NHSScotland 'Once for Scotland' workforce policies: consultation

4. Personal Development Planning and Performance Review Policy

4.1. Aim

4.1.1. The Personal Development Planning and Performance Review Policy aims to provide a framework to make sure all employees:

• Actively participate in appraisal, personal development planning and related activities.
• Have the skills and knowledge to deliver the required standards of their role.

4.2. Scope

4.2.1. This policy applies to all employees and bank and sessional workers. References to employees should be taken to apply to bank and sessional workers unless otherwise stated.

4.2.2. This policy complies with current legislation and meets the aims of the Public Sector Equality Duty of the Equality Act 2010.

4.3. Definitions

4.3.1. An appraisal is a meeting between a reviewer and an employee to discuss their performance over the past 12 months.

4.3.2. Continuous professional development (CPD) is a process of ongoing learning activities. It is used by employees to develop and maintain the necessary knowledge and skills to work effectively. CPD is mandatory for some roles.

4.3.3. Mandatory training is training required by NHSScotland or individual boards.

4.3.4. Objectives are clear statements agreed by the employee and the reviewer that set out what should be achieved at work over the next 12 months. They can also support the employee’s career progression.

4.3.5. A personal development plan (PDP) is an ongoing process which records the employee’s agreed PDP activities over the next 12 months. This should identify any learning and development needs and activities, and training.

4.3.6. Revalidation is the process that some healthcare professionals follow in order to maintain their registration with a regulatory body and ensure their fitness to practise.

4.3.7. Reviewer is the person who undertakes the appraisal. The reviewer is normally the employee’s manager. However, a colleague with knowledge of the employee and their role could be appointed to be the reviewer by the manager.

4.3.8. Scottish Online Appraisal Resource (SOAR) is the online system used to support and facilitate the appraisal process for doctors working in Scotland.

4.3.9. Statutory training is training required by legislation.

4.3.10. Turas Appraisal is an online system used to support the personal development planning and performance review process for NHSScotland Agenda for Change employees, and executives and senior managers.

4.4. Roles and responsibilities

4.4.1. There is a range of standard expectations which underpin all policies. Read more about standard roles and responsibilities. In addition, the following specific responsibilities apply to this policy.

4.4.2. Manager

4.4.3. The manager should:

• Make sure team details held on Turas Appraisal, SOAR or other relevant systems are accurate.
• Make sure employees have access to the relevant system.
• Make sure every employee has an annual appraisal discussion to review their performance and agree their personal development plan. This may be undertaken by the manager or a designated reviewer.
• Allow employees protected time to prepare for their appraisal.
• Consider reasonable adjustments required to support the process in response to the employee's declared needs under the Equality Act 2010.
• Help employees understand what their employer expects of them as part of the personal development planning and performance review process.
• Make sure employees are supported to undertake statutory and mandatory training.
• Regularly provide constructive and positive feedback on the employee’s work and related development.
• Promptly discuss any performance concerns in line with the appropriate NHSScotland workforce policy.

4.4.4. Reviewer

4.4.5. If the reviewer is not the manager, they should:

• Make sure they have the required information from the manager or key stakeholders to prepare for the appraisal.
• Make sure they have the necessary skills to undertake the appraisal.

4.4.6. For medical and dental reviewers, there is a requirement for the individual to be on the medical or dental register and have undertaken appropriate appraisal training.

4.4.7. Employee

4.4.8. The employee should:

• Actively participate in the appraisal process.
• Take ownership for their learning and development and seek to achieve the agreed outcomes identified through the process.
• Undertake all statutory and mandatory training.
• Advise the reviewer of any factors impacting their ability to achieve the agreed outcomes and learning plan.

4.5. Procedure

4.5.1. NHSScotland is committed to making sure employees are appropriately trained and developed in line with the Staff Governance Standard. The organisation will equip employees to meet current and anticipated future service needs through relevant learning and development. Well-structured appraisals will support this. They can also improve staff engagement, employee health and wellbeing, and patient outcomes.

4.5.2. There are 3 different appraisal systems depending on the staff group. These are:

• Agenda for Change
• Medical and Dental
• Executive and senior managers

4.5.3. The personal development planning and performance review process provides a clear framework for managers to give feedback and to support employees. Managers or reviewers should meet with employees regularly, or at least annually, to discuss the employee’s progress and provide any feedback.

