The Scottish Government

Listen

pin policy and practice

PERSONAL DEVELOPMENT PLANNING AND REVIEW

Revised March 2004

This document is also available in pdf format (152k)

CONTENTS

Ministerial Foreword

1. INTRODUCTION

2. MAIN REPORT
2.1 Strategic framework and organisational culture
2.2 Principles and values, including rights and responsibilities
2.3 Processes
2.4 Evaluation and evidence of delivery

Ministerial Foreword

This PIN publication sets important standards designed to retain the skills and experience of all staff in NHSScotland. The NHS Reform (Scotland) Act 2004 enshrined staff governance in legislation, thus giving the fair and effective management of staff equal prominence with the management of clinical and financial standards. It was made clear in 2003 that implementation of PIN publications is a ministerial expectation. The embedding of staff governance in legislation ¹ and the inclusion of PIN policy and practice in Agenda for Change terms and conditions for NHS staff now reinforce the fact that implementation of PIN policy and practice is not optional. All organisations within NHSScotland must meet or exceed the best practice outlined in this document. The model policies should be adapted to suit local needs and reflect local structures and resources, however, any variation from the model should result in the provisions being exceeded for staff. NHS employers must recognise that all PIN publications - new and old - carry the same status.

The Staff Governance Standard gives a clear commitment that staff throughout NHSScotland will be appropriately trained. Explicit in the achievement of this Standard is the implementation of this PIN publication on Personal Development Planning and Review. I expect NHSScotland employers to work in partnership to retain the skills and experience of all staff through implementing the provisions of this document. Implementation of these policies and practices helps NHS employers across Scotland to offer a consistently high quality working environment, which in turn enhances organisational ability to recruit and retain staff, and deliver the best quality of services possible.

Performance against the Staff Governance Standard and the implementation of this and other PIN publications will be assessed in partnership using the Self Assessment Audit Tool and will form an integral part of the Performance Accountability Framework against which NHS Boards/Special Health Boards and their constituent parts will be reviewed.

Andy Kerr, MSP
Minister for Health and Community Care

REVIEW GROUP

¹Members of the original Development Group.

1. INTRODUCTION

Personal Development Planning and Review (PDPR) is part of a continual process of planning, monitoring, assessment and support to help staff develop their capabilities and potential to fulfil their job role and purpose. It is an approach to increase the effectiveness of the organisation's performance through ongoing, constructive dialogue to ensure that everyone:

• knows what is expected of them;
• gets feedback on performance; and
• is able to identify and fulfil prioritised and resources development needs.

Appropriate arrangements for PDPR will support career development and commitment to life-long learning.

A number of different systems for carrying out PDPR are now in place in NHSScotland, including the Knowledge and Skills Framework (KSF) and others. This document does not replicate these systems, but instead cross-refers to them, recognising that the document's principles and values are applicable to each of these systems for personal development planning.

2. MAIN REPORT

2.1 Strategic Framework/Organisational Culture

2.1.1 Staff Governance and partnership working

Staff governance focuses on how NHSScotland staff are managed, and feel they are managed. The NHS Reform (Scotland) Act gives staff governance equal legislative parity with the rest of the governance framework (clinical and financial governance) within which NHS employers must operate. The Staff Governance Standard is the key policy document to support the legislation which aims to improve how staff in NHSScotland are treated at work.

NHS employers must demonstrate that they are becoming exemplary employers, as measured in relation to the Staff Governance Standard. In order to be able to do this, they will be expected to have systems in place to identify areas that require improvement and to develop action plans that will describe how improvements will be made. The two elements of the Standard that are particularly relevant to PIN Personal Development Planning and Review are the rights for staff to be

• appropriately trained; and
• treated fairly and consistently.

In this context, being treated fairly and consistently will be achieved through organisations ensuring equity of access to training and development.

Having partnership processes in place - both locally and nationally - enable employment issues to be dealt with fairly and appropriately. Although the NHS has always worked alongside trade unions, the 1998 Human Resources Strategy Towards a New Way of Working placed working in partnership at the heart of NHSScotland's aspiration to become an exemplary employer. Implementation of PIN publications and the Staff Governance Standard have built upon the foundations of partnership working, to create a working environment in which staff and their representatives are involved at the earliest possible stage in issues which affect them and the services they provide. Partnership values include working openly and honestly, developing mutual trust and respect, and working together on issues in a collaborative, not confrontational way.

2.1.2 Life-long learning

Learning Together was the starting point for staff throughout the NHS "to be encouraged to take greater responsibility for their own learning". It should be recognised that learning can take many forms and does not need to involve attending a formal training course. In return, all staff can expect:

• support from their employer in helping them keep up to date and acquire new skills, including access to appropriate learning resources and to induction training;
• the opportunity to meet their managers/reviewers regularly to discuss and agree their development needs and identify learning opportunities;
• help in preparing Personal Development Plans (PDPs) and/or Learning Portfolios which support their career development; and
• local decisions about investment in education and training activities, including access to funding based on a reasoned assessment of learning needs and the service development objectives of the NHS.

