+ Consults others, disseminates information quickly and keeps up to date with local, national and competitor trends

- Acts independently; holds on to key information which could be shared more widely across teams and/or organisations

+ Conveys messages articulately and honestly using simple language; is a visible leader and takes time to talk to others in person

- Gives convoluted answers and has a low profile and may be hard to engage in key initiatives

+ Works with colleagues in and around the local health and social care economy to develop flexible, responsive services

- Looks only at their agenda rather than engaging with others across the system to commission and/or develop effective services based on local need

Examples/evidence:




Version 5.3 55




+ Brings talented, cross-organisational teams together; makes the best use of expertise and limited resources to deliver improvement

- Unable to bring different parties together around a shared agenda, or does so with limited influence or impact

+ Builds strong and productive relationships; breaks down barriers and finds common ground to enable successful, partnership working

- Fails to develop or builds effective relationships that may put obstacles in the way of joint working

+ Makes people feel valued; motivates, empowers and rewards staff appropriately and tackles underperformance promptly and effectively

- Places little value on or makes little effort to understand what makes their team members tick; fails to confront or tackle underperformance effectively

+ Develops services based on future needs; is responsive to changes and actively ensures stakeholder involvement is at the centre of service redesign

- Decisions and ideas that are valued comes exclusively from them; does not create opportunities for others to influence how services are shaped

+ Works with partners to develop joint strategies to support partnership working; aligns organisational plans to those of their teams

- Stays within their ‘silo’; does little to ensure people work collaboratively with partners to maximise opportunities and benefits of working together

+ Promotes diversity; values and appreciates the differences in the background and/or temperament of their stakeholders and colleagues

- Appears intolerant of or disinterested in the differences of their colleagues and stakeholders; may only display interest in those who share similar views

Examples/evidence:



Version 5.3 56




+ Takes accountability for the actions and results of their teams; delegates appropriately and fairly and delivers to own commitments

- Provides little sense of direction and purpose; may impose expectations on others with little thought for their priorities or makes excuses for non-delivery

+ Formulates strategies aligned to organisational needs; sets clear expectations about the desired outcomes and balances own priorities

+ Fails to join things together into a cohesive plan or set out clear expectations; frequently misses deadlines or sets unrealistic objectives

+ Maintains awareness of operational and strategic developments; gives freedom to act and provides insight and support where needed

+ Lacks awareness about the latest developments and direction of travel in their own and stakeholder organisations or fail to check in regularly as to how people are getting on

+ Prioritises the quality and safety agendas; ensures effective governance frameworks are in place and that performance is monitored

- Has an insufficient handle on what is happening across their services; may not have systems/resources in place to manage or monitor performance effectively

+ Politically astute; is prepared to have difficult conversations and handles these with tenacity

- Lacks sensitivity to or awareness of the subtleties of their environment; deals with conflict inappropriately; may be slow to deal with or avoids having difficult conversations

+ Provides resources where they are needed; balances quality and cost through effective budgetary management and considers the longer-term impact of their actions

- Expects more for less without considering the impact on resources; may take an overly simplistic view or look solely at keeping expenditure to a minimum

Examples/evidence:



Version 5.3 57




+ Aware of their own strengths and development needs; is receptive to feedback about their own performance and the services they lead

- Lacks insight into their own strengths and limitations; does not seek feedback on their own or their team’s performance or fails to respond to this effectively

+ Builds high performing teams; delegates effectively and encourages people to develop and share learning across the wider organisation/system

- Does not build energy, commitment and enthusiasm in those around them; does little to create a culture of learning amongst those they lead/work with

+ Confronts challenge constructively; finds ways forward over clashes of priorities, tactfully deals with pressure points or differences in opinion with peers and senior leaders

- Appears reluctant to admit mistakes or is quick to blame others; may be disruptive or antagonising rather than resolving in challenging situations

+ Demonstrates resilience; uses effective outlets to cope with demands and setbacks and creates a supportive environment for others

- Easily knocked by failure or disappointment; prone to emotional outbursts or provides little support or encouragement to others when things are tough

+ Upholds values and role models the CCG behaviours; comfortable to raise concerns, behaves ethically and encourages collective responsibility

- Does not foster trust and collaboration, may appear to say one thing and do another

+ Critically evaluates the options available; removes obstacles and hierarchy and considers scale and adaptability of solutions put forward

- Becomes fixated on one idea or way forward rather than being open to a range of options; may overlook evidence or create unnecessary barrier to progress

Examples/evidence:



Version 5.3 58




+ Generates innovative ideas from diverse sources and promotes continuous improvement; follows through on their actions

- Struggles with or is not bought into the notion of continuous change; does little to encourage innovative practice or leaves this to others

+ Scans the horizon for new ideas and ways of working; provides encouragement to their teams to experiment with new approaches

- Does little to engage others in the generation of new ideas or implementation of more efficient ways of working; can hold back the pace of change

+ Facilitates transformation; identifies business opportunities which offer long-term benefits for the organisation and wider system

- Allows bureaucracy to get in the way or looks for quick wins and short-term gains without considering sustainability or long-term implications

+ Tolerates ambiguity; operates comfortably and skilfully in a complex and uncertain environment and supports others to do so;

- Uncomfortable with change and fails to provide people with the support and direction they need to do this

+ Makes well-informed decisions in high pressured situations based upon evidence and merit; prepared to make difficult choices

- Hesitant or cautious when faced with a need to make key decisions; may act in isolation or choose high risk options without considering the impact on others

+ Prepared to give up some personal control, power and resource to achieve the best outcomes in and outside the organisation

- Gets too involved in or is unable to delegate or step back from what others are doing; may be protective of own interests at the expense of those of their team or the wider organisation

Examples/evidence:



Version 5.3 59




another role.

