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Registration Number: {{org_field_registration_no}}

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Staff Appraisal Policy

1. Purpose

The purpose of this policy is to ensure that {{org_field_name}} implements a structured and effective staff appraisal system that supports employee development, performance improvement, and continuous professional growth. Staff appraisals are a key component of maintaining a motivated, skilled, and high-performing workforce, ensuring the delivery of safe, person-centred care in line with CQC regulations and best practices.

This policy ensures that:

• Regular appraisals are conducted to assess and enhance employee performance.
• Staff receive constructive feedback and career development opportunities.
• Appraisals align with organisational goals, CQC standards, and regulatory compliance.
• Performance management is fair, consistent, and supportive, promoting staff engagement.
• Appraisal outcomes contribute to training plans, career progression, and workforce planning.

2. Scope

This policy applies to:

• All employees, including full-time, part-time, agency, and voluntary staff.
• Line managers and supervisors, responsible for conducting appraisals.
• Senior management and HR teams, responsible for monitoring compliance and workforce development.

3. Legal and Regulatory Compliance

This policy aligns with:

CQC Regulations (Health and Social Care Act 2008, Regulated Activities Regulations 2014)

• Regulation 18 (Staffing) – Ensures staff are competent, skilled, and well-supported​.
• Regulation 17 (Good Governance) – Requires structured workforce monitoring and professional development​.
• Regulation 9 (Person-Centred Care) – Ensures that staff training and development contribute to high-quality care delivery​.
• Regulation 12 (Safe Care and Treatment) – Requires staff competence in delivering safe and effective care​.

Other Relevant Laws and Guidance

• Employment Rights Act 1996 – Ensures fair performance management and employee rights.
• Equality Act 2010 – Prevents discrimination in appraisals, ensuring fairness for all staff.
• General Data Protection Regulation (GDPR) & Data Protection Act 2018 – Protects the confidentiality of staff appraisal records.
• Skills for Care: Workforce Development Guidance – Provides best practices for staff development in social care settings.

4. Appraisal Structure and Process

4.1. Frequency and Scheduling of Appraisals

• Annual appraisals must be conducted for all staff.
• Mid-year performance reviews may be scheduled to track progress.
• New employees must have an initial performance review after six months.
• Additional appraisals may be conducted if performance concerns arise.

4.2. Pre-Appraisal Preparation

Before the appraisal meeting:

• The employee and manager must complete a self-assessment form, reflecting on achievements and challenges.
• Training records, performance data, and feedback from colleagues, people we support, and families are reviewed.
• The manager sets a meeting date and ensures adequate time for discussion.

4.3. Conducting the Appraisal Meeting

Appraisals must be:

• Constructive and supportive, focusing on both strengths and areas for improvement.
• Confidential and professional, ensuring an open and honest discussion.
• Employee-led, allowing staff to express their views, concerns, and career aspirations.
• Goal-oriented, setting clear objectives for the next appraisal cycle.

Discussions must cover:

• Performance and achievements over the past year.
• Strengths, skills, and contributions to the organisation.
• Challenges faced and areas for development.
• Training and career development needs.
• Employee well-being and support needs.
• Agreed action plans and next steps.

4.4. Setting SMART Objectives

Objectives should be:

• Specific – Clearly defined tasks or skills to develop.
• Measurable – Progress must be trackable.
• Achievable – Realistic within the employee’s role.
• Relevant – Linked to job performance and care quality.
• Time-bound – Set within a defined timeframe.

Example: “Complete advanced dementia care training within the next 6 months to improve specialist knowledge.”

4.5. Training and Development Planning

• Staff should be offered opportunities for learning and progression.
• Appraisals must identify mandatory and specialist training needs.
• Personal development plans must align with CQC expectations and workforce needs.

4.6. Follow-Up and Continuous Monitoring

• Managers must track progress on agreed actions and provide ongoing feedback.
• Regular check-ins should be scheduled to address emerging issues.
• Employees should feel supported and encouraged to seek guidance when needed.

5. Managing Performance Issues Identified in Appraisals

5.1. Addressing Areas for Improvement

If performance concerns are identified:

• A Performance Improvement Plan (PIP) should be developed.
• Clear targets, timelines, and support strategies should be outlined.
• Additional training, mentoring, or supervision should be provided as required.

5.2. Escalating Performance Concerns

If performance does not improve despite support:

• A formal review process may be initiated.
• The Disciplinary Policy may be followed where serious issues persist.
• The employee must be given fair opportunities to improve before formal action is taken.

6. Employee Rights and Responsibilities in Appraisals

6.1. Employee Rights

All employees have the right to:

• A fair and transparent appraisal process.
• Discuss their career aspirations and training needs.
• Receive feedback in a constructive manner.
• Request support where needed.
• Appeal appraisal outcomes if they feel they have been treated unfairly.

6.2. Employee Responsibilities

Employees must:

• Engage positively in the appraisal process.
• Take ownership of their development and training.
• Act on feedback and agreed action plans.
• Report any concerns regarding their appraisal in line with grievance procedures.

7. Confidentiality and Record-Keeping

• Appraisal records must be confidential and securely stored, in compliance with GDPR.
• Employees must sign off on appraisal documents, confirming discussions and agreed actions.
• Appraisal records must be retained for a minimum of 3 years.

8. Monitoring and Compliance

8.1. Tracking Appraisal Completion

• HR must ensure 100% completion of appraisals within the set timeframe.
• Annual audits will review appraisal records for compliance.
• CQC inspections will assess how staff development is supported through appraisals.

8.2. Staff Feedback and Continuous Improvement

• Employees will be asked for feedback on the appraisal process to identify improvements.
• Changes will be made to ensure appraisals remain meaningful and effective.

9. Related Policies

This policy should be read alongside:

• CH18 – Risk Management and Assessment Policy​.
• CH27 – Staff Supervision, Training, and Development Policy​.
• CH28 – Staff Conduct and Code of Ethics Policy​.
• CH34 – Confidentiality and Data Protection (GDPR) Policy​.
• CH16 – Health and Safety at Work Policy​.

10. Policy Review

This policy will be reviewed annually, or sooner if:

• Legislation or CQC requirements change.
• Staff feedback suggests improvements.
• New best practices in staff performance management emerge.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
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