2.1.3 Workforce development

Also referred to in the NHS Reform (Scotland) Act, workforce planning is recognised as one of the key strategic foundations on which organisational development and redesign must be built. Clearly, planning and development must take place at an individual level in order to develop a workforce capable of delivering the strategic healthcare agenda.

2.2 Principles, values and responsibilities

2.2.1 Principles and values

A range of systems for personal development planning and review (PDPR) is in place across NHSScotland (see section 2.3). However, the following principles and values underpin each of these systems:

• To ensure that the learning and development activity is focused and meets the current and future service requirements of NHSScotland a clear link must exist between the individual PDPs, the departmental and organisational learning and development plans and the needs of the NHS, as articulated in local health plans and Our National Health.
• Employers should have a clear policy on PDPR, agreed in partnership. Emphasis should be placed on the employee's self-assessment, supported, guided and facilitated by the reviewer. This does not preclude other forms of review occurring where this is appropriate to the organisation and the individuals involved. Such reviews must, however, be outcome-based.
• The system and paperwork to back up the PDPR process should be simple and should not drive the process. Confidentiality and data protection compliance must be assured, but also balanced with the scope to agree where information needs to be shared, in confidence, to allow organisations to meet staff governance monitoring requirements.
• All staff should understand their role in the organisation and receive ongoing feedback on how they are performing and guidance on personal development planning.
• The PDPR process must be as wide as possible, discussing achievement of service objectives, personal development objectives, behaviours and values.
• The individual's development needs must be jointly agreed, and must take into account issues relating to professional registration where appropriate.
• Each organisation should have in place an agreed system for the resolution of any disagreement in relation to an individual's development needs.
• To ensure that reviewers can fulfil their obligations effectively the number of staff whose PDPs they support must be kept manageable. This should be agreed at local level, and should fit with organisational structures.
• The PDPR process must build on managerial support which is based on continuous feedback and "no surprises", and be kept distinct and separate from disciplinary action.
• Local systems should ensure that processes for carrying out qualitative monitoring of PDPR are in place. This includes measuring not just how many staff have a PDPs, but whether PDPs are being implemented, are effective and are contributing to improvements in service delivery.

2.2.2 Rights and Responsibilities

In line with the principles and values described above, all participants in the PDPR process have different rights and responsibilities, as follows.

• The employer will:

• in partnership with local trade unions/professional organisations, agree a PDPR policy within the scope of this PIN document and other nationally agreed processes, and ensure this is implemented throughout the organisation;
• ensure that managers/reviewers delivering PDPR (using any of the systems described at 2.3) are appropriately trained and sufficiently knowledgeable, skilled and competent to do so;
• ensure a Learning and Development Plan exists to meet the needs of the organisation as set out in, for example, local health plans. Resources need to be clearly identified and distributed equally among staff groups based on need and reflecting the principles of equal opportunities;
• ensure that a reasonable proportion of the organisation's available resources, including protected learning time, will be allocated to learning and development; and
• ensure that all PDPR systems are audited as part of the self-assessment audit process for the Staff Governance Standard and mandatory requirements for the KSF, and that any identified areas of improvement are implemented.

• The reviewer will:

• be appropriately trained to participate fully in the process, and access training or awareness sessions, written information and/or websites as appropriate;
• ensure timely delivery of the PDPR process; and
• ensure adequate time is given to prepare for, conduct and document the discussion, and undertake appropriate follow up throughout the year.

• The reviewee will:

• ensure that s/he understands the principles and practice of PDPR to be able to participate fully in the process;
• fulfil their role within the organisation; and
• take an active interest in their own learning and development and take responsibility to fulfil the agreed objectives within their PDP.

• Trade Unions/Professional Organisations will:
• in partnership with the organisation, raise awareness of the benefits of and the approach to PDPR.

2.3 PDPR processes across NHSScotland

2.3.1 Knowledge and Skills Framework (KSF) and the development review process

The KSF and its development review process lie at the heart of the career and pay progression strand of Agenda for Change, by providing a single, consistent, and comprehensive framework for the staff review and development ².

In common with other systems for PDPR, the purpose of the KSF and the development review process is to:

• facilitate the development of services so that they better meet the needs of users and the public through investing in the development of all staff;
• support the effective learning and development of individuals and teams - with all staff being supported to learn throughout their careers and develop in a variety of ways, and being given the resources to do so;
• support the development of individuals in the post in which they are employed so that they can be effective at work, with managers and staff being clear about what is required within a post and managers enabling staff to develop within their post; and
• promote equality for and diversity of all staff - with all staff covered by Agenda for Change using the same framework, having the same opportunities for learning and development and having the same structured approach to learning, development and review.

