THE NEWCASTLE UPON TYNE HOSPITALS NHS FOUNDATION TRUST
PERFORMANCE APPRAISAL AND DEVELOPMENT REVIEW (JOINT REVIEW)
Effective from: May 2006 Review Date: May 2009
The purpose of this policy is to ensure that each individual member of staff
undertakes an annual appraisal (joint review), and that this is managed effectively
to support the achievement of organisational goals, and agreed personal
development objectives. Annual appraisal is the key process through which
performance management, development review and personal development
planning is carried out.
1.1 The principal aims of performance appraisal are to:
- review performance over the last year, recognising effective performance
and identifying barriers to effective performance
- clarify roles and expectations
- agree and set work objectives for the forthcoming year, determining the
support required to achieve these
- identify learning needs against the KSF outline and planning personal
development to most effectively meet these within the resources available
(Ref Section 2)
2. THE KNOWLEDGE AND SKILLS FRAMEWORK (KSF)
The purpose of the NHS KSF is to guide the effective learning and development of
individuals, with all members of staff given support and resources as applicable to
learn throughout their careers and to develop in a variety of ways.
2.1 The KSF is a tool which has been developed nationally, in partnership with
Management, Trade Union and Professional Bodies. This is to be used to
outline the development of an individual in a job, thereafter referred to during
the ongoing cycle of review, planning, development and evaluation of
learning, linking it to both organisational and individual development needs.
2.2 The KSF has within it a number of dimensions which at defined points
(Gateways) provide the basis for pay progression within bands. Six
dimensions have been defined as core to the NHS – these dimensions occur
in everyone’s job. Additional dimensions have been identified – these relate
to some jobs and not others. Most jobs will be made up of the core
dimensions and approximately 3-6 of the specific dimensions. These
dimensions form the KSF job outline (refer to the NHS Knowledge and Skills
Framework (NHS KSF) and the Development Review process, DOH 2004).
2.3 Each dimension of the KSF is further elaborated by a series of level
descriptors, which show successively more advanced levels of knowledge
and skills and/or the increasing complexity of application of knowledge and
skills to the demands of work. Each level builds on the preceding level(s).
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2.4 Attached to each level descriptor are:
- indicators – these describe the level at which knowledge and skills need
to be applied and are designed to enable more consistent and reliable
application of the dimensions and descriptors across the NHS.
- examples of applications – to illustrate how and to what the dimensions,
level descriptors and indicators could be applied across the jobs in the
NHS. (These are not inclusive)
- references – to enable users to find further information and connections
to the framework and more detailed descriptions of competence for
specific areas of work. The NHS KSF should be used to inform planning
for progression as well as for the current post. Learning and
development, and career progression, are not just about moving up the
same dimensions in the KSF outline of that post, but are also relevant to
an individual’s potential and aspirations.
2.5 Pay Gateways
In most years pay progression will take the form of an annual increase in pay
from one pay point within a pay band to the next. There is an expectation
that individuals will progress through the paypoints on a pay band by
applying the necessary knowledge and skills to the demands of the post.
At defined points in a pay band, called Gateways, decisions are made about
pay progression as well as development. There are two gateways in each of
the nine pay bands.
2.5.1 The foundation gateway, based on a ‘sub-set’ of the KSF outline. This
is fixed at one year into a post, applicable to those commencing on
the first incremental pay point. The purpose of the foundation gateway
is to check that individuals can meet the basic demands of their post
on that pay band.
2.5.2 The second gateway, based on the full KSF outline. This is at a fixed
point below the final incremental point, and is variable (as set out in
the National Agreement) between the nine pay bands, depending
upon the number of incremental pay points. The purpose of the
second gateway is to confirm that individuals are applying their
knowledge and skills to consistently meet the full demands of their
post as set out in the full NHS KSF outline for that post. Having gone
through the second gateway, individuals will progress to the top of the
pay band provided they continue to apply the knowledge and skills
required to meet the NHS KSG outline for that post.
2.5.3 Regulated healthcare professionals, newly qualified on completion of
a pre-registration education programme will enter Band 5 at the first
incremental paypoint. Staff in this position will be expected to
complete a six month period of Preceptorship, designed specifically
for the post to which they have been appointed. On provision of
evidence that the Preceptorship outcomes have been successfully
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achieved, pay progression to the second incremental paypoint will be
authorised. The individual will then be supported to develop the
necessary knowledge and skills to enable movement through the
foundation gateway stage to progress to the third incremental
2.6 Locally determined competencies are incorporated into each job
outline as applicable to the requirements of the job.