Readiness:

Now

and/or




effectively?




role?




6 – 12

months

2 – 3

years






Version 5.3 60






• Insert here

• Insert here

• Insert here

• Insert here

• Insert here


•

•

•



Version 5.3 61



Yes □ No* □











Version 5.3 62



Completion should be recorded via Directorate PAs on ESR and a copy of the personal development plan should be sent to the Head of Organisational Development.

Additional Comments

Your comments:





Version 5.3 63

Your name: Date:


Your well-being








Other Comments



Version 5.3 64

Appendix D Executive Directors and the Governing Body


Executive Directors and the Governing Body

Your name

Your role

Manager’s name

Date of review






your conversation



Version 5.3 65


•


•


•


•


•


•



Version 5.3 66


Objective


Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

eded

re

qu

irem

ent



Version 5.3 67


Objective


Rating

No

t ac

hie

ved

Ach

ieve

d

Exce

eded

re

qu

irem

ent


Version 5.3 68




+ Demonstrates warmth and compassion; shows genuine commitment to keeping people safe and well; empathises with and acknowledges the situations they are faced with

- Displays limited insight into the challenges and realities faced by staff or local populations or what would make a difference to them

+ Highly visible; spends time with staff and stakeholders to gain real insight into their experiences; instigates appropriate action if necessary

- Spends little time talking to staff and stakeholders; makes little effort to understand or respond to situations in a way that best suits others’ needs

+ Remains professional to how others are responding to them; influences the style and pace of interactions in a way that works well for everyone

- Lacks influence and credibility; approach can suppress energy or fails to acknowledge others’ contributions

+ Shares information and communicates with others appropriately and in a timely way; gives reasons for decisions and actions and does not restrict information unnecessarily

- Withholds information as a way of maintaining control, using it in an inappropriate way or to create delays; may appear secretive as a result

+ Regarded by others; maintains a presence and inspires a shared purpose; engages others effectively; presents and/or speaks publicly with skill and confidence

- Fails to engage others or generate support for the organisation’s vision; messages lack impact or clarity or may struggle to adapt their tone/style for the audience

+ Looks ahead; anticipates the changing needs of the population and considers how the organisation will need to adapt

- Focuses on delivery of targets at the expense of needing to develop sustainable, integrated services which meet local needs

Examples/evidence:




Version 5.3 69




+ Makes an effort to get to know people. Brings out the best in them through encouraging and facilitating their contributions to achieve the best outcomes

- Does little to initiate or capitalise on opportunities to bring key groups together; may rely on others to do this

+ Unites people around common interests and focuses them on the future; prominent in connecting others through their network

- Sees existing barriers and organisational boundaries as inevitable and allows this to impact on the building of relationships; may maintain a low profile

+ inspires others to lead without and beyond authority; places importance and value on nurturing and rewarding talented teams and individuals

- Appears to be controlling or overly dominant; does little to support their own staff, empower others or create a healthy, supportive working environment

+ Understands the variety and complexity of needs people have when accessing and delivering health and social services across the local system

- Displays little knowledge or awareness of the variety and complexity of needs of different partners, communities and individuals; quick to jump to conclusions

+ Creates an environment where relationships thrive and every partner has an equal voice; works strategically to realise organisational and system goals

- Places little value on the involvement of key partners in the running of the organisation; may deliberately exclude them from important conversations

+ Creates a diverse and inclusive culture; demonstrates respect for the contributions and perspectives of others and actively challenges discrimination and unfairness

- Demonstrates lack of respect for or little understanding/tolerance of cultural or professional differences; makes inappropriate judgements or assumptions

Examples/evidence:



Version 5.3 70




+ Holds others to account appropriately; submits self and others to appropriate scrutiny and understands what they are personally accountable for

- Appears unaware or disinterested in the commitments they are required to honour and/or allows the work of others to drift or go unchallenged

+ Articulates a compelling vision for the organisation; sets clear direction and action in the public interest; uses own and others’ time effectively

- Fails to provide direction or develop cohesive plans; does not make good use of own time or that of others

+ Politically astute and keeps on top of local and national developments; balances the needs of and constraints with partners effectively

- Displays little awareness of the latest developments on the local and national scene; unable to balance their organisational agenda with that of the system

+ Creates an infrastructure to provide high quality, safe and integrated services; seeks appropriate assurances that standards are being met

- Lacks awareness of the strategic risks that need to be monitored; may become too involved in telling people how to run their services

