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Appraisal guidance

This appraisal guidance is for non-medical staff. 

Medical and GMC registered staff have their own separate process and documentation. Please see the doctors appraisal page for more information.

A high-quality appraisal experience for every colleague will make a difference to how they feel, have a big impact on the service they provide, and ultimately improve the quality of our patient care.

Please note there are two appraisal forms: one for people managers and one for other colleagues. If you line manage, lead a team, or supervise others please complete the managers appraisal form.

Support

If you have never conducted an appraisal previously, received training, or simply want to refresh your knowledge, further information is available.

Guidance for great appraisals

The following guide should be used alongside the Trust appraisal forms and will help ensure you get the most out of the appraisal process.

A performance appraisal is a valuable opportunity to:

  • review the previous 12 months
  • give and receive feedback
  • agree key targets, objectives and personal development needs for the next year
  • discuss health and wellbeing
  • provide an opportunity for thanks for dedication and effort

Past performance against objectives over the last 12 months should be considered before the appraisal meeting by both parties, so they attend the meeting prepared for a valuable and constructive conversation.

The appraisal is only recorded formally once a year, but that does not mean that is where the conversation stops.

On-going discussions should continue regularly throughout the year, with a formal review at six months. All people managers have a responsibility to arrange regular one-to-one conversations and discussions about development and wellbeing with their team. This is to ensure progress against agreed objectives is discussed, and that praise can be given on a regular basis.

For appraisers: It is really important that your team see their appraisal as a useful conversation. It is a good idea to check in with them afterwards to see if this is the case. If they did not find it useful, it is likely that more conversation is needed.

Appraisals are a formal recording of the review of the previous 12 months and should include no surprises, such as raising a new concern or issue with a staff member’s performance or behaviour, when it has not previously been known, or assigning objectives without discussion.

Concerns about performance must be raised immediately and discussed openly. Should these concerns continue, please contact the HR First Contact Team and refer to the Trust’s performance improvement procedure.

The Appraisal Meeting

An appraisal is a two-way conversation. The conversation will include:

  • a recognition of achievements throughout the year
  • an agreement of development needs
  • a discussion about health and well-being
  • an agreement of how performance will be monitored and reviewed
  • an agreement on new objectives for the year
  • a reflection on expected behaviours aligned to Trust values

How long should an appraisal last?

Every appraisal conversation should be of a high quality. Although the time will vary with each individual, it is unlikely that an appraisal conversation shorter than 40 minutes would allow enough time to fully discuss each aspect in depth.

The meeting must be organised by the appraiser, who is usually the immediate manager, with the below:

  • a copy of appraisal form, completed by the appraisee
  • Any records highlighting the employee's performance
  • Other relevant documentation, such as peer assessments
  • Comments from service users and any self-assessment forms, if appropriate
  • Training records, including mandatory training
  • Continuous professional development (CPD) evidence
  • The individual’s personal file (for notes on the employee and any disciplinary issues)
  • The job description. The appraiser will need to go through the job description to ensure that it is up to date. If not, minor changes can be made. Where there are major changes, please contact your HR Team for support.
  • 360-degree appraisal results (optional)

If the appraisee has changed roles during the 12 months preceding the appraisal, the appraiser should contact the previous manager for feedback which can be incorporated into the review.

The 360-degree feedback tool can be used to gather wider feedback on a person’s behaviour and should be undertaken around the time of the person’s appraisal. If you would like to carry out a 360-degree feedback session, then see the section on 360-degree feedback on the intranet.

Arranging the Appraisal

Always conduct an appraisal in a quiet private location, which needs to be arranged before the meeting.

Dates for the annual appraisal and review meetings should be scheduled in as early as possible.

Three weeks before the appraisal

The appraiser contacts the appraisee to schedule/confirm an appraisal date and either gives them a copy of the appraisal form or directs them to where they can access it.

One week before the appraisal

The appraisee completes parts A - C and returns the form to the appraiser one week before the appraisal meeting.

New starters and new-to-role colleagues must complete the following in their initial objective setting meeting, which will be held within six weeks of their start date:

  • objectives for this year. Objectives should be agreed between the team member and manager.
  • what development is needed over the next 12 months to help you achieve your objectives and support your career progression and personal development?
  • health and well-being

Documentation

Personal details

Please complete your personal details, which include your name, line manager, employee number and date of appraisal.

This is also an opportunity to book your six-month review and appraisal for next year. Your appraisal should be completed in the same month of the year as your previous appraisal.

There are three sections to the appraisal form.

Part A, your job role

Section 1 – review against last year’s objectives

Use this opportunity to review what you have achieved, and any new skills and learning gained or undertaken.

It may be that amendments to objectives were needed due to being redeployed or because the priorities of the service changed. Use this section to add any objectives that are outstanding from the previous year.

Section 2 – thinking back over the last year – what has gone well?

