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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Staff Appraisal Policy

1. Purpose

The purpose of this policy is to set out how {{org_field_name}} will carry out staff appraisal as part of an ongoing system of supervision, support, competency assessment and workforce development. The policy is designed to help ensure that all staff are appropriately supported, trained, supervised, appraised and developed so they can carry out their duties safely, effectively and in line with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014 and current Care Quality Commission (CQC) expectations.

This policy supports the delivery of safe, effective, person-centred domiciliary care by ensuring that appraisal arrangements are structured, fair, evidence-based and linked to induction, the Care Certificate where applicable, training, observed practice, safeguarding, conduct, wellbeing, equality, professional development and service improvement. Appraisal is not a stand-alone annual event; it forms part of a continuous performance management cycle that includes probation review, one-to-one supervision, competency checks, reflective discussion and development planning.

2. Scope

This policy applies to all employees engaged by {{org_field_name}} for the purposes of carrying on a regulated activity, including care workers, senior care workers, team leaders, coordinators, office-based staff, managers and the registered manager. It also applies, where relevant, to temporary, agency, bank and relief staff insofar as appraisal, supervision, competency review, conduct, training compliance and suitability to work are concerned.

This policy covers:

• induction, probation and appraisal arrangements;
• the relationship between appraisal, supervision and competency assessment;
• performance, conduct, values and behaviours;
• safeguarding awareness and professional accountability;
• wellbeing, attendance and fitness to work;
• equality, diversity, inclusion and reasonable adjustments;
• learning and development, including mandatory and role-specific training;
• record keeping, confidentiality, oversight and quality assurance.

3. Legal and Regulatory Framework

This policy should be read in conjunction with the following legislation, regulations and guidance, as amended from time to time:

• Health and Social Care Act 2008.
• Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, in particular:
  • Regulation 17: Good governance;
  • Regulation 18: Staffing;
  • Regulation 19: Fit and proper persons employed.
• Care Quality Commission (CQC) guidance for providers and managers relating to Regulations 17, 18 and 19.
• CQC Single Assessment Framework, including the quality statements on Safe and effective staffing, Governance, management and sustainability, and Equity in experiences and outcomes.
• Equality Act 2010.
• UK General Data Protection Regulation (UK GDPR) and Data Protection Act 2018.
• Employment Rights Act 1996.
• Health and Safety at Work etc. Act 1974.
• Care Act 2014, where relevant to safeguarding and workforce practice.
• Any current Skills for Care guidance relevant to supervision, induction, the Care Certificate and workforce development.

4. Objectives and Benefits of Staff Appraisals

The objectives of appraisal at {{org_field_name}} are to:

• confirm that staff remain competent, safe and suitable to perform their role;
• review whether staff have received the support, supervision, training and development required for their duties;
• assess whether practice reflects the organisation’s values, policies, service user needs and regulatory responsibilities;
• identify strengths, achievements and good practice;
• identify any concerns relating to performance, conduct, safeguarding, communication, medicines practice, record keeping, lone working, timekeeping, attendance, professionalism or wellbeing;
• agree realistic development actions, support measures and review timescales;
• support equality, fairness and consistency in workforce management;
• generate evidence for governance, quality assurance and service improvement.

Appraisal must support continuous improvement in care delivery and must not be used as the sole mechanism for addressing urgent performance, conduct or safeguarding concerns, which must be managed promptly through the appropriate procedures.

5. Appraisal, Supervision and Review Process

At {{org_field_name}}, appraisal forms part of a wider performance management cycle. Staff must not wait until the annual appraisal for feedback, support or action. The process consists of the following stages:

5.1 Induction and probation

All new staff must complete induction appropriate to their role. Where applicable, staff new to care should complete the Care Certificate standards and must not work without appropriate supervision until they have demonstrated the knowledge, skills and behaviours required for safe practice. Probation reviews must be carried out at defined intervals and must consider conduct, attendance, values, safeguarding awareness, practical competency and training compliance.

5.2 Regular supervision

All staff must receive regular one-to-one supervision in line with organisational requirements and service need. Supervision should normally take place throughout the year and more frequently where the staff member is new, subject to probation, returning from long-term absence, involved in incidents, managing complex caseloads, or where performance, conduct, capability or safeguarding concerns have been identified. Supervision discussions should include practice, wellbeing, workload, conduct, values, safeguarding, record keeping, training, competency and any support required.

