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Staff Appraisal Policy

1. Purpose

The purpose of this policy is to establish a structured, fair and effective appraisal system for all persons working within the domiciliary support service. The appraisal process supports regular feedback, reflective practice, professional development and the continuing assessment of staff competence. The service recognises that the effective support and development of its workforce is essential to providing safe, high-quality and person-centred care and support. Appraisals will be used to recognise good practice, identify development or support needs, review performance and competence, and agree actions that help staff fulfil their roles and support individuals to achieve their personal outcomes.

This policy supports compliance with the Regulation and Inspection of Social Care (Wales) Act 2016 and, in particular, Regulations 34, 35, 36, 37 and 38 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended. It must be implemented with regard to the associated statutory guidance, the Social Services and Well-being (Wales) Act 2014, the current Social Care Wales Codes of Professional Practice and relevant practice guidance.

Our home care service efficiently manages staff appraisals through structured review processes, clear documentation, objective goal-setting, and ongoing feedback mechanisms.

2. Scope

This policy applies to:

• All employees and workers, including domiciliary care workers, supervisors, team leaders, administrative staff, managers and any other person working at the service, regardless of their length of service or contractual status.
• All persons working at the service, including employees, workers, agency staff, persons engaged under a contract for services and volunteers. The appraisal arrangements applied will be proportionate to the person’s role, responsibilities, working pattern and length of engagement.
• The Registered Manager and senior staff, who oversee and conduct appraisals.

It covers:

• The frequency and structure of appraisals.
• Roles and responsibilities of employees and managers in the process.
• Performance assessment criteria and goal-setting.
• Training, development, and career progression opportunities.
• Handling poor performance and implementing improvement plans.
• Ensuring fairness, transparency, and confidentiality in the appraisal process.

3. Staff Appraisal Process

3.1 Frequency and Timing of Appraisals

• All staff will receive a formal annual appraisal, conducted by their line manager or supervisor.
• New employees will receive an initial appraisal after six months of employment, to review their probationary progress.
• In addition to the formal appraisal arrangements, the line manager will identify and record each new staff member’s additional training, learning, development and support needs within the first month of employment. Any needs identified will be incorporated into the person’s induction, supervision arrangements and individual learning and development plan. This first-month review does not replace the probationary review or annual appraisal.
• Formal appraisal does not replace regular one-to-one supervision. Every staff member will receive one-to-one supervision with their line manager, an equivalent officer or a more senior competent member of staff no less frequently than quarterly. Additional supervision or performance review meetings will be arranged where required because of the person’s role, development needs, performance, competence, conduct, well-being or risks affecting the service.
• Appraisals will be scheduled in advance, ensuring both the appraiser and the employee have adequate preparation time.

3.2 Roles and Responsibilities

The service provider has overall legal responsibility for ensuring that appropriate arrangements are in place for the support, development, supervision and appraisal of every person working at the service, in accordance with Regulation 36 of the Regulated Services (Service Providers and Responsible Individuals) (Wales) Regulations 2017, as amended.

The Registered Manager ({{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}) is responsible for implementing and monitoring the appraisal arrangements on behalf of the service provider, ensuring appraisals are completed within the required timescales, that identified actions are followed up, and that any concerns requiring immediate action are escalated appropriately.

The Responsible Individual will maintain oversight of whether the service has effective systems for staff support, development, supervision and appraisal and will consider relevant findings when monitoring the management, performance and quality of the service.

Supervisors and team leaders conduct appraisals in a structured, supportive, and professional manner.

Employees are responsible for engaging in the process, reflecting on their performance, and identifying areas for personal and professional development.

Each appraisal will be conducted in a private, supportive environment to allow open discussion.

4. Performance Assessment Criteria

During the appraisal, employees will be assessed against the following key areas:

4.1 Quality of Care Delivery

• Compliance with CIW regulations and organisational policies.
• Delivery of person-centred, dignified, and respectful care.
• Ability to support service user independence, choice, and wellbeing.

