APPRAISAL GUIDANCE NOTES FOR APPRAISERS · APPRAISAL GUIDANCE NOTES FOR APPRAISERS 1. Introduction ... If there is a difference of opinion, you will need to discuss their ... provided

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APPRAISAL GUIDANCE NOTES

FOR APPRAISERS 1. Introduction

These Notes are to help you prepare for the annual appraisal meetings with your staff,

to make sure that the meeting is effective and productive.

You will need to take some time to think about the performance of the Appraisee. It is

important that progress and achievements are properly recognised, and also that any

difficulties are addressed honestly and openly, so that improvements can be made.

The outcome of the appraisal meeting should be an agreed summary of performance

over the last 12 months, and an agreed plan for the next 12 months, which may include

specific objectives or tasks for the Appraisee to complete. This forward plan should be

linked to Nugent’s Strategic Plan, Strategic Business Objectives and the Annual Business

Plan for your Home/School/Project/Department, so that it is clear how the Appraisee’s

achievements will contribute to the Strategic Objectives and the Business Plan. It should

also be linked to the Key Lines of Enquiry that form the basis of Supervision, so that it is

clear how the Appraisee’s work during the year will support the quality of service

delivery. This applies to Central Office staff as well as operational staff.

2. Preparation Form

The attached form is for you to complete in advance of the appraisal meeting to record

your thoughts and assessments. The form includes space for Looking Back on the

performance over the last 12 months, and Looking Forward to the work which needs to

be done over the next 12 months.

Looking Back

To assess the individual’s performance over the last 12 months, you will need to refer

to:

Supervision Records – this is the main source of information to summarise their

performance over the year. To help with this, the Appraisal covers the same five

categories of performance as are used in Supervision.


The Job Description/Person Specification – have they performed the full range of

tasks/responsibilities, and shown the required skills?

Nugent’s Strategic Plan, Strategic Business Objectives and the Annual Business

Plan for your Home/School/Project/Department – how have they contributed to

the achievement of the Strategic Objectives and the previous Plan?

Organisational Training Specification – what is the required training for their

role?

Individual’s Training Record – have they completed all the Mandatory and Role-

Essential training?

Looking Forward

At the appraisal meeting, you will discuss your expectations of the individual over the

next 12 months. Use the preparation form to set out the tasks or actions that you need

the individual to undertake. These will include any actions to rectify performance issues

from the previous year, and work linked to the Nugent’s Strategic Plan, Strategic

Business Objectives and the next Annual Business Plan. You will need to refer to:

The Job Description/Person Specification – does this need to change to reflect

current or new job/skill requirements?

Nugent’s Strategic Plan, Strategic Business Objectives and the next Annual

Business Plan – how will the individual contribute to achieving the Plan for your

Home/School/Project/Department?

Organisational Training Specification – do they need to undertake or complete

any Mandatory or Role-Essential training, or any refreshers?

When you have completed the form, you can share it with the individual in advance of

the appraisal meeting, preferably at the last supervision session before the appraisal, if

you feel this would help the discussion. The individual will complete their own

preparation form, and may share this with you.

3. Appraisal Meeting

The individual should have an awareness of their level of performance from the regular

feedback they have received from you. It should not be necessary to raise any issues

that the individual is not aware of, unless they have arisen very recently. The important

principle is that there should be no surprises at the appraisal meeting.

You should encourage the individual to talk about their own performance, in addition to

giving your views. If there is a difference of opinion, you will need to discuss their

performance in more detail with them, referring to specific examples from the

Supervision records. Individuals can also underestimate their achievements, so be sure

to mention their successes even if they don’t. The meeting should end in an agreement

between you and the individual about their achievements and level of performance.


Discussing an individual’s performance with them requires good interpersonal and

communication skills, and emotional intelligence. The key elements our iACCORD

philosophy here are integrity, Courage and Respect. The appraisal meeting should

reflect the beliefs and behaviours set out in the Strategic Plan. These are included as an

Appendix to this Guidance.

Training in Appraisal Skills is available from the Learning & Development Department,

and you should consider with your manager whether or not you would benefit from

this.

4. Career Development

The individual should be encouraged to think about their future career and how this

might develop. Nugent aims to provide staff with opportunities for career development

where possible, to retain skills within the organisation and to assist with succession

planning.

If you think the individual has the potential to move to a different or more senior role,

be prepared to discuss this with them at the appraisal meeting.

Of course, the individual may be satisfied with their current role, in which case they will

be supported to give their best in that role.

5. Appraisal Record Form

You should complete the attached Appraisal Record form during or shortly after the

meeting, noting the agreed summary of their performance, and the objectives for the

current year. In addition to the Looking Back/Looking Forward sections, you should note

any discussions about career development, and, importantly, set out their Development

Plan for the year.