Use this section to:

  • document your key achievements with examples. This could be an improvement you have introduced, a particular piece of work you are proud of, or an excellent example of patient care
  • detail a new process you have introduced to save waste, help with time management, travel or better use of resources
  • highlight your proudest achievement - this could be a message of thanks from a patient or other member of staff

This section also asks the appraisee and appraiser to reflect on how the appraisee has demonstrated the Trust values:

Kind – The Kindness that people show to each other every day

Connected – The Connections we build with everyone around us.

Bold – The ability to be Bold in how we think, speak and act

You can use examples such as:

showing kindness to patients and colleagues, communicating in a clear and open way, developing and nurturing relationships, seeking out and listening to the perspectives of others, being prepared to tackle difficult situations, and supporting your colleagues to thrive.

The behaviours below give more examples:

Kind

  • I communicate in a clear and open way 

  • I recognise great work and say thank you

  • I take care of myself and others

Connected

  • I develop and nurture my relationships

  • I am curious, fair and appreciate difference

  • I seek out and listen to the perspectives of others

Bold

  • I approach change with a positive mindset

  • I am prepared to tackle difficult situations

  • I seek out ways to support my colleagues to thrive 

You could also include your contribution toward the Trust’s staff networks and/or inclusion initiatives, such as any equality and diversity training you have attended. Staff networks include: BAME, Carers, Disability or Long Term Health Conditions, LGBTQ+ (Lesbian, Gay, Bisexual, Trans and Queer), Men’s, Mental Health and Well-being, Multifaith, Neuro-diversity and Women/s

Please look on the intranet for more information.

Section 3 – what’s not gone so well?

In this section, reflect on anything that has not gone so well over the review period. You could include;

  • a description of the experience
  • your feelings and thoughts about the experience
  • an evaluation of the experience, both good and bad
  • analysis, to make sense of the situation
  • conclusions about what you learned and what you could have done differently
  • an action plan for how you would deal with similar situations in future, or any general changes you would make

Section 4 – thinking about the future

This section provides an opportunity to really understand how we can support career aspirations. The section on resources has a wide range of development opportunities. 

The following four sections are for colleagues who manage people

Section 5 – what have been the highs and challenges for you as a manager in the last 12 months? 

These could be examples of how you and your team have developed new processes, dealt with problems and tackled difficult situations.

For your personal development there is the Welcome to Leadership programme, which has been designed to provide people managers with the fundamentals they need to lead and manage their teams effectively. Whether you have recently taken on a senior leadership position, are new to leadership, or have been a senior leader for years, this new programme will support you.

Comprising of seven modules of content in total, Welcome to Leadership is accessible from any device with an internet connection, and from any location. It is also available in multiple formats, so you can watch, listen, or read, depending on what suits you best.

The recommendation is for all colleagues with people management responsibilities to complete the programme. It can be completed within six months – which averages a commitment of just one hour a month. However, the pace at which you complete it is completely up to you.

Welcome to Leadership as a vital tool in ensuring we are kind, connected and bold leaders here at UHB.

Sign up with your @uhb.nhs.uk email address to get started today.

Section 6 - how have you used feedback to improve team working, relationships and improve outcomes for patients and colleagues?

As a people manager you have different forms of feedback from your team such one-to-one discussions with your team, team meetings, staff survey results, external surveys and feedback forms.

Thinking about these different forms of feedback above the action have you taken? For example, if a member of your team had an idea for improvements, how were these taken forward?  

Section 7 - how have you demonstrated accountability for ensuring that the staff in your team are treated respectfully, fairly and equitably, and that any concerns they raise are listened to and actively resolved? As an NHS manager are you aware of the Code of Conduct for Managers?

Thinking about this question, has there been an occasion when someone raised with you that they did not feel they were treated equally? What action did you take? Was the situation resolved successfully?

Were there any barriers to be overcome?

Were you clear on how to find the information you needed to support your team?

If you contacted another team to support you, did you feel supported?

Section 8 - How have you championed or shown allyship to equality, diversity and inclusion, and what impact have you had? Have you provided reciprocal mentoring, and what support has that provided to the mentee and what insights have you put in to practice?

For more information on allyship, equity, diversity and inclusion, please see our intranet pages for diversity and inclusion.

For more information about reciprocal mentoring, please see the intranet.

The following sections are for all colleagues

SMART objectives

All colleagues should have a greater understanding of how their objectives underpin the operational success of the team or department and the strategic goals of the Trust. Objectives set should clearly link to the team objectives and overall Trust objectives. Objectives could be carried over from the year before, with new objectives set for the coming year. Objectives need to be specific, measurable, achievable, realistic, and timed (SMART). For further information on SMART objectives, please see the link below:

For further detail on SMART objectives, please access our Moodle training using the link below:

Career Progression and Development

The personal development discussion is an important part of the appraisal conversation. If no formal development is requested or required for the role, it may be useful to discuss strengths, experiences or skills which could be developed through informal ways, such as job shadowing a colleague.

For colleagues seeking career progression within the Trust these conversations can lead to appropriate development opportunities to support their career path.

There are a range of development opportunities on the resources page.

Overall role performance comments

This section is completed by the appraisee and the appraiser to summarise their conversation.