4.2 Professional Competence and Skills

• Adherence to the current Social Care Wales Code of Professional Practice for Social Care Workers and any associated practice guidance relevant to the person’s role.
• Where the employee has management or leadership responsibilities, the appraisal will also consider how they embed the Code in the work of staff whom they manage or lead.
• Effectiveness in handling medication, safeguarding, infection control, and risk management.
• Ability to use digital care records and administrative tools effectively.

The appraisal must consider whether the staff member remains competent and fit to undertake the duties of their role. This will include, where applicable:

• the continuing validity of any required Social Care Wales or other professional registration;
• compliance with the conditions of registration and relevant professional codes;
• the completion of required continuing professional development;
• the person’s ability to carry out delegated healthcare activities safely and within the limits of their competence;
• any restrictions, conditions, concerns or changes affecting their ability to perform their role safely;
• whether reasonable adjustments or additional support are required; and
• whether further supervision, assessment, training or formal action is necessary.

4.3 Communication and Teamwork

• Ability to work collaboratively with colleagues, service users, and external professionals.
• Effectiveness in reporting concerns, following escalation procedures, and maintaining confidentiality.
• Contribution to a positive and inclusive workplace culture.

4.4 Training and Professional Development

• Completion of mandatory training courses.
• Engagement with continuous learning opportunities (e.g., specialist dementia care, palliative care training).
• Interest in career progression and leadership development.

4.5 Attendance, Punctuality, and Conduct

• Reliability and adherence to scheduled work hours.
• Compliance with the Staff Conduct and Code of Ethics Policy (DCW28).
• Professional behaviour in all interactions.

Each appraisal will include appropriate preparation by both the staff member and appraiser. The assessment will be based on relevant evidence, which may include self-assessment, supervision records, direct observations of practice, competency assessments, training records, audits, compliments, complaints, incidents, safeguarding information, attendance information and feedback from colleagues and professionals. Where available and appropriate, the appraisal will also consider feedback from individuals receiving care and support and their representatives. Information must be used lawfully, fairly, proportionately and in a manner that protects confidentiality.

5. Goal-Setting and Career Development

The appraisal will include a discussion on:

• Short-term objectives, such as improving a specific skill or completing mandatory training.
• Long-term career goals, including potential promotions or further education.
• Additional support needed, such as mentoring, shadowing, or external training.

Employees will be encouraged to take ownership of their development, with managers providing support and resources to facilitate progress.

The agreed objectives, learning needs, support arrangements and completion dates will be recorded in an individual learning and development plan. The plan must identify:

• the required action;
• the intended outcome;
• the person responsible for arranging or completing the action;
• the target completion date;
• any resources or support required; and
• how and when completion and effectiveness will be reviewed.

Staff will be given access to their individual learning and development record. Managers will monitor completion of agreed actions through supervision and will not wait until the next annual appraisal to address overdue training, gaps in competence or changes in the needs of individuals receiving care and support.

6. Addressing Performance Concerns and Implementing Improvement Plans

The annual appraisal process must not be used to delay action where a concern may affect the safety or well-being of an individual, amount to abuse, neglect or improper treatment, constitute serious misconduct, or raise doubt about a worker’s fitness to practise. Such concerns must be reported and managed immediately under the applicable safeguarding, disciplinary, whistleblowing, incident reporting and fitness-to-practise procedures.

Where required by law or regulatory requirements, the service provider will make an appropriate and timely referral or notification to the local authority safeguarding team, the police, the Disclosure and Barring Service, Social Care Wales, another professional regulator or CIW. An improvement plan must not be used instead of a required safeguarding referral, regulatory referral or disciplinary investigation.

If performance concerns are identified during an appraisal, managers will:

1. Discuss areas of concern openly and professionally, ensuring the employee understands the expectations.
2. Provide constructive feedback, focusing on solutions rather than blame.
3. Develop an improvement plan, which may include additional training, supervision, or support.
4. Set clear, measurable targets with a timeline for improvement.
5. Schedule follow-up reviews to monitor progress and provide additional support.