+ Responds in a calm and balanced way when challenged; debates cogently and is comfortable to accept alternative perspectives

- Creates a culture of blame; responds defensively to challenge and can become entrenched in their own perspective; creates unnecessary friction and tension rather than dispelling it

+ Displays commercial acumen; prepared to invest to save and advocates solutions which will contribute to financial sustainability

- Brushes over potential crises around resources rather than addressing them or focuses primarily on cost reduction rather than quality and/or value for money

Examples/evidence:



Version 5.3 71




+ Takes care to manage impact on others; responsive to feedback about their own performance and champions continuous professional development

- Reluctant to share their own mistakes, vulnerabilities or short comings; puts minimal effort into their own learning and growth as a leader

+ Creates a learning culture; demonstrates a commitment to building leadership capability at organisational and system levels; admits to their own mistakes

- Displays little interest in developing the workforce; does not view talent management, capacity building or creating learning opportunities as a priority

+ Negotiates and brokers deals with their colleagues effectively; probes and challenges constructively to seek compromise or reach agreement

- Can come across as harsh or negative when challenging others; has the capacity to personalise issues and raise unnecessary conflict

+ Acts with courage and confidence; remains positive and persists in challenging circumstances

- Lacks the resilience required to drive a challenging agenda forward; may display pessimism and/or appear to lack motivation during difficult times

+ Transparent in their interactions; demonstrates values and personal style aligned with the interests of the local community and system; develops trusting relationships

- Fails to model transparency, resulting in others being reluctant to be honest about what they see as the real issues; may appear to have a hidden agenda

+ Evaluates the strengths, weaknesses, opportunities and challenges of solutions presented; implements stretching, adaptive solutions

- Looks at challenges through a narrow lens; may get drawn into too much detail/trying to solve operational problems

Examples/evidence:



Version 5.3 72




+ Encourages innovation, creativity and diversity of thought; facilitates and influences improvement at both local and national levels

- Displays negativity around the transformation of local services; may lack ambition or display scepticism about what can be achieved

+ Tests people’s ideas and suggestions in a constructive way; trusts their ideas and allows them to take calculated risks

- Quick to criticise new ideas or people who make mistakes; is risk averse, preferring to play it safe or take small steps rather than driving radical change

+ Creates the right conditions for change; thinks strategically, considers the big picture and what’s really needed in the future

- Does little to move change forward; inclined to focus on short-term considerations or internal factors rather than delivering strategic aims

+ Makes sense of complexity and ambiguity by distilling things down into priorities which others can easily understand

- Can be overwhelmed by complexity of complicate things unnecessarily; may make issues seem bigger than they are or allow priorities to become clouded

+ Considers the pros and cons of available information; makes clear and timely decisions, tough choices or considered risks

- Procrastinates or makes hasty decisions without first seeking to understand; may not value the importance of involving or consulting with staff and stakeholders in a meaningful way

+ Willing to concede individual goals and targets for the benefit of the organisation and wider system

- Puts personal ambition or self-preservation first; focuses on own agenda and point scoring rather than on shared goals and serving the community

Examples/evidence:



Version 5.3 73




another role.

Readiness:

Now

and/or




effectively?




role?




6 – 12

months

2 – 3

years






Version 5.3 74






• Insert here

• Insert here

• Insert here

• Insert here

• Insert here


•

•

•



Version 5.3 75



Yes □ No* □











Version 5.3 76



Completion should be recorded via Directorate PAs on ESR and a copy of the personal development plan should be sent to the Head of Organisational Development.

Additional Comments

Your comments:





Version 5.3 77

Your name: Date:


Your well-being








Other Comments



Version 5.3 78

Appendix E Pay Progression Policy – staff in post on 31 March 2019 1. CRITERIA

1.1. There will be a normal expectation of pay progression and no quotas will apply

within the CCG. All staff must have an equal opportunity to demonstrate the required standard of knowledge and skills to progress through the pay points.

1.2. All employees must be able to demonstrate that they possess the necessary

knowledge and skills required by their post. Where an employee is unable to demonstrate the required standard of knowledge and skills this will be regarded as constituting a significant weakness in performance as described in the NHS terms and conditions of service handbook.

1.3. Where a significant weakness in performance is identified and appropriate

notice and support has been provided pay progression will be deferred until possession of the necessary skills and competencies can be demonstrated. The factors which can be taken into consideration when determining whether an individual has displayed significant weakness in performance are:

1.3.1. A failure to successfully complete the CCG statutory and mandatory

training programmes within the time periods outlined by the CCG 1.3.2. A failure to deliver agreed objectives despite support to do so 1.3.3. Being in receipt of an active formal capability warning.

2. PRINCIPLES 2.1. There will be a normal expectation of progression and no national or local

quotas or targets will apply. All employees will be given an equal opportunity to satisfy the criteria laid down in section 4.

2.2. Pay progression cannot be deferred unless there has been prior discussion

between the employee and the line manager (which should be recorded on the standard proforma – Appendix F)

2.3. Pay Bands 8c, 8d and 9 progression into the last two points in the band will be

earned annually and only retained where the individual’s level of performance against locally agreed personal objectives is reached in the given year.

