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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 supports compliance with the legal and regulatory requirements applying to CQC-registered adult social care services in England.

Health and Social Care Act 2008 and CQC Fundamental Standards

This policy must be implemented in accordance with the Health and Social Care Act 2008, the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, as amended, and relevant Care Quality Commission guidance.

In particular:

• Regulation 18 – Staffing: Persons employed by the service provider in the provision of a regulated activity must receive such appropriate support, training, professional development, supervision and appraisal as is necessary to enable them to carry out the duties they are employed to perform. Staff must be appropriately supported to maintain the qualifications, competence, skills and experience necessary for their role.
• Staff must receive regular appraisal of their performance from an appropriately skilled and experienced person. Training, learning and professional development needs identified through appraisal or other competence-assessment processes must be identified, planned for, supported and monitored.
• Where an employee is a healthcare professional, social worker or another professional registered with a health or social care regulator, the organisation must, where appropriate, enable that employee to provide evidence demonstrating that they continue to meet the professional standards that are a condition of their ability to practise or a requirement of their role.
• Regulation 17 – Good Governance: The organisation must operate effective systems and processes for assessing, monitoring and improving the quality and safety of the service. Accurate, complete and secure records relating to staff employment, development, competence and the management of the regulated activity must be maintained.
• Regulation 9 – Person-Centred Care: Staff development, competence and performance must support the delivery of care and treatment that is appropriate, meets people’s needs and reflects their preferences.
• Regulation 12 – Safe Care and Treatment: Staff must have the qualifications, competence, skills and experience required to deliver care and treatment safely.

Statutory Learning Disability and Autism Training

The Health and Social Care Act 2008, as amended by the Health and Care Act 2022, requires registered service providers to ensure that each person working for the purposes of the regulated activities carried on by the provider receives training on learning disability and autism that is appropriate to that person’s role.

The organisation must have regard to the current Oliver McGowan Code of Practice on Statutory Learning Disability and Autism Training when determining how this requirement will be met.

Appraisal, supervision, competence assessment and learning and development processes must be used, as appropriate, to identify the level of learning disability and autism knowledge, skills and training required for each employee’s role and whether learning is being applied effectively in practice.

Other Relevant Legislation

The appraisal process must also be operated consistently with:

• Equality Act 2010 – Appraisals, performance assessment and access to training and development must not unlawfully discriminate against an employee because of a protected characteristic. Reasonable adjustments must be considered and provided where required by law.
• Employment Rights Act 1996 – Employment decisions arising from performance management and appraisal must be managed consistently with applicable employment rights and organisational procedures.
• UK General Data Protection Regulation and Data Protection Act 2018 – Personal information contained within appraisal, performance, training and development records must be processed lawfully, fairly, securely and only for appropriate purposes.

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 conducted in a confidential, fair, constructive and supportive manner by a manager or other person who has the appropriate skills, experience and authority to assess the employee’s performance and development needs.

The appraisal must provide the employee with a meaningful opportunity to contribute to the discussion, raise concerns, identify support needs and discuss their professional and career development.

The appraisal must consider, where applicable:

• the employee’s performance and achievements during the appraisal period;
• whether the employee continues to demonstrate the competence, knowledge, skills, behaviours and experience required to carry out their role safely and effectively;
• the employee’s strengths and contribution to the organisation and to the quality and safety of care provided;
• any areas in which performance, competence or practice requires improvement;
• feedback, incidents, complaints, safeguarding matters, audits, observations of practice or other relevant evidence that identifies an individual learning, development or competence need;
• the employee’s completed and outstanding mandatory training requirements;
• additional or specialist training required because of the employee’s role or the needs of people using the service;
• the employee’s learning disability and autism knowledge, skills and training requirements, including whether training appropriate to their role has been completed and whether learning is being applied in practice;
• any further qualifications that are appropriate to the work the employee performs;
• where the employee is professionally registered, any relevant continuing professional development, revalidation, registration or professional-standard requirements and any appropriate support required from the organisation;
• the employee’s career development and professional development needs;
• the employee’s well-being and any support or reasonable adjustments that may be required; and
• agreed objectives, actions, responsibilities and timescales for the next appraisal period.

