Performance and Development
Review (PDR) Policy
This Policy describes the process for undertaking a
mandatory annual Performance and Development
Review.
Key Words:
Version:
Adopted by:
Date adopted:
Performance, Development, Review
Appraisal, PDP
Personal Development Plan, PDR
8
24th July 2012
Workforce and OD Committee
22d August 2012
Name of
originator/author:
Name of
responsible
committee:
Date issued for
publication:
Review date:
The Academy
Expiry date:
September 2016
Workforce and OD Committee
1st September 2012
1st September 2015
Target audience: All staff (with the exception of Doctors
and Dentists who have a national
formalised process for their professions)
Type of Policy
Clinical
Non Clinical

(tick appropriate
box)
NHSLA Risk Management
N/A
Standards if applicable:
Relevant CQC Standards:
14
Contribution List
Key individuals involved in developing the document
Name
Janet Sayer
Mark Dearden
Designation
The Academy
Training & Quality Assurance Lead
Circulated to the following individuals for comments
Name
Kathryn Burt
Sarah Willis
Kam Kotecha
Jo Davis
Vyv Wilkins
LPT senior managers band
8a and above
Workforce & OD
Development Committee
Members
Policy Group Members
Designation
Head of Human Resources, CHS Division
Head of Human Resources, FYP Division
Head of Human Resources, MH & LD Services
Head of Academy
Integrated Equality Service
Integrated Equality &
Diversity Service
LPT senior managers band
8a and above
Workforce & OD
Development Committee
Members
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Version Control and Summary of Changes
Version
number
1.0
2.0
3.0
Date
December 2011
21 March 2012
22 March 2012
Comments
(description change and amendments)
Alignment of previous PDR policies
Changes made following comments from HR
Leads.
2.3 Performance and Conduct Procedure
changed to Performance Management
Procedure.
3.3 Clarification of wording for reviewers who
are the same banding of reviewees.
4.2 Deleted guidance on the number of
objectives to be set within the PDP.
4.0
23 April 2012
Due Regard additions by Integrated Equality
Service
Pages, 5, 6, 9, 10
5.0
22 May 2012
Amendment to 3.3. ‘It is recommended as good
practice that’…only 8 PDP’s or less are
undertaken by those in the role of the reviewer.
23 May 2012
Added Dissemination and Implementation in
section 6.0
17th July 2012
Updated Appendix 1 with the 5 Trust Strategic
Objectives
Added the following regarding Clinical
Supervision:
Section 7 – Monitoring and compliance section
Appendix 1 – personal information box – added
a sub section regarding clinical supervision
6.0
7.0
24th July 2012
8.0
All LPT Policies can be provided in large print or Braille formats, if requested, and an
interpreting service is available to individuals of different nationalities who require them.
For further information contact: Human Resources or LPT Academy
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Contents
Definitions that Apply to this Policy
Equality Statement
1.0
Summary
2.0
Introduction
3.0
Responsibilities
4.0
The Performance & Development Review Process
5.0
Due Regard
6.0
Monitoring Compliance & Effectiveness
7.0
Links to Standards/Performance Indicators
5
6
7
7
7
9
9
12
12
Associated Documentation
APPENDIX 1
PDR Paperwork
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Definitions That Apply to This Policy
Performance and
Development Review
(PDR)
Appraisal
Personal Development
Plan (PDP)
Reviewer
Reviewee
Due Regard
This is the process whereby an employee meets at least
annually with their appraiser (manager or nominated deputy) to
discuss their performance for the last year, appraise objectives
set for the previous year and agree a Personal Development
Plan (PDP) for the coming year.
This forms the part of the PDR where the manager and
employee discuss performance and objectives set for the
previous year. Employees provide or discuss evidence for
achievement, or reasons are discussed as to why objectives set
in the PDP could not be achieved.
This is the part of the process where a development plan for the
forthcoming year is discussed and agreed.
A reviewer is the person who undertakes the PDR.
This is the member of staff who undertakes a PDR to appraise
their performance against agreed objectives for the previous
year with their reviewer, providing written or verbal evidence for
their performance. Additionally they agree to Personal
Development Plan objectives for the forthcoming year,
Having due regard for advancing equality involves:
• Removing or minimising disadvantages suffered by people due
to their protected characteristics.
• Taking steps to meet the needs of people from protected
groups where these are different from the needs of other
people.