2.4. The CCG will monitor data concerning pay progression rates to ensure that

there is no discrimination or bias in relation to race, disability, gender, gender identity/reassignment, sexual orientation, religion or belief, age, pregnancy and maternity and marriage and civil partnership status.


Version 5.3 79

3. PROCESS 3.1. The line manager will take responsibility for initiating the process to withhold

pay progression and will work with the HR team as follows:

3.1.1. Step 1 – Three months prior to an employee’s incremental date the line manager should review the employee’s mandatory training, performance and performance towards the CCG competency framework and values. Following a discussion with the employee a notification will be sent which outlines the consequences of non-compliance, that a determination of significant weakness in performance may be made as a result and, if so, pay progression may be deferred until core mandatory training and agreed standards are maintained. The line manager will be required to inform the HR team should the employee not be expected to achieve compliance by their incremental date.

3.1.2. Step 2 – Where evidence of compliance is not available both the

employee and the line manager will develop an action plan to achieve compliance within the timescale.

3.1.3. Step 3 – One month prior to the employee’s incremental date a review

meeting should be set up to discuss progress and compliance. If the employee is not compliant, and there is little evidence that this will be achieved by the incremental date, then pay progression will be deferred unless there are extenuating circumstances. The line manager will need to inform the HR team of this decision and confirm this in writing to the employee.

3.1.4. Step 4 – The manager will be able to download an update of mandatory

training activity from the new training system. Should an employee have received pay progression despite having demonstrated a significant weakness in performance as a result of non-compliance at the time of their pay progression a three month support plan must be implemented in order to achieve compliance within this time period. This three month time period can be extended in exceptional circumstances.

3.2. Where pay progression is deferred, the employee’s incremental date, for that

year only, will change to the date upon which the set criteria is attained and will revert back to its original incremental date the following year.

4. EXTENUATING CIRCUMSTANCES 4.1. It is recognised that there may be exceptional circumstances where an

employee is prevented from participating in their statutory and mandatory training and/or performance development, these include:

4.1.1. Planned long term leave that is, maternity, paternity, secondment,

career break, adoption. If the planned leave coincides with the increment


Version 5.3 80

date, pay progression shall not be deferred. On return to work a support plan must be put in place and compliance achieved within three months from the date the employee returned to work. This three month time period can be extended in exceptional circumstances.

4.1.2. Long term absence – where an employee is on long term absence and

this is the sole reason for not achieving compliance; the employee should not be penalised. On return to work a support plan must be put in place and compliance achieved within three months from the date the employee returned to work. This three month time period can be extended in exceptional circumstances.

5. APPEALS PROCESS

5.1. Where an employee disagrees with the decision made to defer pay progression, the employee has the right to invoke the CCG’s Conduct, Performance, Grievance & Absence Management Policy: Grievance Procedure


Version 5.3 81

Appendix F Pay Progression: Non Compliance Confirmation Form

I am writing to confirm that [insert name] does not satisfy the criteria set out in the Pay Progression Policy before the employee’s pay progression date and I want to confirm that: a) There are extenuating circumstances which leads me, as their line manager to

agree that the employee should still progress through their increment. The extenuating circumstances are:

It has been agreed with the employee that they will attain compliance by the following date:

OR b) There are no extenuating circumstances and I am providing notification to

initiate the process that defers the employee’s pay progression until the following date if the employee satisfies the requirements of the Pay Progression Policy.

I confirm the following: (please tick)

That I have discussed the above action with the employee on [date] and he/she is fully aware of the implications.

We have jointly agreed a support plan that will be achieved in three months

Where pay progression is deferred, I have made the employee aware of their right to appeal this decision through the CCG’s Conduct, Performance, Grievance & Absence Management Policy: Grievance Procedure

Name Signature

Position Date


Version 5.3 82

Appendix G Pay progression for staff appointed or promoted since 1 April 2019

1. Background 1.1 The new pay progression system is effective from 1 April 2019 for new starters

or those promoted to a new role on or after 1 April 2019. 1.2 This guidance document sets out what the changes are and what action

managers need to take in order to implement the new system. 2. What has changed? 2.1 In the new Agenda for Change (AfC) pay structure there are fewer pay steps

within each band. This means that, although the time spent in-between pay step points is longer, staff reach the top of their band more quickly than before. As pay progression will no longer take place annually under the new system, the first pay step reviews will take place from April 2021, which is when staff joining or promoted from 1 April 2019 will reach their first pay step dates.

2.2 For newly appointed or promoted staff their incremental (pay step) date will be

the date they take up their post. 2.3 Staff in bands 2, 3, 4, 8a, 8b, 8c, 8d and 9 will have one pay step date, as

under the new structure these bands have an entry pay point and a top point. Staff in bands 5,6, and 7 will have two pay step dates as these bands have an entry point, an intermediate point and a top point.