2.6.1 In the event of an individual declaring or developing a disability, then
the NHS KSF post outline may be modified in response to this
disability, consistent with the requirements of the Disability
2.6.2 This will be agreed between the post holder’s manager, the post
holder and the Personnel Manager. If applicable the post holders
Trade Union Representative may be involved. The modified outline
should be used at the foundation and second gateway for this
2.6.3 Annual appraisal (joint review) must be completed, with positive
outcomes of this evidenced in order for incremental pay progression
to be authorised by the departmental manager. Notification must then
be forwarded to Payroll Services who will process incremental
payment, and to the Personnel Department for corporate recording
2.6.4 In the event of a manager failing to ensure that appraisal (joint review)
has been completed within a maximum of two months after the
incremental date, then payment will proceed from the incremental
2.6.5 It is the expectation that an individual will progress up the pay band on
an annual basis provided they are able to provide sufficient evidence
of effectively applying knowledge and skills as agreed at each
incremental point including Gateway points (ref 220.127.116.11).
2.6.6 Once progression has been agreed an employee will normally
progress to the next point of their pay band twelve months after
appointment and to subsequent points every twelve months
thereafter, subject to meeting the criteria for progression when they
pass through the second gateway point.
3. RESPONSIBILITIES FOR PERFORMANCE APPRAISAL AND DEVELOPMENT
3.1 The Trust
All individuals, whether undertaking the role of appraiser, or whether being
appraised (appraisee) must have undertaken training/updating prior to
participating in the performance appraisal and development review process.
3.1.1 The Training Department will provide opportunities for
training/updating appraisers and appraisees, maintaining a flexible approach
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to scheduling training to ensure that there is equality of opportunity to access
3.1.2 The Training Department will co-ordinate and prioritise the provision of
training opportunities to meet identified learning needs resulting from
personal development plans, which are documented within
Directorate/ Departmental Training Plans.
3.1.3 The Trust will audit the number of staff who have undertaken an
appraisal (joint review), and subsequent PDP, to obtain a corporate
view. Ref 3.2.7.
Annual Performance appraisal and development (joint review) must be
completed by all staff within the terms of this policy, in compliance with NHS
Agenda for Change principles.
3.2.1 Each manager must ensure that this process is in place within their
area of responsibility, and that all their staff have undertaken
appropriate training/updating to effectively participate.
3.2.2 The role of appraiser should be delegated to the most appropriate
person/s, on a cascade basis within each team. The appraiser would
normally be in a supervisory/line management position to the
appraisee, with the authority to agree objectives. The appraisee must
be in a senior position to that of the appraisee, and be familiar with the
appraisee and their application to work. To ensure individual
objectives are set within the overall objectives/direction of the team,
an appraiser should not normally carry out an appraisal before their
own appraisal has been completed.
3.2.3 The review should be against the KSF outline of the job, and be
informed by the appraisee’s personal development plan.
3.2.4 Appraisers are responsible for recording joint reviews and their
outcome. Such records should be held by the appraiser, in
confidence, and a copy held by the individual appraisee.
3.2.5 Records must be maintained of completed appraisals (joint reviews),
to ensure that all staff are reviewed formally on an annual basis.
Managers must collate agreed learning and development needs, and
produce a Departmental/Directorate Training Plan.
3.2.6 Managers are responsible for planning, monitoring and evaluating
learning activities throughout the year, to ensure that agreed learning
objectives are being supported and achieved.
3.2.7 Robust monitoring arrangements will be in place at Departmental, (ref
2.6.3) Corporate (3.1.3), Strategic Health Authority and Government
levels to ensure that consistency is maintained in access to appraisal
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(joint review) and personal development planning across all
3.3 The Appraisee
There is a responsibility on both the appraisee and their appraiser to review
how the appraisee is applying their knowledge and skills to meet the
demands of the job.
3.3.1 Each individual should prepare for their appraisal (joint review)
meeting taking account of their:
a) Job description and KSF outline
b) Personal Development Plan
c) Evidence of learning and development (portfolio)
d) Strengths and weaknesses
e) Future plans
f) Learning and development needs
Completion of the self-assessment form will help to guide preparation
3.3.2 Following the appraisal (joint review), individuals have a responsibility
to strive towards achieving their agreed objectives, using the appraisal
3.3.3 Individuals are required to make every effort to contribute to their own
personal and professional development.
3.3.4 Appraisal (joint review) records and personal development plans
should be retained in Personal Development Portfolios, to be referred
to as sources of evidence
4. THE PROCESS
The performance appraisal and development review (joint review) will ensure that
regular discussion about performance against agreed work objectives, alongside
progress with personal development, linked to KSF, and additional learning
objectives takes place. It is essential for follow up action to be implemented, with
on-going feedback on progress embedded into practice.
