Introduction

This guidance outlines NHS England’s expectations and recommendations in the completion of board member appraisals. It has been developed in service of board effectiveness and to ensure a consistent and standard approach to appraisal, recognising that there will be a requirement to adapt depending on the type of organisation and whether the appraisee is an executive or non-executive director.

All stakeholders involved in a board member appraisal should familiarise themselves with this guidance.

Principles

Board member appraisal expectations are summarised into ‘what’ and ‘how’ principles; ‘what’ principles being more focussed on what the board member appraisal should contain, and ‘how’ principles being the key elements of how a board member appraisal should be carried out. The principles should apply to all appraisals; however, the application may vary depending on the role. For example, executives are likely to have a greater number of objectives than non-executives and multi-source feedback may be much lighter touch for non-executives than for chairs and executives. 

What principles

NHS England expects a board member appraisal:

• is a compilation of mid-year reviews, check-ins and ongoing dialogue about performance and development from throughout the previous year
• incorporates the 6 domains of the NHS Leadership Competency Framework (LCF) in assessment, discussion and documentation. The detailed examples are provided as guidance
• looks forward to the forthcoming year, including objectives and development
• incorporates annual multi-source feedback
• has objectives that:
  • clearly link personal objectives to organisational priorities
  • are SMART (Specific, Measurable, Achievable, Relevant, Timebound) taking into account the context of the appraisee’s operating environment and any factors outside of their control
  • include an EDI-specific objective (as outlined in the NHS Equality, Diversity, and Inclusion Improvement plan)
  • are documented and reviewed.
• takes a developmental approach, which includes development opportunities identified taking into account the Leadership Competency Framework (LCF), Healthcare Leadership Model, values and behaviours, as well as opportunities to build on strengths
• for chairs and CEOs – the relationship between these two roles is pivotal to the success of an organisation and regular assessment of the relationship is important. The annual appraisal process for both post holders should include a clear reflection on how the partnership is progressing. In conducting/ facilitating the chair appraisal, the SID should draw upon views to assess the dynamic.

How principles

• appraisal is a partnership dialogue, building on trusted relationships, and ongoing open dialogue throughout the year
• all stakeholders involved conduct themselves in line with values and behaviours of Our Leadership Way, People Promise, NHS Values, NHS Constitution and the Seven Principles of Public Life
• objectives are drafted and driven by the appraisee and agreed by the appraiser
• assessment should consider both the achievement of objectives (the what) and the values and behaviours the appraisee has displayed in the delivery of the objectives (the how)
• the appraisal Includes developmental support and review. A development plan should be drafted and driven by the appraisee and agreed by the appraiser.

Process

NHS England expects the above principles to be adopted for all board member appraisals.

Organisations may wish to incorporate the above into their local processes. Alternatively, organisations may utilise the process and forms provided by NHS England.   

Process using NHS England template forms

1. The appraiser requests multi source feedback in advance of the appraisal meeting.  There is a multi-source feedback form available based on the LCF domains and organisations may wish to include additional sections.  The expectation is for a review of broad competence across the 6 LCF competency domains, the detailed examples are provided as guidance
2. The appraiser and appraisee should be mindful to ensure that the appraisal is a compilation of reviews and ongoing dialogue about performance and development from throughout the previous year and not just a point in time. In advance of the meeting, each of the appraiser and appraisee may find it helpful to use the suggested forms.
   The appraisee and appraiser may find the Scope for Growth framework helpful to review in advance: Scope for Growth – Leadership Academy
3. The appraiser must ensure the appraisee has clarity of performance expectations and professional responsibilities, both during the appraisal meeting and as part of ongoing open dialogue.
4. The appraisal meeting should include:
   • a review of performance against the NHS Leadership Competency Framework
   • a review of delivery against objectives from the previous year
   • discussion and agreement of objectives for the forthcoming year
   • discussion and agreement of the personal development plan
   • assessment and declaration under the NHS England FPPT Framework
5. the appraiser and appraisee should complete the Appraisal Summary form
6. for ICB chairs, NHS Trust chairs and NHS Trust non-executive director appraisals, the appraiser should ensure a copy of the form be sent to the NHS England Senior Appointments and Assessment team at england.chairsappraisal@nhs.net
7. for other roles, the appraiser should ensure a copy of the form is kept in line with local policies