Send the form to the individual for them to make any additional comments in the space

provided on the form, and to sign it. When they have done this, you will countersign it

and give a copy back to them. A further copy must be put on their supervision file. For

staff in registered services, this file is held locally. You will need to refer to the Looking

Forward section of the Record Form when you prepare for the regular Supervision

meetings.

Each individual’s Development Plan will be entered on to the Training Needs Analysis for

your Home/School/Project/Department. This is a document produced jointly by the

Learning & Development Department and the Head of Home/Project, and which is

monitored during the year. More details of this process are set out in the Training

Procedure.


Each individual’s Development Plan should be sent by email to

[email protected]. If Heads of Home/School/Project/Department have not

carried out the appraisal personally, they can decide locally if they wish to see the

Development Plan before it is emailed. A copy of the Plan should be placed on the

individual’s local training file for inspection purposes. Plans will be collated centrally,

and the appropriate L&D Officer will liaise with the Head of Home/School /Project/

Department regarding the training needs for that establishment.

6. Disputes

The individual should have the opportunity to query any comments you have made

before signing the form. In the event of a dispute regarding the information on the

Record Form, which cannot be resolved through discussion with the individual, refer the

matter to your manager, who will attempt to resolve the issue. If this is not possible, the

matter will be referred to the appropriate Director/Assistant Director.

7. Timescales

The Appraisal process links with the annual Business Planning and Budget setting

cycles.

The Business Plans for your Service and Home/Project/School/Department should be

available prior to April each year, so you can refer to them when setting objectives for

the forthcoming year.

The estimated cost of training and development needs to be factored in to the Budget

setting process, which takes place in September each year. These costs are calculated

based on the information given in the Development Plans, and in order to give sufficient

time for this process to take place, individual appraisal meetings must be completed by

the end of June.

The timescale for carrying out all of your appraisals is therefore April to June each

year.

8. Further Advice

If you need further advice on planning and carrying out appraisals, contact the HR

Department.

For further advice on Mandatory and Role-Essential training, or on Development

Planning, contact the Learning & Development Department

mailto:[email protected]


APPRAISAL PREPARATION – APPRAISER

Name of Appraisee: [ ] Job Title: [ ]

Use this form to prepare for the annual appraisal meeting. You can share the form with the Appraisee before the meeting if you wish,

or just refer to it during the meeting. The Appraisee will also prepare their comments in advance, and may share these with you before

the meeting.

LOOKING BACK


Caring: Developing positive caring relationships, involving people in decisions about their care and promoting privacy, dignity

and respect

Notes for Discussion


Safe: Protecting people from harm or abuse, managing risks, managing medicines and controlling infection


Effective: Applying your training in practice, seeking consent to treatment, supporting people to eat and drink, maintain their

health and have their individual needs met



Responsive: Responding to people’s changing needs, and listening and learning from people’s experiences, concerns and

complaints



Contribution to the Annual Plan and Strategic Business Objectives


Well - Led: Communication and support among your team, creating an open and positive culture that is inclusive and

empowering,

and ensuring the delivery of high quality services



LOOKING FORWARD

Objective/project/task for the next

year

Action Business Plan ref. Key Line of

Enquiry ref.


APPRAISAL RECORD

Appraisee: [ ] Job Title: [ ]

Home/School/Project: [ ] Appraiser: [ ]

Date of Appraisal Meeting: [ ]

This form should be completed either during or shortly after the appraisal meeting, summarising the discussion and recording agreed actions.

The form must be signed by both the Appraiser and Appraisee.

LOOKING BACK

Summary of performance over the last 12 months, agreed by Appraiser and Appraisee.


Caring: Developing positive caring relationships, involving people in decisions about their care and promoting privacy, dignity

and respect

Discussion Notes Action by whom/when

Safe: Protecting people from harm or abuse, managing risks, managing medicines and controlling infection



Effective: Applying your training in practice, seeking consent to treatment, supporting people to eat and drink, maintain their

health and have their individual needs met


Responsive: Responding to people’s changing needs, and listening and learning from people’s experiences, concerns and

complaints

Discussion Notes

Action by whom/when


Contribution to the Annual Plan and Strategic Business Objectives


Well - Led: Communication and support among your team, creating an open and positive culture that is inclusive and

empowering,

and ensuring the delivery of high quality services



Any additional comments by Appraisee

LOOKING FORWARD

Summary of individual objectives or tasks to be undertaken by the individual, based on Nugent’s Strategic Plan, Strategic Business

Objectives and the Annual Business Plan for the forthcoming year.

Objective/project/task Action Business Plan ref. Key Line of

Enquiry ref.