2.4 To progress to their next pay step point, staff members must have met the

following nationally agreed standards:

1. The PDR process has been completed within the last 12 months and outcomes are in line with organisation’s standards, i.e. they have fully met their objectives

2. They are not in a formal capability process* 3. There is no formal disciplinary sanction live on their employment record** 4. They have completed all required statutory and/ or mandatory training 5. If they are a line manager – they have completed all the appraisals for

their staff as required

Note:

*Formal process means there has been an outcome placing the employee in a formal stage of the process. Investigation, informal stages and processes dealing with absence due to ill health are all excluded from pay progression standards.

**Refers to sanctions in relation to conduct only, and excludes warnings applied in relation to absence due to ill health. It refers to formal disciplinary sanctions such as formal warnings. It does not include investigations, informal warnings, counselling or other informal activities that may come within a disciplinary policy.


Version 5.3 83

2.5 The expectation is that all staff will meet the required standards and therefore be able to progress on their pay step date.

3. Re-Earnable Process for bands 8c, 8d and 9

3.1 Once staff in these bands have reached the top of their band, the expectation is that all staff will meet the required standards and will re-earn the relevant element of pay annually. The first point at which the re-earnable element becomes relevant is 12 months after staff have passed through their pay step point to reach the top of the band.

3.2 In the year after an employee has reached the top of bands 8c, 8d or 9, 5% or

10% of basic salary will become re-earnable. Where the nationally agreed standards for pay step review are not met salary may be reduced by 5% or 10% from the pay step date, subject to mitigating factors. The employee will be able to restore their salary to the top of the band at the end of the following year by meeting the required standards. The employee has the right to contest a decision to reduce their pay using the appeals process in section 8.

3.3 Robust monitoring arrangements will be in place for the use of annually re-

earned pay. 3.4 Staff on the top two points of these bands on 31 March 2013 have reserved

rights to the relevant point. This reserved right will be retained on a marked time basis. At the end of 2020/21, 5% of pay will become annually earned and then, when annual increases to the top of the band add a further 5%, annually earned pay will apply to 10% of basic pay.

4. PDR and Annual Review Meeting

4.1 The pay progression framework is underpinned by the mandatory annual PDR

process and is intended to ensure that all staff within each pay band have the appropriate knowledge and skills they need to carry out their roles and so make the greatest possible contribution to patient care.

4.2 Quarterly meetings should take place each April, May and June and will be

considered as the annual review meeting.. One to ones should be carried out monthly, throughout the year. The annual review meeting may occur at a different time to the pay step date.

4.3 It is important that staff are clear that there is a link between their performance

and pay step progression. A manager must be aware of and plan for the timely processing of pay step reviews for all their team.

4.4 If a manager is not able to confirm satisfactory performance at the time of the

PDR, they should set further regular dates to discuss ongoing expectations and targets to ensure that all possible support has been provided to the employee before the pay step date. These meetings and actions will be


Version 5.3 84

documented and the pay progression form should identify the reasons the employee will not receive a pay step.

4.5 Pay step points will be closed on the payroll system for new starters or those

promoted to a new role on or after 1 April 2019. Their pay step date will be the date they started in the role. This means that managers will be responsible for ensuring they know the details of their team’s pay journey (pay step progression does not take place annually) and in addition to the regular one to one review system currently in operation within the CCG, will undertake pay step reviews and notify payroll when pay step progression is granted or deferred.

Definitions: ‘New’ staff means all new starters on or after 1 April 2019, with the exception of staff making a side-ways move between NHS organisations. These staff remain subject to the current system, as above.

‘Promotion’ does not include acting-up or rebanding as a result of Job Evaluation (see section 10.1).

5. The Pay Step Submission Process 5.1 This flowchart explains the pay step submission process for the pay

progression system implemented on 1 April 2019.


Version 5.3 85

6. The Process – Pay Step Review Discussions: 6.1 It is the expectation that staff will have an annual appraisal, even in years

where they are not eligible for a pay step. 6.2 Staff will receive the support they need to meet the required standards, so

they can progress to the next pay step on their pay step date. A pay step review meeting should take place to confirm this. Managers should initiate this meeting in a timely manner. In the meeting you will draw on the staff member’s most recent appraisal and any relevant progress since then, as well as the other pay progression standards.

7. Deferring Pay Step Progression

• You may defer pay step progression for a staff member if you conclude they are not meeting the pay progression requirements, unless this is due to factors beyond their control or there are other relevant mitigating factors

• You will be required to follow the process outlined in the PDR and Pay Progression Policy to ensure that the payroll team are aware that pay progression is to be deferred and the reason for it

• You must advise the member of staff of their right to contest any decision to defer where the required level of performance is deemed not to have been met

• You must also work with the staff member to assist them to meet the expectations/ standards required and set out a plan with timescales and how any training and support needs will be met. Once these have been achieved to a satisfactory standard, the pay step can be applied

• Deferral of a pay step will not affect their next pay step date where they have one

• You should ensure that you meet with the staff member as soon as the standards have been met and take action to apply the pay step effective from the date on which they can show they met the standards.

7.1 Pay step progression will be deferred for staff with a live formal disciplinary

sanction on their employment record. Subject to meeting all other criteria, pay progression will be granted with effect from the day after the expiry of the warning. Future pay step dates will not be affected.