5.3 Annual appraisal

Each staff member must receive a formal annual appraisal conducted by their line manager or another suitably authorised manager. The appraisal should review the full appraisal period and draw on relevant evidence, including:

• previous objectives and action plans;
• supervision records;
• training and refresher compliance;
• competency observations and spot checks;
• service user, family or professional feedback where appropriate;
• incident, complaint, compliment and audit findings where relevant;
• attendance, punctuality and conduct records;
• reflective discussions and examples of practice.

5.4 Self-assessment and preparation

Staff should be given reasonable notice of the appraisal meeting and invited to complete a self-assessment in advance. The appraiser must review all relevant records before the meeting to ensure the appraisal is evidence-based and balanced.

5.5 Appraisal discussion

The appraisal discussion must include:

• achievements and strengths;
• progress against previous objectives;
• quality of care and person-centred practice;
• communication, teamwork and professionalism;
• safeguarding knowledge and safe practice;
• compliance with policies, procedures and recording standards;
• training completed and training still required;
• role-specific competencies, including medicines support and moving and handling where relevant;
• equality, inclusion, dignity and respect in practice;
• wellbeing, workload and support needs;
• career development and progression.

5.6 Outcomes and action planning

Each appraisal must result in a documented outcome, which may include:

• objectives for the next review period;
• a personal development plan;
• competency reassessment;
• additional supervision;
• training or refresher training;
• mentoring, coaching or shadowing;
• capability support measures;
• referral into disciplinary, safeguarding or other formal procedures where necessary.

5.7 Escalation

Where serious concerns arise about competence, conduct, attendance, professional boundaries, safeguarding, medicines practice or safety, these must be addressed without delay under the relevant policy and must not be left until the next scheduled appraisal.

5.8 Frequency of Supervision and Appraisal

Formal appraisal will normally take place annually. However, regular supervision must take place throughout the year in accordance with organisational requirements and assessed risk. Additional supervision or interim review must be arranged where a staff member is:

• newly appointed or in probation;
• new to care or new to the role;
• subject to performance, conduct or safeguarding concerns;
• returning from long-term sickness absence, maternity leave or other extended absence;
• involved in incidents, complaints or repeated recording concerns;
• supporting people with particularly complex or high-risk needs.

This policy recognises that annual appraisal alone is not sufficient to provide effective workforce support or governance assurance.

6. Performance Assessment Criteria

Appraisal must consider the staff member’s role and responsibilities and, where applicable, include assessment of:

• person-centred care and respect for people’s preferences, choices, dignity and rights;
• safe working practice, including safeguarding, lone working, infection prevention and control, moving and handling, medicines support, risk awareness and escalation of concerns;
• reliability, punctuality, time management and completion of visits as allocated;
• quality and accuracy of care records and other documentation;
• communication with people using the service, relatives, colleagues and professionals;
• values, behaviour, professionalism and maintenance of boundaries;
• understanding of equality, diversity, human rights and reasonable adjustments;
• completion of mandatory training, refresher training and role-specific learning;
• observed competence and practical performance;
• responsiveness to feedback, learning from incidents and reflective practice;
• teamwork, accountability and contribution to service improvement;
• physical and emotional wellbeing as it affects the ability to work safely.

Where relevant, appraisal must also confirm whether the staff member continues to be suitable for their role and whether any further checks, reviews or support measures are needed.

7. Staff Development, Training and Competency

Following appraisal, each staff member must have a documented development plan proportionate to their role, level of experience and identified needs. Development activity may include induction, Care Certificate completion, mandatory training, refresher training, role-specific courses, observed practice, coaching, mentoring, shadowing, reflective supervision, qualifications and leadership development.

Training plans must take account of:

• statutory and mandatory learning requirements;
• service-specific risks and needs;
• outcomes of incidents, complaints, audits and spot checks;
• changes in legislation, guidance or best practice;
• the individual’s current competency and career aspirations.

Where staff support autistic people or people with a learning disability, training and supervision arrangements must reflect current legal requirements and guidance relevant to their role. Where appropriate, the organisation should use recognised learning disability and autism training in line with current national expectations.

Completion of training alone will not be treated as proof of competence. Where relevant, competence must also be checked through observation, discussion, supervision, spot checks, review of records and other appropriate assurance methods.