Appraisal rating

As a minimum, an overall performance rating is required for the purposes of completing the yearly assessment. The Appraisal Summary Form facilitates this by providing a mechanism for the appraisee and appraiser to jointly assess overall performance against the established SMART objectives, using one of four agreed rating levels as per the table below.

The appraisal is regarded as one element of the regular and ongoing dialogue around individual performance. As such it is expected that any performance concerns surrounding individual conduct or capability should be considered at the point of occurrence and in line with local organisational policy and the Fit and Proper Persons Test Framework. The appraisal discussion should not be the first time performance concerns are raised.

In addition to this and to facilitate a deeper and more comprehensive discussion on overall performance and future development, it is recommended that additional performance elements, specifically related to behaviours & values and improvement (NHS Impact – applicable for executive roles only), be incorporated into the appraisal discussion.

These optional elements are consolidated into performance scales to ensure a holistic evaluation of the appraisee’s performance.

Chairs and non-executive directors

The appraisal process for non-executive directors should be appropriate to their role on the board and the process adapted accordingly.

Chair appraisal

• the chair appraisal should be conducted/facilitated by the senior independent director (SID) or in the absence of a SID, the deputy chair
• a copy of the appraisal summary should be sent to the NHS England Senior Appointment and Assessment team at england.chairsappraisal@nhs.net
• for ICBs – the SID should gather evidence and facilitate the appraisal process. Regional directors will meet with the ICB chair to review the appraisal
• for NHS provider trusts – regional directors may choose to hold a review meeting where concerns are identified, or the organisation is in the National Recovery Support Programme (RSP)
• all chair appraisals will be signed off by the regional director and for ICBs and NHS Trusts, sent to NHS England Chief Operating Officer for endorsement

Non-executive director appraisal  

For NHS Trusts, a summary of the appraisal, including the rating, should be sent to england.chairsappraisal@nhs.net to support the re-appointment processes.

ICB Partner Members

We would expect that all board members are appraised against the role they hold on the board. In the case of ICB partner members, the appraisal by the chair of the ICB should be proportionate and appropriate to the non-executive role that they hold on the ICB board. This may be achieved via an appraisal discussion between the chair and the partner member, or via the chair feeding into the individual’s organisational appraisal (providing this offers assurance to the chair and ICB Board)

Process in Brief

In summary, a board member appraisal process is outlined below.

Process summary in plain text:

1. appraiser arranges appraisal meeting and requests multi-source feedback
2. appraiser, appraisee and multi-source parties complete preparation/feedback forms
3. appraisal meeting(s) is held between appraiser and appraisee
4. appraisal summary form completed
5. paperwork submitted – for Chairs and NHS Trust NED only a summary of the appraisal, including the rating, should be sent to england.chairsappraisal@nhs.net For all other board members forms should be held locally

Useful forms

To support organisations, the following optional forms have been provided.

• appraisal preparation form
• appraisal summary form
• board member multi-source feedback form

Please note these are fully editable and should be adapted depending on whether the appraisee is an executive or non-executive.

Alternatively, organisations may wish to incorporate the principles into their own organisational processes and paperwork.

Useful links

The following links may be useful, but they are not essential.

• Fit and Proper Persons Test Framework
• Healthcare Leadership Model
• NHS Constitution
• NHS Equality, Diversity, and Inclusion Improvement plan
• NHS Leadership Competency Framework
• The NHS Constitution for England – GOV.UK
• Our Leadership Way – Leadership Academy
• NHS People Promise
• The Seven Principles of Public Life
• Scope for Growth – Leadership Academy