Part B 

Your health and well-being is important, and Part B of the appraisal provides you with an opportunity to discuss your well-being and how it impacts you whilst you are at work.

You are encouraged to discuss your health and well-being with your manager throughout the year and do not need to wait for your appraisal meeting to raise a concern.

The discussion around your health and well-being could include anything that matters to you. This could be a review of what you have already got in place, such as flexible working or an adjustment for a health condition, or a chance to discuss something new such as caring responsibilities, changes in your circumstances or suggesting different working arrangements.

Disability

Please update your ESR record if you develop a disability or a long term health condition, which might be classed as a disability, by logging into ESR self-service and changing your disability status. This can include any physical or mental health condition which requires ongoing treatment for 12 months or more.

By sharing your disability on ESR, the Trust can make sure that you have the right support in place to carry out your role at the Trust. This might include getting the right equipment, software, or making changes to the role itself, if possible, to support you.

If you wish to do so yourself to access your ESR Self Service account, please follow the guidance on our Trust intranet site. 

Please note, this link is only accessible when logged into the Trust network.

You can also get in touch with the Inclusion and well-being Team to talk to someone about your disability or long term health condition, including mental health and neurodiversity.

Change in circumstances

If your circumstances have changed since your last appraisal, the Trust would like to know about this so we can ensure you receive the right support and discuss reasonable adjustments.

For more resources around Health and Well-being please read the 'improving your work life and well-being' section.

Display screen equipment (DSE) assessment

Since your last appraisal you may require a DSE assessment as your work station might need adjustment. For example, you may require a more suitable keyboard or headphones.

The DSE intranet pages have more information on accessing eye sight tests and DSE risk assessments.

Staff network groups

There are a number of staff network groups that provide confidential advice and support for all staff. These groups are open to staff that identify as the group as well as allies. Please see the staff networks information on the intranet to find out more.

Please note, this link is only accessible when logged into the Trust network.

Inclusion and well-being

The Trust has a range of inclusion and well-being resources available.

Occupational health and staff counselling service

The aim of the service is to improve your health and wellbeing at work, and to help you with any health problems that you may have, particularly if they are affecting your work or are caused by work.

Any information which you share with us will be kept secure and confidential within the department.

The team consists of doctors specialising in occupational Health, consultant occupational psychiatrists, specialist nurses and counsellors.

The staff counselling service provides all Trust employees direct access to a free professional and structured counselling service. 

The service can be reached via email.

Part C, annual checks

Part C contains a review of mandatory training, clinical role revalidation requirements, and other additional role-specific annual checks.

Mandatory training

All colleagues must be up-to-date with their mandatory training. Colleagues whose mandatory training is out-of-date may be subject to deferral of pay.

More information on deferral of pay can be found on the HR intranet.

Nurses and midwife revalidation

Annual revalidation checks must be carried out during an appraisal. Please ensure the annual revalidation record form is completed each year to check progress.

Annual declaration of good character

It is the responsibility of the appraisee to declare if there has been any change with their status with regard to criminal convictions, cautions or criminal proceedings since starting work at the Trust or completing a standard or enhanced Disclosure and Barring Service (DBS) check.

The nature and circumstances of any offences should be considered during the performance review.

If your team member makes a declaration during their appraisal, please contact the HR First Contact Team for advice.

Annual checks

The following additional annual checks need to be carried out (see guidance notes for more information):

  • medical devices

  • practice supervisors, and/or practice assessors of trainee nursing associates and nursing or midwifery students only

  • non-medical prescribing

  • safeguarding reflection

Flexible working

Please visit the HR pages for more information. 

Hospitality, gifts and sponsorship

The Conflicts of Interest Policy (including sponsorship, gifts and hospitality) requires all staff to declare certain pecuniary benefits. The requirement to make a declaration is dependent on the value of the pecuniary benefit (gift/ hospitality/sponsorship) and whether the 'giving' party has a relationship with the Trust ('Interested Third Party').

Under the Staff Code of Conduct all staff have to declare actual, potential or perceived conflicts of interests which might arise out of secondary employment, the holding of shares, etc.

The below staff groups must review and update existing declarations, or make a nil return, on an annual basis:

  • staff on consultant contracts revalidated through the Trust

  • staff on Agenda for Change pay rates of Band 8c and above

  • SAS Doctors

  • staff who are not covered by the above but earn the equivalent of the starting salary of a Band 8c

If you are in any doubt as to whether there is a conflict of interest, you should declare it so it can be considered. 

Further information is available in the staff Code of Conduct and the Hospitality, Gifts and Sponsorship Policy, which can be viewed on the intranet.

Resources

This section of the form features additional resources for all staff to access when discussing their personal development.

Appraisers: Please make sure that this appraisal is reported. To register this on the reporting tool please follow this link.

The appraisal is a live document, after the appraisal conversation a copy of the documentation must be kept in the staff member’s personnel file and a copy kept by the appraisee. On-going discussions should continue regularly throughout the year with a formal review at six months.

Downloads

docxAppraisal form (0.22 MB)

Last reviewed: 18 November 2024