Where concerns relate to capability and do not involve alleged misconduct or immediate risk, the employee will normally be given appropriate support and a reasonable opportunity to improve. Where improvement is not achieved, or where the seriousness of the matter requires immediate formal action, the organisation will apply its capability or disciplinary procedure, as appropriate. Any necessary safeguarding, Disclosure and Barring Service, Social Care Wales, professional regulator or CIW referral must be made without delay and must not await the outcome of the next appraisal.

7. Fairness, Transparency, and Confidentiality

7.1 Ensuring a Fair and Objective Appraisal Process

• Appraisals will be conducted in a fair, unbiased, and transparent manner.
• Reasonable adjustments will be made where required to enable a disabled staff member to participate fully and fairly in the appraisal process. This may include an accessible venue, additional time, information in an accessible format, communication support, adapted technology or permission for an appropriate companion or support person to attend, where reasonable.
• Managers will ensure that personal biases do not influence performance evaluations.
• Employees will have the opportunity to provide feedback and challenge any assessment they feel is unfair.
• Appraisal decisions and development opportunities must not unlawfully discriminate because of age, disability, gender reassignment, marriage or civil partnership, pregnancy or maternity, race, religion or belief, sex or sexual orientation. Part-time status, fixed-term status, contractual arrangements, maternity leave, family-related leave or authorised absence must not result in less favourable treatment.

7.2 Confidentiality, Records and Data Protection

• A written record will be completed for every formal appraisal. It will record the evidence considered, the discussion held, agreed objectives, identified learning and development needs, support arrangements, concerns, actions, responsible persons, target dates and review arrangements.
• The staff member and appraiser will be given the opportunity to comment on the record. Both will sign or electronically confirm the record. A refusal to sign will be recorded but will not invalidate the appraisal record.
• Appraisal records and associated learning and development records will be stored securely and access will be restricted to authorised persons who require the information for legitimate management, employment, regulatory or safeguarding purposes.
• Personal information will be processed in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018, the organisation’s retention schedule and the Confidentiality and Data Protection Policy (DCW34).
• Appraisal records will be accurate, relevant, proportionate and retained only for the period specified in the organisation’s approved staff-record retention schedule. Records must be securely destroyed when the applicable retention period expires, unless they are required for ongoing legal, safeguarding, regulatory or employment proceedings.
• Staff may request access to their personal information in accordance with the organisation’s data protection procedures. Information relating to another person may be withheld or redacted where disclosure would breach that person’s rights or another lawful exemption applies.

8. Monitoring and Continuous Improvement of the Appraisal Process

Our organisation is committed to continuously improving the appraisal system. We will:

• Regularly review staff feedback on the appraisal process.
• Ensure that appraisal outcomes contribute to overall workforce planning and service improvement.
• Provide ongoing training for managers to conduct appraisals effectively.
• Align appraisals with CIW inspection feedback and regulatory compliance requirements.

The Registered Manager will maintain an appraisal monitoring system showing:

• the date of each person’s last appraisal;
• the due date of the next appraisal;
• whether the appraisal was completed within the required timescale;
• agreed learning, development or performance actions;
• target completion dates;
• outstanding or overdue actions; and
• evidence that actions have been reviewed for effectiveness.

Missed or overdue appraisals and significant outstanding development actions will be escalated to the service provider and Responsible Individual. The Responsible Individual’s oversight and quality-monitoring arrangements will consider whether appraisal findings indicate service-wide concerns about staffing, competence, training, staff well-being, management practice or the quality and safety of care and support.

9. Related Policies

This policy should be read alongside:

• Staff Supervision, Training, and Development Policy (DCW27).
• Disciplinary and Grievance Policy (DCW31).
• Equality, Diversity, and Inclusion Policy (DCW30).
• Whistleblowing (Speaking Up) Policy (DCW29).

10. Policy Review

This policy will be reviewed annually or sooner if required due to changes in legislation, best practices, or internal organisational needs. The service provider has overall responsibility for compliance with the applicable statutory requirements. The Registered Manager is responsible for implementing and monitoring this policy, and the Responsible Individual is responsible for maintaining appropriate oversight of the effectiveness of the arrangements.

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