• Encouraging people from protected groups to participate in
public life or in other activities where their participation is
disproportionately low.
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Equality Statement
Leicestershire Partnership NHS Trust (LPT) aims to design and implement policy documents
that meet the diverse needs of our service, population and workforce, ensuring that none are
placed at a disadvantage over others. It takes into account the provisions of the Equality Act
2010 and advances equal opportunities for all. This document has been assessed to ensure
that no one receives less favourable treatment on the protected characteristics of their age,
disability, gender reassignment, marriage and civil partnership, pregnancy and maternity, race,
religion or belief, sex (gender) or sexual orientation.
In carrying out its functions, LPT must have due regard to the different needs of different
protected equality groups in their area. This applies to all the activities for which LPT is
responsible, including policy development, review and implementation.
1.0 Summary
1.1 This document describes the process required to undertake a mandatory annual
Performance and Development Review that is a requirement for all staff working within
Leicestershire Partnership NHS Trust.
2.0 Introduction
2.1 An organisation’s members of staff are its most valuable resource and they are critical to
its effective and efficient development. In order for members of staff to make a contribution
to organisational development and achieve full competence in their role, it is essential that
all individuals have:





A clear job description
A person specification
Knowledge of the mandatory training requirements for the role
Access to appropriate training and development opportunities
Clear objectives, linked to the objectives of the organisation
2.2
The Performance and Development Review (PDR) is a mandatory part of the
management process. It should be an ongoing feature of the working relationship
between managers and individuals within their team.
2.3
The PDR process is intended to be a positive development experience and should not be
used by managers to initiate discussions relating to performance problems. Identified
performance problems should be dealt with as they occur using the Performance
Management Policy and Procedure for Leicestershire Partnership Trust. However the
PDR process can be used to ensure development opportunities are made available to
assist the individual in effectively overcoming performance issues.
2.4
Throughout the PDR process all members of staff should be treated fairly and equitably.
This is a mandatory process accessible by all and managers/reviewers should take the
diversity of staff and individual needs into consideration when implementing the PDR
process.
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2.5
The PDR process is supported by the following:
 Mandatory Training Policy
 Study Leave Policy
3.0 Responsibilities
This section describes the key roles and responsibilities required for a successful PDR
process to be achieved.
3.1
Trust Board
 Agree strategic objectives to be clearly disseminated throughout the
organisation
3.2
Directors
 Ensure the PDR process is effectively implemented within Division and Enabling
Services staff
 Managers are provided with a wider perspective of the organisation/Division
future needs and objectives
 Identified development needs are resourced equitably and fairly to support
organisation/Division objectives (resources should be agreed with Academy
Division/Enabling Service Leads prior to them being agreed within the PDP as
part of the PDR)
3.3
Reviewers
 Ensure that each individual that they manage has an annual PDR in line with this
policy
 It is recommended as good practice that only 8 PDR’s or less are undertaken by
those in the role of reviewer. This is generally the manager or nominated deputy
which will be of a higher Band than the reviewee. In some circumstances the
reviewer might be of the same Band and suitably experienced to undertake the
PDR.
 Where the line manager is not of the same/similar professional role as the
individual being reviewed, an appropriate additional reviewer from the same
professional role can be called upon to contribute to the PDR process.
 Make protected time available for these to be carried out effectively and those in
the role of manager/reviewer are trained to undertake this role
 As a priority, knowledge about the mandatory training requirements for the
individual’s role should be gained, documented in the PDR and the individual
should be released to do this training
 Individuals are given the opportunity to undertake the activities identified in the
PDP and are encouraged to share and apply their learning in the workplace
 Personal Development Plans (PDP) produced should reflect the
organisation/Division future needs and objectives and any funding requirements
need to be secured with the Academy Division/Enabling Service Leads before
being agreed in the PDP
 Reviewers should review progress on objectives set and the PDP of the individual
they are responsible for at least at the six-month stage of the annual PDR
 Upon completion of the PDR with the individual member of staff this should be
recorded as being completed either via the Electronic Staff Record system if
appropriate or by the Academy PDR reporting process.
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3.3
The Individual
 Prepare for their PDR – this will include providing evidence for achievement of
objectives set and learning agreed within the PDP
 Take an active role in the PDR process – this is all about you and your development
and training needs. It should not feel like a situation of threat but an opportunity to
develop and grow
 Attend activities identified in their PDR when time has been made available to do so.