Time Scale


CAREER DEVELOPMENT

Record of any future career plans or aspirations discussed with the Appraisee. Actions may be agreed for the next 12 months or over a

longer period. Where possible, support over the long term should be made available.

Career plan Future Actions


JOB DESCRIPTION

Does the Appraisee’s Job Description or Person Specification need to change for the forthcoming year? Yes/No

If Yes, have you discussed the necessary changes with the Appraisee? Yes/No

If No, arrange to meet again with the Appraisee to discuss the changes before signing off this Appraisal Record.

CONFIRMATION

The agreed outcome of this Appraisal Meeting is:

the overall assessment of performance in the previous year set out above

the set of actions/tasks or projects required in the forthcoming year set out above

where necessary, agreed changes to the job description

a Development Plan for the forthcoming year as set out below

a discussion about future career development

Appraiser’s signature: [ ] Date: [ ]

Appraisee’s signature: [ ] Date: [ ]


DEVELOPMENT PLAN

Name of Employee: [ ] Job Title: [ ]

Service/Establishment: [ ]

Category of Training

(refer to Organisational Training

Specification)

Subject/Award Reason for undertaking – eg. new

appointee, refresher, new/further skill

required (specify), completion of Award,

etc

Mandatory

Role – Essential

Personal Development/Career Plan

Copies of this Appraisal Record should be given to the Appraisee, and put on their personal file.


iACCORD

OUR VALUES, BELIEFS AND BEHAVIOURS

Value Synonyms Belief Behaviour Words that have

the same spirit or

meaning as our

chosen value

words

These are the beliefs

that we have as an

organization based on

our values.

These are the behaviours we

would expect of ourselves given

our shared values and beliefs.

i Integrity Honesty

Trust

Openness

Fairness

Truth

Justice

As a health and social

care provider we

should have strong

moral principles

We do what we say we are going

to do.

We ensure our decisions are

underpinned by our values.

We are consistent, open and

fair.

We are open and provide

constructive feedback.

We are inquisitive and open to

ideas.

We share knowledge and

information with each other.

We confront ethical and legal

dilemmas immediately.

We use resources entrusted to

us responsibly.

A Ambition Commitment

Dedication

Passionate

Creative

Professional

Cooperation

In order to provide the

best outcomes for our

service users we

aspire to be the best

we can be.

We are collaborative.

We constantly strive to be

outstanding.

We make a positive difference.

We manage our finances

diligently.

We ensure we deliver high

quality care.

We work as a team to ensure

our success.

We focus on the balance

between important business

issues for the charity and care

provision.

We ensure that we are seen as a

provider of choice and quality

services by our regulators.

We continue to ensure we

maintain a skilled, emotionally


intelligent and diverse

workforce.

C Courage Bravery

Safety

Determination

Fortitude

We must do what is

right even if it is

difficult to do.

We keep people safe.

We bravely travel new roads and

build up or challenge accepted

wisdom and practice.

We clarify our expectations with

each other and promote

change.

We advocate and are the voice

of the voiceless.

We are brave enough to have

difficult conversations.

We take on difficult times in the

best interest of the service user.

We are accountable and take

responsibility.

We learn from our mistakes.

C Compassion Kindness

Caring

Loving

Patience

Those that are

suffering deserve to

be helped.

We ensure that our decisions

are made with the best interest

of our service users in mind.

We treat others as we wish to be

treated.

We show that we care by being

kind.

We are comforting.

We continue to make our

services available to people who

are most in need of them.

We ensure our care is evidence

and outcome based.

O Optimism Humour

Fun

Faith

Happiness

Hope

Expecting the best

possible outcome

from any given

situation.

We believe we will succeed.

We use appreciative enquiry to

clarify our understanding.

We are solution focused.

We celebrate our successes.

We are eager for innovation.

R Respect Consideration

Polite

Courteous

Treat others as we

wish to be treated.

We show consideration for one

another.

We respect each other views

and listen.

We give praise where it is due,

and challenge where we need

to.

We care for the environment.

We respect the spirit of our

Collective Agreement.

We continue to involve service

users in the planning and

development of services.

D Dignity Peace

Ethical

People have an innate

worth, value and

distinction.

We strive to provide dignity at

work.


We value and respect equality

and diversity.

We are supportive of the Living

Wage and equal pay for equal

work.

We treat people well knowing

they are valuable and important.

We respect individual’s

privacy.

We provides service that we

would be happy to receive

ourselves.

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APPRAISAL GUIDANCE NOTES FOR APPRAISERS · APPRAISAL GUIDANCE NOTES FOR APPRAISERS 1. Introduction ... If there is a difference of opinion, you will need to discuss their ... provided