7.2 Pay step progression will be granted for staff subject to suspension, subject

to all other criteria being met at the point of suspension. 7.3 Pay step progression will be deferred for staff subject to a formal capability

process. Subject to meeting all other criteria, pay progression will be granted at the end of the formal process with effect from the agreed date that the required improvement was evident. Future pay step dates will not be affected.


Version 5.3 86

8. Appeals process for contested decisions 8.1 Employees can appeal their pay progression decision to their appropriate

Senior Manager (to be determined locally). This should be requested in writing, within 10 working days of the employee being told of the withholding of any increment, stating the reasons for the appeal. The appraising line manager will be responsible for arranging the review as soon as is practicably possible.

9. Absent staff

9.1 Pay step progression for staff on long-term planned absence, e.g. adoption or maternity will automatically be processed, subject to meeting the standards prior to their absence. If criteria was not met prior to their absence, the decision will be deferred until their return. Should the individual subsequently meet the criteria, pay step progression will be approved from an agreed date, backdated but taking into account the length of time to achieve the required improvements after returning to work.

9.2 Pay step progression for staff on long-term sick will automatically be

processed, subject to the individual meeting the standards at the point of going off sick.

9.3 Absences of less than one year should enable time for the pay step review

meeting to be held.

10. Other scenarios 10.1 Rebanding following Job Evaluation – moving to a higher band following a

job evaluation process is not deemed to be a promotion therefore, the current pay progression system still applies. The pay step date will be the anniversary of the agreed date the new job description is deemed to take effect.

10.2 Acting-up – this is not deemed to be a promotion and so the current pay

progression system still applies. If the pay step date is due during the acting up period, on returning to the substantive role, subject to meeting the criteria, the pay step will be approved and the pay step date is changed to the date the staff member returned to their substantive role.

10.3 Demotion following organisational change – this would result in no change

to the staff member’s pay progression arrangements.

11. Mitigating Factors

11.1 Individual circumstances must be taken into account when making a pay step decision. Successful achievement of some of the criteria for pay progression may not be wholly within the individuals’ control. For example, significant organisational issues may mean that a line manager has not completed all


Version 5.3 87

direct report appraisals, or objectives for senior staff may only have been partly met due to factors beyond their control.

11.2 Where pay step progression is granted without all criteria being met, a plan

must be agreed for the individual to achieve the required standards at the earliest opportunity. Where objectives need to be refined, this should be undertaken without delay. Where direct report appraisals have not been completed, priority should be given to those with imminent pay step review dates. There may be many factors to consider and the factors mentioned are examples only.

12. What do I need to do?

• Familiarise yourself with this guidance and associated documents.

• If you have new starters/ promotions within your team after 1 April 2019, make plans to set objectives for these staff at the earliest opportunity and ensure the monthly review process is in operation.

April 2019 – March 2021 Monthly/ annual reviews: Keep track of who in your team is subject to the new system and plan pay step

reviews accordingly – pay step progression does not take place annually pay step reviews will be more substantial sessions built into the current monthly review process in place for all staff

Carry out your role as outlined in the Performance Appraisal process Undertake monthly/ annual review discussions and pay step reviews for all

members of your team and ensure they are fully completed Ensure that if absence or other circumstances will prevent you from completing

the pay step reviews that you flag this to your manager at the earliest opportunity so that cover can be put in place

Ensure that all staff have access to and undertake statutory/mandatory and any essential skills training

Hold regular review discussions with staff on the basis of ‘no surprises’, so that if an individual may not be on track to reach their pay step step point, any areas for development or improvement are identified and remedial action taken at the earliest opportunity

Conduct an objective review of the individual’s work against the required standards as part of the pay step review process. This should include an assessment of the staff member’s achievement of any personal and or organisational objectives

Demonstrate you have encouraged and supported the staff member to achieve the standards required during each local appraisal process.

Ensure that staff understand what evidence they will need and its relevance to achieving the required standards.


Version 5.3 88

Pay step reviews: Undertake a meeting with the member of staff to review standards and follow

the pay step submission process Where a member of staff is not meeting the required standards, set a plan

following Performance Management Principles to support the individual Understand the required standards for progression and CCG procedures/

processes Give the staff member at least two weeks’ notice of their pay step review to

allow them to prepare. You should try not to postpone the pay step review, but where this is necessary, re-book without delay

Ensure that the staff member has access to any forms or materials they need as per CCG policy/ standards. This may include a copy of the previous review form and a copy of their job description and person specification.