The principles behind the KSF are that it is:

• NHS-wide - applicable to all staff who work in the NHS across the UK, for all the roles that they undertake now and may undertake in future;
• developed and implemented in partnership;
• developmental - supporting the development of individuals in their post and in their careers, as well as supporting plans for the future development of the NHS UK-wide;
• equitable - recognising the contribution that all staff make to the provision of high-quality services, with a commitment that all staff (regardless of post or working pattern) will be supported to learn and develop throughout their working lives in the NHS;
• simple to use; and
• capable of linking with current and emerging competence frameworks³ - the KSF has been developed from an analysis of the competences that currently apply to staff groups within the NHS. Information will be available on how the KSF links to different UK/national competences that have been issued or are recognised by statutory regulatory bodies and/or which have been externally quality-assured.

Detailed information is contained within the NHS Knowledge and Skills Framework and the Development Review Process (October 2004) Handbook.

2.3.2 Consultants' appraisal

It is a contractual requirement that all consultant and non-consultant career grade medical staff participate in annual appraisal. In addition to covering clinical aspects of service delivery and personal and professional development needs, it is anticipated that the process will be a vehicle for gathering evidence to meet the General Medical Council (GMC) revalidation requirements on demonstration of fitness to practise. There has been a postponement of the intended launch of revalidation from April 2005 and at the time of writing, a review is underway.

2.3.3 Medical training grades

Pre-registration house officers (PRHOs), senior house officers (SHOs) and specialist registrars (SpRs) are all required to be appraised and assessed. At the time of writing, this leads to a Certificate of Satisfactory Service for PRHOs, and a Record of Training Assessment for SHOs and SpRs. Additionally, SpRs receive a Certificate of Completion of Specialist Training at the end of their training.

This may however change with the introduction of Foundation Programmes from August 2005. Documentation is meantime out for consultation in relation to the processes associated with how appraisal and assessment will be undertaken for this group.

2.3.4 General Medical Services (GMS)

Arrangements for PDPR should now also be addressed for independent General Practitioners working within the NHS family.

The NHS (General Medical Services Contacts)(Scotland) Regulations 2004 specified that:

"The contractor shall ensure that any medical practitioner performing services under the contract...participates in the appraisal system provided by the Health Board unless the practitioner participates in an appropriate appraisal system provided by another NHS body..."

The Regulations further state that:

"The Health Board shall provide an appraisal system for the purposes of the above paragraph after consultation with the Area Medical Committee and such other persons as appear to it to be appropriate."

This clearly outlines the framework in which the PDPR process can be integrated with practitioners contracted to the Board for General Medical Services. This can be further integrated by inclusion in the Standard General Medical Services Contract between the Board and independent Medical Contractors.

There may be clear benefits in GPs utilising the PDPR process which is common to other groups in the NHS, particularly since many GP practice staff may become aligned with Agenda for Change terms and conditions and the delivery of the KSF principles through the PDPR process.

2.3.5 Dentists

Appraisal for Dentists employed within the NHS in Scotland is in line with the revalidation requirements of the General Dental Council and is therefore the responsibility of each NHS Board as the employer.

This process ensures that all Dentists are fit to remain registered and therefore fit to practice and contains elements of Continuing Professional Development (CPD) and monitoring of educational activity within the defined period.

The General Dental Council is currently developing a national scheme of revalidation that will reinforce the need for compulsory CPD and provide a national framework for the monitoring of this.

This guideline does not seek to replace established systems, but rather, to compliment them.

2.3.6 Executive Directors

A key component of the Executive Managers Review is around leadership and career development and the emerging need for both aspects to help Executive Director cohort to prepare them for their next role. At the time of writing, a draft report on these issues is expected to issue shortly and will be subject to consultation with the service and stakeholder interests.

2.4 Evaluation and evidence of delivery

In line with the Staff Governance Standard self-assessment audit tool, each Area Partnership Forum (or equivalent) will be responsible for ensuring the annual review and audit of all aspects of the introduction and delivery of PDPR. This audit must take into account organisational progress in relation to Learning Together and other appropriate strategy documents.

Key features of the review and audit are as follows:

• quantitative data e.g. number of PDPR discussions which have been completed and documented;
• qualitative data, e.g. how beneficial the reviewer/reviewee found the PDPR discussions, and what difference PDPR has made to the individual's experience at work, and to the service that they help to provide.
• To provide this type of data organisations could utilise, for example:
• random sampling; and
• the Investors in People process.

Footnotes

¹ through the NHS Reform (Scotland) Act 2004

² The KSF does not apply to staff groups not covered by Agenda for Change. Separate arrangements for PDPR are in place for doctors, dentists, some Board-level and other senior managers.

³ These will include regulatory requirements/competences, National Occupational Standards, QAA benchmarks, and other nationally developed competences that have been externally quality-asured and/or approved.