4.1 During the year preceding the foundation gateway, two development review
meetings will take place, the first at induction, with the second midway
through the year. Thereafter annual. Ref 2.5.3.
4.1.1 Every time that an individual moves into a new post, they should be
offered additional support and development in the first year, whether
or not a foundation gateway is applicable at the end of that year, as
this is a critical time for applying knowledge and skills.
4.2 The Performance Appraisal and Development review (joint review) process
has four stages:
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4.2.1 A joint review between the individual and their line manager (or
delegated appraiser) of the individual’s work against the demands of
the post, including how the individual is applying their learning. (See
4.2.2 The production of a personal development plan (PDP) which identifies
the individual’s learning and development needs and the methods by
which these will be met. (See Appendix 3).
4.2.3 The learning and development activities required to be undertaken to
fulfil the PDP.
4.2.4 An evaluation of the learning and development that has taken place.
4.3 Prior to the appraisal (Joint Review)
4.3.1 Reasonable notice must be given prior to the joint review meeting to
ensure that both the appraiser and the appraisee have the opportunity
4.3.2 The job description, KSF outline, previous joint review record and the
appraisee’s PDP should be available for reference.
4.4 The appraisal (Joint Review) Meeting
4.4.1 The meeting provides an opportunity for a confidential, two-way
discussion ref 6.2.1-6.2.4. The KSF outline should be used, along with
all specific work objectives for the job as the basis for discussion. For
each dimension in the outline, there should be a discussion about the
individual’s progress against the levels and indicators in the outline.
This must be based on examples at work. There needs to be enough
up-to-date evidence for confirmation of the individual’s work against
the KSF outline (sufficiency of evidence), however this should not be a
‘paper chase’. All of the evidence should be available naturally in the
workplace. A record of the appraisal (joint review) completion is a
mandatory requirement, therefore must be documented, with a copy
retained by the appraiser and the appraisee (see sample Appendix
2a). In instances where the appraiser is not the senior manager,
(authorised signatory) then this record must also be countersigned by
A copy must be sent to Payroll Services to enable annual incremental
payment to be actioned, and to the Personnel Department (site
specific), for corporate recording.
A record of the actual appraisal (joint review) must be completed, and
held (in confidence) by the appraiser and the appraisee. (see
4.4.2 Gateway Appraisal (Joint Review)
18.104.22.168 When the KSF is applied at the foundation and second
gateway in pay bands, a more formal type of review will take
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22.214.171.124 The foundation gateway (one year into post) will be
based on a subset of the KSF outline for the post. The
individual will need to show evidence of meeting at least one
indicator in every core dimension at the appropriate level, and
at least one indicator in every specific dimension at the
126.96.36.199 The second gateway (near the top of a pay band, at a
set place) consists of the full KSF outline developed for that
post. If there has been agreement to add dimensions to the
post to support the individual’s future development and career
prospects, or the person has developed extra skills which are
not required in that post, these are not used in assessing
progress at this gateway.
188.8.131.52 Evidence on the individuals work can take a number of
different forms. This might include:
a) verbal feedback from the individual, manager or others
b) written work produced by the individual staff member
c) electronic work produced by the individual staff member
d) records of work (such as minutes/notes of meetings slowing
the individuals contribution)
e) the individual’s portfolio containing such items as reflection
on learning/practice that they are prepared to state
184.108.40.206 Whilst there is the expectation that individuals will
progress up the pay band annually, there may be occasions
where pay progression is deferred. Examples include:
a) failure to make reasonable effort to participate in the
process, including failure to complete agreed learning
activities (ref 3.3.3) and/or failure to attend appraisal
b) failure to achieve an acceptable standard of work and be at
the Second or Third Stage of the Trust’s Procedure Relating
to Achieving an Acceptable Standard of Work – see
Disciplinary Procedure, Appendix C
220.127.116.11 In the event of an individual who is failing to
demonstrate, for whatever reason, that they will meet the
agreed criteria when reaching a Gateway pay point, then the
manager should address this well in advance of the
incremental date. A remedial action plan must be agreed with
the individual, with any necessary support provided to assist
the individual in meeting the action plan outcomes (ref 2.6.3).
18.104.22.168 If the individual has produced sufficient evidence against
the specified criteria at gateway points, the decision to approve
pay progression will be recorded (See Appendix 2a).
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4.5 The Personal Development Plan (PDP)
The PDP identifies the individual’s learning and development needs and
interests, and how these will be prioritised and taken forward. Any changes
in the context of the job, as well as the individual’s changing knowledge and
skills need to be reflected.
A personal development plan is a mandatory requirement, therefore must be
completed for all employees to record learning and development needs
identified and agreed at the joint review. This must be kept by the appraiser
and appraisee for reference throughout the year (See Appendix 3).
4.5.2 Records kept by the appraiser must be stored in a secure place within
the department, accessible only by the appraiser. These are
confidential between the appraiser and the appraisee, and would not
normally be handed to any other person.
22.214.171.124 Records kept by the appraisee would be expected to be stored
within their Personal Portfolio, or an alternative secure place.
These may be referred to as ongoing evidence of achievements
against their KSF outline, and any other additional achievements.
126.96.36.199 The Manager should refer to each PDP when completing the
annual Departmental Training Plan, to ensure that a comprehensive
account of identified learning needs is submitted.
5. FOLLOW UP ACTION
Line Managers/Appraisers will be expected to have regular discussions with the
individual staff members about their work throughout the year. This would include
providing constructive feedback on the individual’s work and related development.
Any issues regarding sub-standard work should have been discussed prior to the
formal review meeting (see Sub-Standard Work Procedure within the Trust’s
5.1 The appraisal (joint review) is not the end of the process but should take both
the individual member of staff and the manager/appraiser back round to the
start of the loop again. Regular, informal discussions will facilitate progress
round the loop.
5.2 Work objectives, and development objectives may require revision resulting
from changes in service delivery/service demands and should be agreed,
6. FAILURE TO DEMONSTRATE EVIDENCE AT GATEWAY JOINT REVIEWS
Both the individual and their manager/appraiser need to be committed to achieving
the work objectives and the development objectives that are specified for the
coming period of time.
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6.1 Insufficient Evidence
6.1.1 If there is a joint decision that the individual has not yet provided
sufficient evidence because s/he needs to undertake further
development, the reasons for deferral should be clearly identified
together with those aspects of the NHS KSF outline still to be
achieved. A date for reviewing this position should be set. Once
there is agreement that the individual can meet the NHS KSF post
outline then pay progression resumes from that date.
6.1.2 A decision not to progress must be in exceptional circumstances, or
linked to action under the disciplinary procedure (see 6.3).
6.1.3 Notification must be made to Payroll Services to ensure the increment
point that is due is withheld until further notice.
6.1.4 If there is a joint decision that the individual has not provided sufficient
evidence because the organisation has not been able to meet its
responsibilities for supporting development, then such development
should be arranged as soon as possible. The individual will progress
through the gateway. This situation and the development plan should
be formally recorded.
6.2 Action in the Event of Planned/Unplanned Absence
6.2.1 Progression on a pay band under KSF should be evidence based.
6.2.2 In the event of prolonged absence, either planned or unplanned e.g.
Maternity Leave or sickness absence, managers should take
reasonable steps to enable them to give consideration to an
employee’s progression up the pay band on the relevant date. This
may include a review of:
a) previous review records
b) progress towards meeting their PDP
c) notes of any relevant meetings between the manager and the
d) carrying out a review before the planned absence starts
6.2.3 Whatever process is adopted there must be sufficient
evidence/documentation available to support the decision to progress.
6.3 Action in the Event of Deferring a Development Review
6.3.1 In the event of a development review failing to take place due to
unforeseen circumstances e.g. emergency workplace priorities,
sickness absence on the date planned, appraisers overlooking date
etc, then the incremental payment should be upheld, and the
development review arranged to take place at the earliest mutual
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6.3.2 This situation should arise only in exceptional circumstances. For
example, appraisers overlooking an incremental date is not expected
to occur on a frequent basis.
6.4 Action in the Event of Sub-Standard Work
In the event of an employee failing to achieve an acceptable standard of
work, then the manager should undertake to support the individual through
the development of an agreed action plan as outlined in the Trust’s
Disciplinary Policy, Appendix C. This should be the exception rather than the
rule as one of the principles of the system is that it is based on ‘no surprises’.
If the individual member of staff (appraisee) and their reviewer (appraiser) cannot
agree on any part of the appraisal (joint review) process or outcome, either one has
the right to seek to have a meeting convened with an independent panel.
7.1 The panel will comprise of appointed staff from within the Trust co-ordinated
through the Personnel Department
7.2 An objective decision should be reached which is non-discriminatory. If the
informal process cannot address the problems, then the individual member
of staff can take their case through the Trust Grievance Procedure
7.3 If pay progression has been withheld, then if the individual’s case is upheld,
pay will be backdated to the point at which pay progression should have
8. POLICY REVIEW
The Personnel Manager is responsible for the review and amendment of this policy.
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