Ongoing: Identify the skills and knowledge your staff already have and where there are

areas for development Be clear about how you can help your staff progress and what you might need to

do to support them Listen to and take account of any barriers or mitigating factors that may affect

your staff member so that their pay progression is not adversely affected by factors beyond their control

Find out what support is available across the CCG and how to access it Make sure you are meeting regularly with your staff to see that they have all the

resources they need to deliver their objectives Actions: Ensure you are fully equipped and comfortable to undertake the monthly review

and pay step review process and that your direct reports have been supported to be in a position to do the same

Ensure that you understand the pay step process and the requirements of you Familiarise yourself with the pay progression and monthly review/ pay step

review resources available to you Develop a schedule to ensure that regular discussions and annual reviews are

held with your direct reports, as well as the pay step review meetings Ensure that you know the pay step dates of all your direct reports, and that they

are also aware of their specific pay journey Further reading:

Pay Progression Pages - NHS Employers

NHS Pay Structure - AfC Handbook Section 2

Pay Progression - AfC Handbook Annex-23

Reading the new pay scales

Pay Journey Tool

Pay Progression Diagram

Pay Progression Scenarios

https://www.nhsemployers.org/your-workforce/2018-contract-refresh/pay-progression

https://www.nhsemployers.org/tchandbook/part-2-pay/section-1-pay-structure-england

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

https://www.nhsemployers.org/-/media/Employers/Documents/Pay-and-reward/Reading-your-pay-journey.pdf

https://www.nhsemployers.org/your-workforce/2018-contract-refresh/pay-journey-tool

https://www.nhsemployers.org/-/media/Employers/Documents/Pay-and-reward/2018-contract-refresh/Pay-progression/Pay-progression-diagram-Jan-19.pdf

https://www.nhsemployers.org/-/media/Employers/Documents/Pay-and-reward/2018-contract-refresh/Pay-progression/Pay-progression-scenarios.pdf

Appendix H Pay Progression for staff appointed or promoted since 1 April 2019

Pay Step Review Form

Employee name:

Employee role:

Manager name:

Date of pay step review:

Date pay step due:

Date of last appraisal:

Summary of pay-step review meeting

Employee’s summary

Manager’s summary

90

Standards for progression

Yes No

Has the appraisal process been completed within the last 12 months and outcomes are in line with the organisation’s standards? Is there a formal capability process in place? Is there a formal disciplinary sanction live on the staff member’s record? Has statutory and/or mandatory training been completed? For line managers only – have appraisals been competed for all their staff as required?

☐

☐

☐

☐

☐

☐

☐

☐

☐

☐

Assessment of standards

Is the pay-step approved or deferred

Approved?

☐

Deferred?

☐

Reasons for this decision

Signed (Manager) _________________________________________ Date __________

Signed (Director) _________________________________________ Date ___________

Signed (Employee) _________________________________________ Date ___________

Appendix I Equality Impact Assessment

Equality impact assessment

Title of policy, project or proposal:

POLICY FOR PERFORMANCE AND DEVELOPMENT REVIEWS, AND PAY PROGRESSION

Name of lead manager: Pippa Brown, Business Planning Manager

Directorate: Performance and Delivery

What are the intended outcomes of this policy, project or proposal?

This policy sets out a clear and simple process for carrying out performance development reviews. It

was previously known as the Policy for Appraisal, Development and Pay Progression and has been updated to incorporate a new CCG approach to performance and development.

Evidence

Who will be affected by the policy, project or proposal?

Identify whether patients, carers, communities, CCG employees, and/ or NHS staff are affected.

All CCG employees

Age

Consider and detail (including the source of any evidence) the impact on people across the age ranges.

All staff will be treated the same irrespective of their age

Disability

Consider and detail (including the source of any evidence) the impact on people with different kinds of disability (this might include attitudinal, physical and social barriers). Certain medical conditions are automatically classed as being a disability – for example, cancer, HIV infection, multiple sclerosis.

There is no new impact on staff imposed by this policy than those faced in their normal working day –

the values and behaviours are expected from all staff.

The policy states that all individuals should be treated fairly and equitably and account taken of any

issues that may mean the individual requires additional or alternative support in order to deliver the responsibilities of their job and progress in their career as far as they would like. The CCG and managers will work proactively to make reasonable adjustments, for those staff with a specific need to enable them to complete their forms and make appropriate arrangements for their 1-2-1 meeting with their staff.

92

Dementia

Given the CCGs commitment to commissioning ‘Dementia Friendly’ services, consider and detail any impact on people with dementia.

No special impact for those with dementia– all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

Gender reassignment (including transgender)

Consider and detail (including the source of any evidence) the impact on transgender people. Issues to consider may include same sex/ mixed sex accommodation, ensuring privacy of personal information, attitude of staff and other patients. No special impact for those with gender reassignment – all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

Marriage and civil partnership

Note: This protected characteristic is only relevant to the need to eliminate discrimination within employment. Where relevant, consider and detail (including the source of any evidence) the impact on people who are married or in a civil partnership (for example, working arrangements, part-time working, infant caring responsibilities). No special impact– all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

Pregnancy and maternity

Consider and detail (including the source of any evidence) the impact on women during pregnancy and for up to 26 weeks after giving birth, including as a result of breastfeeding.

Clear rules already apply under the Maternity, paternity, adoption leave & shared parental leave and pay policy to ensure the rights to pay progression are protected. The expectation is that an employee on maternity leave will progress through a pay progression gateway on the due date if concerns have not been raised about the employee’s performance prior to leave commencing.

