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Staff Appraisal Policy

1. Purpose

The purpose of this policy is to establish a structured, fair, and effective staff appraisal system that ensures all employees receive regular feedback, development opportunities, and performance evaluations. Our home care service recognises that continuous professional development is essential in delivering high-quality, person-centred care. Staff appraisals serve as a key tool for identifying strengths, training needs, and career progression opportunities, while maintaining compliance with Care Inspectorate Wales (CIW) regulations and best practice guidance.

This policy ensures compliance with the Regulation and Inspection of Social Care (Wales) Act 2016, the Social Services and Well-being (Wales) Act 2014, and workforce development standards set out by Social Care Wales. It aligns with our organisation’s commitment to staff support, engagement, and retention, recognising that well-supported employees deliver the best care for service users.

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, including care workers, supervisors, and managers, regardless of their length of service.
• Volunteers and contracted workers, where relevant, to ensure alignment with organisational standards.
• 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.
• Interim performance reviews may take place every six months or as required to monitor progress and provide feedback.
• Appraisals will be scheduled in advance, ensuring both the appraiser and the employee have adequate preparation time.

3.2 Roles and Responsibilities

• The Registered Manager ({{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}) is responsible for overseeing the appraisal process and ensuring compliance with regulatory requirements.
• 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 Social Care Wales Code of Professional Practice.
• Effectiveness in handling medication, safeguarding, infection control, and risk management.
• Ability to use digital care records and administrative tools effectively.

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 involve a self-assessment by the employee and an evaluation by their manager, with evidence drawn from observations, feedback, and performance records.

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.

6. Addressing Performance Concerns and Implementing Improvement Plans

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.

If performance does not improve, formal disciplinary action may be considered, in line with the Disciplinary and Grievance Policy (DCW31).

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.
• 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.

7.2 Confidentiality and Data Protection

• All appraisal records will be stored securely in compliance with GDPR and the Confidentiality and Data Protection Policy (DCW34).
• Information will be shared only on a need-to-know basis with authorised personnel.
• Employees have the right to access their appraisal records upon request.

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.

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 Registered Manager is responsible for ensuring full compliance.

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Responsible Person: {{org_field_registered_manager_first_name}} {{org_field_registered_manager_last_name}}
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