Keep evidence to produce at the PDR review
 As this is a mandatory requirement for all staff, if there is a reason that an annual
PDR does not take place, the next level of management above their line manager
should be informed (e.g. long term absence)
3.4
LPT Academy
 Provide training for reviewers in the undertaking of a PDR.
 Provide a toolkit for the benefit of staff and managers.
 Record data on completed PDR’s in order to report compliance to Trust Board in line
with CQC standard requirements.
3.5
The effectiveness of appraisal related training, including issues of fairness, equality,
diversity and consistency, will be determined by evaluation of programmes,
questionnaires, audit outcomes and discussions with members of staff and reviewers.
Training will be reviewed in light of this evaluation.
4.0 The Performance and Development Review Process
4.1 The PDR process applies to all individuals who are employed by Leicestershire
Partnership NHS Trust whether on full, part-time, temporary, fixed term or other types of
employment contract. For new members of staff, either new to the Trust or moving into a
new post, an initial review should take place within the first three months. This review will
discuss the job description, working environment and mandatory training requirements. A
Personal Development Plan will be produced that reflects the learning and development
requirements for the first year. This will be reviewed at least once in the first 6 months,
then the full PDR process will take place at the 12 month period.
4.2 The table in this section details the full PDR process with an outline of the key actions on
the part of the reviewer and reviewee at each stage of the process.
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5.0 Due Regard
5.1 The Trust’s commitment to equality means that this policy has been screened in relation to
paying due regard to the general duty of the Equality Act 2010 to eliminate unlawful
discrimination, harassment, victimisation; advance equality of opportunity and foster good
relations.
5.2 All members of staff regardless of their age, disability, gender reassignment, marriage and
civil partnership, pregnancy and maternity, race, religion or belief, sex (gender) or sexual
orientation have access to a regular discussion with their line manager and there is no
impact on an individual’s dignity or human rights.
5.3 In relation to this policy there is no discrimination as the policy is applicable to all members
of staff. The provision of Equality and Diversity training is considered during the personal
development planning process.
5.4 Due regard will also be demonstrated through the use of human resources best practice
and have adherence to all relevant employment legislation.
5.5 In addition to the examples highlighted above, equality monitoring of all relevant protected
characteristics to whom the policy applies will be undertaken. Robust actions to reduce,
mitigate and where possible remove any adverse impact will be agreed and effectively
monitored.
5.6 This policy will be continually reviewed to ensure any inequality of opportunity for service
users, patients, carers and staff are eliminated wherever possible.
6.0
Dissemination and Implementation
6.1
The policy is approved by the Leicestershire Partnership NHS Trust Workforce and OD
Committee and is accepted as a Trust wide policy. This policy will be disseminated
immediately throughout the Trust following ratification.
6.2
The dissemination and implementation process is:
•
Line Manager will convey the contents of this policy to their staff
•
Staff will be made aware of this policy using existing staff newsletters
and team briefings
•
The Policy will be published and made available on the Intranet
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Preparation
Reviewer
 Reflect on performance over the past
year against agreed targets and how
knowledge and skills have been applied
to role
 Check mandatory training for the role
has been met and what will be required
for the coming year
 Consider Trust/Division and team
objectives for the coming year and
resources available for development
Reviewee
 Gather verbal or written evidence to
support objectives set within last year’s
appraisal and Personal Development
Plan
 Consider future development needs for
the coming year and availability of
resources to achieve these (if
applicable)
Appraisal (Performance Review)
Reviewer and Reviewee
 Joint discussion to review performance over the past year against agreed objectives and
targets and application of knowledge and skills to meet the demands of the post, and
contribution to team objectives
 Jointly discuss working patterns of the reviewee to ensure as far as possible a healthy
work/life balance is achieved
Personal Development Plan
Reviewer and Reviewee
Jointly agree a Personal Development Plan for the forthcoming year that needs to address:
 Mandatory training requirements
 Development needs to enhance job role
 The contribution of the reviewee to meet Organisation/Division and team objectives
At this point the Personal Development Plan is signed, with dates set for the 6-month
review and the PDR for next year. It is recorded that the PDR process has been
undertaken either on ESR or reported to the LPT Academy
Six-Month Review
Reviewer and Reviewee
 Jointly discuss progress on the achievement of objectives set within the Personal
Development Plan and how they can be applied to practice
 Discuss any barriers that have prevented achievement so far and consider how these
can be overcome to make achievement happen before the annual PDR in six months
time
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7.0
Monitoring Compliance and Effectiveness
7.1
The following table describes how this policy will monitor compliance and effectiveness:
Systems
Monitoring and/or Audit
Criteria
Measurables
All staff will have an
annual PDR which
is a mandatory
requirement
A reporting system
will be evident that
will enable the
monitoring of PDRs
8.0
Completed PDRs will
either be input by the
Reviewer onto ESR
or reported to LPT
Academy for
recording
Monitoring reports will
be produced.
