The essence of any performance management process is the relationship between employee and manager. Both should know what needs to be done to meet their own goals and contribute to those of the organisation as a whole. This Practice Note discusses preparing and implementing a successful personal development and appraisal process. It takes into account the requirements of the Solicitors Regulation Authority (SRA). It should be read together with Practice Notes: The performance management cycle and In-house lawyers—Conducting an appraisal meeting. Regulatory requirements There is no specific SRA requirement to conduct appraisals, but having an effective appraisal system can help you to discharge the mandatory obligation to act in a way that encourages equality, diversity and inclusion. The SRA Statement of Solicitor Competence sets out what solicitors need to be able to do to perform their role effectively. It provides everyone with a clear indication of what they can expect from their solicitor. The SRA competence statement is made up of three documents: • statement of solicitor competence • threshold standard • statement of legal

This Practice Note covers how to prepare and deliver a training course or presentation. It contains information about: • the difference between a training course and a training presentation • clarifying the purpose of the presentation or course • pitching your presentation or course correctly • pre-course or presentation information • managing nerves • avoiding death by PowerPoint • engaging with delegates • tips for online presentations • dealing with tricky delegates, and • getting and using feedback The difference between training courses and training presentations Though on the surface it may appear to be little more than semantics, there is in fact a difference between a training course and a training presentation. A training presentation is essentially a one-way communication. A message that needs to be imparted with little audience participation. A training course is a two-way activity, where a trainer will actively engage with delegates, and learning will occur through relevant activities and discussions as well as through the presentation itself. There is

This Practice Note provides guidance on identifying learning needs and covers: • what a learning need is • individual learning needs • organisational learning needs, and • learning needs analysis (LNA) reports For guidance on identifying initial learning and development priorities, see Practice Note: In-house lawyers—Formulating a learning and development policy. What is a learning need? A learning need is a gap in the skills, knowledge or ability of an individual or organisation. Learning needs are generally considered on two levels: • the needs of the individual • the needs of the organisation Like any other business investment, learning should be planned, prioritised, targeted and managed to ensure the best possible return on the investment. It is vital that the learning needs are understood by the organisation and the individual if maximum benefit is to be gained from any proposed training. On both an individual and organisational level you need to establish what is required and what the current situation is, the gap between the two is the learning need. This

A: General information Date of interview Candidate name Position applied for Interviewers Interview stage First interviewSecond interviewOthers (please state) B: Preliminary questions [Please summarise your career to date OR Talk me through your CV] (Let candidate talk—do not prompt them) Describe your perfect job Why did you apply for this particular role? Where

A: The role Job title Job ref Department Section Reports to Location Grade Salary Employment status [Permanent/fixed term(state start & end date)/temporary/ casual] Job purpose [This describes in one sentence the overall purpose of the job]. Hours of work [Full time—37 hours per week (or) Part time—X hours per week] Department purpose [This describes in one sentence the overall purpose of the service ie main function, why it exists.] Organisation

Learning and development (L&D) plan Period of cover: [insert period] Responsibility The person responsible for this plan is: [insert the name of the person responsible for this plan, eg head of L&D, head of HR, training manager] Business objectives What are the legal department’s business objectives? [insert business objective 1 taken from the business plan, eg to reduce external legal spend by x%][insert business objective 2 taken from the

This Practice Note provides guidance on learning and development (L&D) plans and covers: • what an L&D plan is • regulatory requirements • why an L&D plan is needed • content of an L&D plan • budgets and resource • L&D plan templates • the corporate fit of the L&D plan • why L&D plans can fail • how the L&D plan can assist with recruitment and the induction of new employees • reviewing and monitoring L&D plans What is an L&D plan? An L&D plan sets out: • what the legal department wants to achieve, eg its objectives • what learning outcomes are required to help the legal department achieve its objectives, eg what staff need to do differently or better • the training courses and other learning events planned to help deliver each of the required outcomes • a schedule of L&D measures • evaluation methods to gauge success L&D plans usually cover a rolling 6–12 month period. They may exist for periods longer than 6–12 months but they will generally contain less detailed