Any concerns about competence, safety or performance identified during the appraisal must not be deferred until the next scheduled appraisal. They must be addressed promptly through supervision, additional training, competence assessment, management support or the organisation’s formal performance-management procedures, according to the nature and seriousness of the concern.

Agreed actions and development requirements must be recorded within the appraisal documentation and, where appropriate, incorporated into the employee’s personal development plan.

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

The appraisal process must be used to identify and review the employee’s individual learning, training, qualification, professional development and competence requirements.

Managers must ensure that:

• mandatory training requirements relevant to the employee’s role are reviewed;
• identified gaps in knowledge, skills or competence result in appropriate training, learning, supervision, mentoring, assessment or other development activity;
• learning and development needs are documented with clear actions and, where appropriate, completion dates;
• completion of required training and development is monitored and appropriate action is taken where requirements are not met;
• staff are supported, where appropriate, to obtain further qualifications relevant to the work they perform; and
• where an employee is subject to professional registration requirements, appropriate support is provided to enable them to maintain the standards required for their professional registration or role.

Learning Disability and Autism Training

The organisation must ensure that each person working for the purposes of its regulated activities receives learning disability and autism training that is appropriate to their role, in accordance with the Health and Social Care Act 2008, as amended, and the current Oliver McGowan Code of Practice on Statutory Learning Disability and Autism Training.

The organisation must:

• assess the learning disability and autism knowledge, skills and training requirements applicable to each staff member’s role;
• carry out regular skills assessments to determine the level of learning disability and autism training required and whether learning from training is being applied in practice;
• ensure that these assessments contribute to the employee’s wider learning and development plan;
• ensure that the learning disability and autism training provided meets the standards set out in the current Oliver McGowan Code of Practice;
• ensure that training is appropriate to the person’s role, responsibilities and level of contact with people with a learning disability and autistic people;
• provide further or higher-level training where the employee’s responsibilities require capabilities beyond the minimum training applicable to their role;
• ensure that staff undertake compliant learning disability and autism training at least every three years, or sooner where the employee’s role, responsibilities, competence or identified learning needs require earlier training;
• support staff to complete the required training and assess their learning afterwards to establish whether it has been understood and embedded in practice; and
• maintain an appropriate record of training, assessment, completion and any identified further learning requirements.

The Oliver McGowan Mandatory Training on Learning Disability and Autism is the Government’s recommended training package for supporting registered providers to meet the statutory requirement. Where the organisation uses an alternative training package, it must be able to demonstrate that the chosen training meets the standards required by the current Oliver McGowan Code of Practice.

Training identified through appraisal must not be treated as completed solely because an employee has attended a course. Where competence is required for the employee’s duties, managers must obtain appropriate evidence that the employee can apply the relevant knowledge and skills safely in practice.

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 and performance records are confidential employment records and must be managed securely and in accordance with the UK General Data Protection Regulation, the Data Protection Act 2018, Regulation 17 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 and the organisation’s records-management and retention arrangements.

The organisation must ensure that:

• appraisal records are accurate, complete and sufficiently detailed to evidence the discussion, assessment, agreed objectives, identified learning and development requirements and actions arising from the appraisal;
• appraisal records and associated personal development plans are securely stored and are accessible only to people who are authorised to access them for legitimate employment, management, regulatory or legal purposes;
• electronic and paper records are protected against unauthorised access, alteration, disclosure, loss or destruction;
• employees are given an opportunity to review the completed appraisal record and record any relevant comments or disagreement with its contents;
• completion of the appraisal and the agreed actions is appropriately recorded;
• training, competence, professional development and other relevant employment records arising from the appraisal are maintained sufficiently to demonstrate compliance with applicable regulatory and employment requirements;
• records are retained for the period specified within the organisation’s approved records-retention schedule, taking account of the purpose for which the information is held, applicable legal requirements and data-protection principles; and
• records are securely destroyed or deleted when their authorised retention period has expired, unless there is a lawful reason requiring them to be retained for longer.

There is no automatic requirement within this policy to retain every appraisal record for a fixed minimum period of three years. Retention must instead follow the organisation’s documented and lawful retention schedule and applicable legal requirements.

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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