7.1 Equality, Diversity, Inclusion and Reasonable Adjustments

Appraisal and supervision must be conducted fairly, consistently and without discrimination. Managers must take account of the Equality Act 2010 and ensure that no staff member is disadvantaged because of a protected characteristic. Reasonable adjustments must be considered and implemented where required, including adjustments related to disability, language, communication needs, pregnancy, religion or other relevant individual circumstances.

Appraisal decisions must be based on evidence, role requirements and observed practice, not assumptions or bias. Where patterns suggest possible inequality or inconsistent treatment, these must be reviewed through governance processes.

7.2 Induction, Care Certificate and Role-Specific Competence

All newly appointed care staff must complete induction appropriate to their role. Where a worker is new to care, the organisation will use the Care Certificate standards, or any current recognised equivalent, as part of induction and initial assessment. Staff must not work without appropriate supervision until they have demonstrated the required standard of competence for the tasks they undertake.

Role-specific competence must be assessed and reviewed for tasks such as medicines support, moving and handling, use of equipment, safeguarding practice, record keeping, lone working and any specialist care tasks delegated within the scope of the service.

8. Responsibilities

8.1 Employees must:

• participate openly and professionally in supervision and appraisal;
• prepare for appraisal and complete self-assessment where requested;
• maintain required training and professional standards;
• work in line with policies, procedures and values;
• raise concerns affecting competence, safety, wellbeing or conduct;
• take reasonable steps to complete agreed development actions.

8.2 Managers and appraisers must:

• carry out supervision and appraisal fairly, consistently and on time;
• base appraisal decisions on evidence and relevant records;
• identify strengths, risks, support needs and development needs;
• make reasonable adjustments where required;
• address performance, conduct or safeguarding concerns promptly;
• ensure agreed actions are clearly documented, time-bound and reviewed;
• maintain confidentiality and secure record keeping;
• escalate issues appropriately under capability, disciplinary, safeguarding, health, attendance or whistleblowing procedures.

8.3 Registered manager and senior management must:

• monitor completion and quality of appraisals and supervisions;
• ensure managers are trained to conduct effective supervision and appraisal;
• review themes, trends and risks arising from appraisal outcomes;
• use appraisal information to inform governance, workforce planning, training provision and quality improvement.

9. Compliance, Confidentiality and Records

All appraisal and supervision records must be created, stored, accessed, retained and disposed of in accordance with the UK GDPR, the Data Protection Act 2018, organisational confidentiality arrangements and any applicable records retention schedule.

Appraisal records form part of the organisation’s governance and workforce assurance arrangements and may be reviewed by authorised managers, auditors, inspectors or other authorised persons where lawful and necessary. Records must be accurate, complete, signed or otherwise authenticated where required, and stored securely.

Confidentiality will be respected, but it is not absolute. Information may be shared on a need-to-know basis where this is necessary for safeguarding, disciplinary action, capability management, legal compliance, quality assurance, professional regulation or the safety of people using the service.

9.1 Links to Other Policies and Procedures

This policy should be read alongside the organisation’s policies on recruitment and selection, supervision, probation, capability, disciplinary matters, grievance, safeguarding, whistleblowing, equality and diversity, learning and development, medicines, lone working, health and safety, record keeping, confidentiality, data protection and complaints.

10. Monitoring, Evaluation, and Continuous Improvement

{{org_field_name}} will monitor compliance with this policy through management oversight, audits and governance review. Monitoring may include:

• completion rates for induction, supervision, probation review and annual appraisal;
• quality checks on appraisal documentation and action plans;
• training compliance and competency assurance;
• themes relating to safeguarding, conduct, attendance, turnover, complaints, incidents and service quality;
• evidence that actions identified in appraisal are completed within agreed timescales;
• evidence of fairness, consistency and reasonable adjustments.

Findings will be used to improve workforce planning, management practice, learning and development, and the quality of care provided. Where audits identify gaps, corrective action must be taken and monitored to completion.

11. Policy Review and Updates

This policy will be reviewed at least annually and sooner where there is a change in legislation, regulation, CQC guidance, inspection approach, workforce guidance, organisational learning, or identified service risk. The registered manager or nominated responsible person will ensure that any revision is communicated to relevant staff and that managers receive any necessary guidance or refresher training on implementation.

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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}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.