Race

Consider and detail (including the source of any evidence) the impact on groups of people defined by their colour, nationality (including citizenship), ethnic or national origins. Given the demography of west Hampshire this will include Roma gypsies, travellers, people from Eastern Europe, Nepalese and other South East Asian communities. Impact may relate to language barriers, different cultural practices and individual’s experience of health systems in other countries.

No special impact– all staff should be treated equitably by their reporting officer, if not this should be

reported to the reporting officer’s line manager.

93

Religion or belief

Consider and detail (including the source of any evidence) the impact on people with different religions, beliefs or no belief. May be particularly relevant when service involves intimate physical examination, belief prohibited medical procedures, dietary requirements and fasting, and practices around birth and death.

No special impact– all staff should be treated equitably by their reporting officer, if not this should be

reported to the reporting officer’s line manager.

Sex (gender)

Consider and detail (including the source of any evidence) the impact on men and women (this may include different patterns of disease for each gender, different access rates).

No special impact– all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

Sexual orientation

Consider and detail (including the source of any evidence) the impact on people who are attracted towards their own sex, the opposite sex or to both sexes (lesbian, gay, heterosexual and bisexual people). No special impact– all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

Carers

Consider and detail (including the source of any evidence) the impact on people with caring responsibilities. This must include people who care for disabled relatives or friends (as they are protected by discrimination by association law), but you should also consider parent/ guardian(s) of children under 18 years. Carers are more likely to have health problems related to stress and muscular-skeletal issues, they may have to work part-time or certain shift-patterns, or face barriers to accessing services. No special impact– all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

Serving Armed Forces personnel, their families and veterans

The needs of these groups should be considered specifically. The CCG has a responsibility to commission all secondary and community services required by Armed Forces’ families where registered with NHS GP Practices, and services for veterans and reservists when not mobilised (this includes bespoke services for veterans, such as mental health services). No special impact– all staff should be treated equitably by their reporting officer, if not this should be reported to the reporting officer’s line manager.

94

Other identified groups

Consider and detail (including the source of any evidence) the impact on any other identified groups. Given the demography of west Hampshire this should include impact of:

- Poverty

- Living in rural areas

- Resident status (migrants and asylum seekers). No impact

• Involvement and consultation • For each engagement activity, briefly outline who was involved, how and when they were engaged, and

the key outputs

How have you involved stakeholders with an interest in protected characteristics in gathering

evidence or testing the evidence available?

The Staff Forum, staff reference groups, Learning and Growth Committee, Executive Group have all

reviewed and contributed to the development of the new behaviours and PDR documentation set out in this policy.

How have you involved/ will you involve stakeholders in testing the policy, project or

proposals?

Our Contractors Silver Maple held workshops to develop the behaviours. The outcomes of this has

been shared and commented on by the Staff Forum, Learning and Growth Committee and the Executive Group. Training is being provided for those who have to deliver PDRs.

Equality statement Considering the evidence and engagement activity you listed above, please summarise the findings of the impact of your policy, project or proposal. Consider whether the evidence shows potential for differential impact, if so state whether adverse or positive and for which groups.

Impact summary (statutory considerations) Age Neutral Disability Neutral Sexual orientation Neutral Race Neutral Religion or belief Neutral Gender reassignment Neutral Sex Neutral Marriage and civil partnership Neutral Pregnancy and maternity Neutral

95

Other policy considerations Poverty Neutral Place (Rural versus urban living) Neutral Serving Armed Forces/ veterans Neutral Other factors Neutral Have you identified any positive or negative impacts?

No If ‘Yes’ please provide details below

Positive impacts

Where there is evidence, provide a summary of the positive impact the policy, project or proposal will have for each protected characteristic, and any other relevant group or policy consideration. This should include outlining how equal opportunities will be advanced and good relations fostered between different groups.

Aiming to ensure all staff receive a performance development review including discussion of their career progression. Also that decision about pay progression is fair and inclusive for all staff.

This policy also supports our work to increase diversity at every level of the organisation and our efforts to reduce the gender pay gap.

Negative impacts

Where there is evidence, provide a summary for each protected characteristic and any other relevant group or policy consideration. If the evidence shows that the policy, project or proposal will or may result in discrimination, harassment or victimisation this must be outlined. Potential that unconscious bias by the line manager in decision making on progression. Need to monitor the protected characteristics of those not granted pay progression in order to identify potential unconscious bias.

Health inequalities

Please outline any health inequalities highlighted by the evidence (for example, differential access to services or worse health outcomes for particular groups or localities).

None

96

Action planning for improvement, and to address health inequalities and discrimination

Please give an outline of the key actions based on any gaps, challenges and opportunities you have identified. Include here any general action to address specific equality issues and data gaps that need to be addressed through consultation or further research.

Action Person responsible By date

Need to add into success criteria section of the policy the need to monitor the

protected characteristics of those not granted pay progression in order to identify potential unconscious bias.

Pippa Brown 09/05/18

Complete

For your records

Role of person who carried out this assessment: Business Planning Manager

Date assessment completed: 9 May 2018

Date to review actions: 16 May 2018

Responsible Director: Director of Performance & Delivery

Date assessment was approved: