Aim

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. 

Scope

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.

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

Definitions

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

A mid-year review is a meeting between a reviewer and an employee to discuss the employee's performance over the previous 6 months. It usually takes place at the midpoint of the appraisal year.

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.

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

A personal development plan (PDP) is an ongoing process that records the employee’s agreed-upon PDP activities over the next 12 months. This should identify any learning and development needs and related activities.

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

A reviewer is the person who undertakes the appraisal. They are normally the employee’s manager. However, the manager could also appoint a colleague with knowledge of the employee and their role.

Scottish Online Appraisal Resource (SOAR) is the online system that supports and facilitates the appraisal process for doctors working in Scotland.

Statutory training is training required by legislation.

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

Roles and responsibilities

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. 

Manager

The manager should: 

• Make sure team details 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 on their personal development plan. The manager or a designated reviewer may undertake this.
• 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.

Reviewer

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.
  For some identified roles, for example, 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.

Employee 

The employee should: 

• Actively participate in the appraisal process.
• Take ownership of 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.

Procedure

NHSScotland is committed to making sure employees are appropriately trained and developed in line with the Staff Governance Standard [PDF]. 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.

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

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

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

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. As outlined in the Capability Policy, this does not apply to medical and some dental staff.

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

Performance review

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 on a date for the review with sufficient time to allow for preparation.

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.

The review should consider the following:

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

Further information is available in the following documents:

• Manager guide
• Employee guide

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

Objectives

The reviewer and the employee should agree on 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) and reflect organisational priorities and needs.

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

Personal development plan (PDP)

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.

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

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

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)

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

Recording and monitoring

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.

Related policies

The following policies and guides are related to the Personal Development Planning and Performance Review Policy:

• Capability Policy
• Guide to reasonable adjustments
• Guide to supportive and difficult conversations

Resolution of disagreements

Should a disagreement arise, the reviewer and reviewee should discuss this with the reviewer’s manager in the first instance. If the concern is not resolved, it may be appropriate for either party to seek advice on resolving the matter from HR or a trade union representative.

They should seek early resolution wherever possible. The employee also has the right to raise matters under the Grievance Policy.