[ Purpose and scope 1 This document provides guidelines and procedures for managers and employees relating to learning and development (L&D) opportunities provided by the organisation. It is designed to support us as we achieve our business goals and ensure we continue to meet the standards required of the SRA and [insert name of any legal accreditation you have achieved, eg the Lexcel practice management standard]. 2 This policy document covers all the L&D opportunities supported by the organisation. It outlines the roles and responsibilities of everyone for L&D and represents the organisation’s continued commitment to supporting employees as they develop to achieve their full potential. Responsibilities and resources 3 Manager responsibilities Each manager is responsible for ensuring that their direct reports are supported and developed in their roles to meet the overall goals of their business area. Their responsibilities include: 3.1 [identifying learning needs] 3.2 [providing on-the-job learning opportunities by appropriate coaching and delegation] 3.3 [giving honest feedback on performance] 3.4 [allowing adequate time for an individual to attend L&D events] 3.5 [career planning discussions]

Name [insert appraisee’s name] Current manager [insert appraiser’s name] Position/title department [insert appraisee’s job title] Current personal development plan (PDP) year [insert PDP year] Department [insert appraisee’s department] Date of appraisal [insert date] Aim of the meeting • To understand your personal aspirations. • To provide feedback about your level of performance. • To plan your future with us, ensuring we are supporting your career development. • To set and agree objectives aligned with the strategic aims of the legal team. What the meeting will cover • Part 1—Performance against personal objectives • Part 2—Performance against core skills • Part 3—Assessment of overall performance • Part 4—Future aspirations • Part 5—Future personal objectives • Part 6—Personal development plan Preparation for appraisal meeting Please review and complete sections 1 to 4 in advance of the meeting. This includes your assessment of your progress and performance rating. Provide a copy of your completed papers to [the Human Resources Manager OR your line manager] in advance of the meeting. The meeting should be expected to last 1 to 1.5 hours. This should be protected time without interruption. When the appraisal is complete, both parties should sign and date the form and agree review dates (monthly, quarterly, six-monthly or as agreed). Guiding

1 Recruitment and promotion 1.1 It is the Company’s policy to look to fill any vacancy by internal promotion or transfer wherever possible. A decision to advertise a position externally does not necessarily indicate that there are no suitable internal candidates. 1.2 All applicants for any position must be assessed objectively on their individual merits, in accordance with the Company’s equal opportunities policy. 1.3 Any person involved in the interview or selection process whose impartiality is compromised in any way in relation to an applicant must declare it immediately to their [immediate superior] and, if so required, withdraw from the interview/selection process either completely or in relation to that applicant. 2 Advertisements 2.1 All vacancies advertised either internally or externally, must specify: 2.1.1 the job title; 2.1.2 the salary or pay scale/band applicable to the position; 2.1.3 any significant benefits applicable to the position; 2.1.4 any minimum qualifications for the position; 2.1.5 any particular skills and/or experience required for the position; 2.1.6 any atypical features of the position (eg, part-time, fixed-term, outside UK); 2.1.7 the closing date for applications. 2.2 All vacancies must be advertised in a sufficient variety of media to reach a broad cross-section of potential applicants.

Purpose of performance appraisal and personal development Our appraisal/personal development process is intended to: • achieve a highly focused, productive and motivated workforce by supporting and valuing every individual in the legal team • ensure individuals are aware of the legal team’s strategic objectives and how they can personally contribute to those objectives being achieved Rating system It is important to understand the rating system that will be used in the appraisal: Rating Definition (1) Exceeded all expectations Consistently exceeds expectations relative to the achievement of objectives, core skills and valuesIs recognised as a role model or go to person and demonstrates the critical success factors that are important to the legal team (2) Exceeded some expectations Consistently meets and often exceeds expectations relative to the achievement of objectives, core skills and valuesExceeds certain elements of key objectives, but not others (3) Met all expectations Fully meets or occasionally exceeds the key expectations on objectives, core skills and valuesIs successfully performing in all areas of his/her jobRequires only a moderate amount of supervision and direction, ie what you would expect for this level of position (4)

Purpose of performance appraisal and personal development Our appraisal/personal development process is intended to: • achieve a highly focused, productive and motivated workforce by supporting and valuing every individual in the legal team • ensure individuals are aware of the legal team’s strategic objectives and how they can personally contribute to those objectives being achieved Rating system It is important to understand the rating system that will be used in the appraisal: Rating Definition (1) Exceeded all expectations Consistently exceeds expectations relative to the achievement of objectives, core skills and valuesIs recognised as a role model or go to person and demonstrates the critical success factors that are important to the legal team (2) Exceeded some expectations Consistently meets and often exceeds expectations relative to the achievement of objectives, core skills and valuesExceeds certain elements of key objectives, but not others (3) Met all expectations Fully meets or occasionally exceeds the key expectations on objectives, core skills and valuesIs successfully performing in all areas of his/her jobRequires only a moderate amount of supervision and direction, ie what you would expect for this level of position (4)