4.5.4. Regular meetings are also an opportunity to discuss any issues or challenges. The manager or reviewer should address any issues affecting the employee's performance as they arise. They should only raise issues previously discussed with the employee at the appraisal meeting. Any performance or capability issues should be managed in line with the Capability Policy.

4.5.5. There are 3 elements to the personal development planning and performance review process:

4.5.6. Performance Review

4.5.7. The first step is for the manager or reviewer to meet with the employee to discuss their performance over the review period, usually 12 months. For some employees this will also include a mid-year review. The employee and reviewer should agree a date for the review with sufficient time to allow for preparation.

4.5.8. The review step involves the employee reflecting on their own performance and the manager or reviewer giving objective feedback. It includes both praising good work and providing guidance on improving work performance where necessary.

4.5.9. The review should consider the following:

• what went well
• what could have gone better
• what difference does the employee want to make next year

4.5.10. Further information is available in the following documents:

• Manager guide [insert hyperlink to Manager guide]
• Employee guide [insert hyperlink to Employee guide]

4.5.11. For new employees the purpose of the initial review meeting is to set objectives and agree a PDP for the coming year.

4.5.12. Objectives

4.5.13. The reviewer and the employee should agree a number of work objectives for the following 12 months. The number may be specified depending on the staff group. Objectives should be Specific, Measurable, Achievable, Realistic and Time-bound (SMART). Objectives should also reflect organisational priorities and needs.

4.5.14. The employee's objectives should inform ongoing discussions, appraisal and PDP for the coming year.

4.5.15. Personal development plan (PDP)

4.5.16. The PDP is an agreed learning and development plan. It should be driven by work priorities and objectives and include any areas for improvement identified in the performance review. Statutory and mandatory training requirements are a key element of personal development. Consideration can also be given to wider development and career aspirations.

4.5.17. Managers should meet with employees who are new to the role within 3 months of their start date to agree the following:

• objectives
• training that new employees must complete within their induction period
• PDP for the coming review period

4.5.18. Some employees must revalidate with a regulatory body such as:

• General Medical Council (GMC)
• Nursing and Midwifery Council (NMC)
• Health and Care Professions Council (HCPC)
• General Dental Council (GDC)

4.5.19. Employees can use the PDP process when producing the required evidence.

4.5.20. Recording and monitoring

4.5.21. The completion of the personal development planning and performance review on the appropriate system is required to maintain individual records of the process and produce organisation level data. NHS Boards should monitor the level of reviews undertaken to measure compliance against national targets.

4.5.22. Related policies

4.5.23. The following policy is related to the Personal Development Planning and Performance Review Policy:

• Capability Policy

4.6. Supporting documentation

It is proposed that the supporting documents listed below will be developed to support the policy. Supporting documents are not part of the consultation. These will be drafted following the consultation when responses have been analysed and the policy is developed in a final draft.

• Employee guide

Descriptor: guide to help employees use and understand the Personal Development Planning and Performance Review Policy. This will include the areas that must be considered to fully engage in the process.

• Manager guide

Descriptor: guide to help managers use and understand the Personal Development Planning and Performance Review Policy. This will include the areas that must be considered to support employees to attain the skills and knowledge to deliver the required standards of their role.

• Personal development planning and performance review policy flowchart

Descriptor: visual and text alternative flowcharts outlining the key steps in the Personal Development Planning and Performance Review Policy.

4.7. Consultation questions

We are inviting responses to this consultation using the Scottish Government’s consultation hub. The following questions are set.

In your response, all questions have the option to answer yes or no. You are invited to provide further comment in a free text box. If you wish to make specific reference to a section of the policy, please quote the relevant numbered line in this consultation document.

1. Do you feel there are any gaps in the policy?

2. Do you feel there are any gaps in the proposed list of supporting documents?

3. Do you have any other comments to make on the policy?

4. Do you have any views on the potential impacts of this policy on equalities groups?

It is against the law to discriminate against someone because of: age, disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, sex or sexual orientation. These are protected characteristics under the Equality Act, 2010.