Frequency
As soon as the
annual PDR is
completed
Monthly
Quarterly
Reporting
to
Divisional
Directors
and
Directors of
Enabling
Services
Divisions
Workforce
and OD
Committee
Action
Plan/
Monitoring
Head of
Academy /
Head of HR
Head of
Academy /
Head of HR
Links to Standards/Performance Indicators
The table below details the standard and performance indicators that relate to this policy:
TARGET/STANDARDS
Care Quality Commission outcome 14
KEY PERFORMANCE INDICATOR
All available staff receive a PDR within the
previous 12 months.
Staff Opinion Survey
Staff have a well structured appraisal
Staff have a personal development plan in
place
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PDR
Appraisal and
Personal
Development
Plan
Appendix 1
Our Core Purpose
Advancing the health and well-being for you and your community
Vision
An integrated Foundation Trust with a passion for quality and
excellence
Trust Strategic Objectives:





We will continuously improve quality, with services shaped from user experience, audit and research
We will deliver our financial plans and transform our estate and information technology.
We will maximise opportunities to deliver the best possible integrated care in Leicester, Leicestershire and Rutland
We will attract, retain and develop a diverse, capable and flexible workforce
We will build our reputation as a successful, inclusive organisation, working in partnership to improve health and
wellbeing.
1
Personal Information
Reviewee:
Name:
Assignment Number:
Job Role:
Department:
Band:
Length of time in post:
Reviewer:
Name:
Job role:
Contact details:
PDR:
Mandatory Training:
Date of last PDR:
Has mandatory training for this role been
completed
Have you had Clinical Supervision?
(this will include core and other mandatory training
yes 
Date of this current PDR:
Period under review:
requirements)
Next review date:
If not, what is the reason:
yes 
no 
Clinical Supervision (if applicable)
(recommended 4 sessions a year)
no 
If yes: How many?
If no: what is the reason:
2
Looking Back - Appraisal
What have I achieved in the past 12 months?
Objectives from previous year
(taken from previous PDR)
What have I done?
Detailed steps taken or
activities involved in order to
achieve objective
Appraisee to complete prior
to meeting
What have I
achieved/
delivered?
(outcome)
Has the objective been
partially met, met or
exceeded?
What factors have
influenced achievement?
How have I achieved this?
(Application of skills and
knowledge. How have I
used development activities
to meet this objective)
For discussion in the PDR
Appraisee to
complete prior to
meeting
For discussion in the
PDR
3
Use a continuation sheet if required
Agreed comments on overall Performance:
Please circle:
Exceeded
Met
Partially Met
Comments:
Signed: Employee
Signed: Manager
4
Looking Forward
What do I need to achieve in the next 12 months to meet Trust, Division/Enabling
Services objectives and the team objectives associated with my role?
Objective:
Consider the Trust strategic
objectives on the front page, how this
has been translated into
Division/Enabling Services objectives
and subsequent team objectives
Resources/
support
required
What does
success look
like? (criteria)
What might get in the way
of you achieving this and
how will you overcome it?
Timescales
5
Use a continuation sheet if required
6
Personal Development Plan
N.B. Any funding requirements need to be secured before they are agreed as part of the Personal Development Plan.ed to
undertake to meet my objectives?
What do I want/ need to learn in
order to fulfil the requirements of
my job role, and contribute to the
objectives set for me?
What will I do to achieve this?
What resources/
support will I
need?
Planned date for
completion and
review date
7
What mandatory training do I need
to undertake this year?
(this will include core and other mandatory
training requirements)
What essential learning do I need
to do - e.g. keeping accreditation
up to date?
8
Are there any career enhancing
developments that can be
undertaken given the prior three
categories are a mandatory
priority?
Signed: Reviewee
Signed: Reviewer
Date:
9