{{org_field_logo}}

{{org_field_name}}

Registration Number: {{org_field_registration_no}}

---

Staff Appraisal Policy

1. Purpose

The purpose of this policy is to establish a structured and effective staff appraisal system within {{org_field_name}}, ensuring compliance with the latest Care Quality Commission (CQC) regulations. Staff appraisals are an essential component of workforce management, supporting professional development, enhancing performance, and improving the quality of care provided to service users. This policy outlines how {{org_field_name}} conducts appraisals efficiently to maintain high standards of service delivery and ensure staff feel valued, motivated, and aligned with the organisation’s goals.

2. Scope

This policy applies to all staff employed by {{org_field_name}}, including full-time, part-time, agency, and bank workers. It covers the annual performance appraisal process, probationary reviews, interim reviews, and ongoing professional development plans. This policy ensures that all staff are given the opportunity to receive structured feedback, set goals, and plan their career progression within the organisation.

3. Legal and Regulatory Compliance

3.1 CQC Requirements

• This policy aligns with CQC Regulation 18 – Staffing, ensuring that staff receive appropriate supervision, training, and development.
• Compliance with the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014, which mandates that providers ensure staff are competent and well-supported.
• Adherence to Equality Act 2010 principles to ensure fair and non-discriminatory appraisal processes.

3.2 Organisational Commitment to Best Practice

• The appraisal system is structured to meet sector-specific best practices outlined by Skills for Care and NHS Workforce Development.
• Staff engagement is a priority, ensuring that feedback is two-way, constructive, and used to improve personal and organisational performance.

4. Staff Appraisal Process

4.1 Frequency and Types of Appraisal

• Annual Appraisal: A formal review of performance, goal-setting, and professional development.
• Mid-Year Review: A structured check-in to assess progress and address any concerns.
• Probationary Review: Conducted at 3 and 6 months for new employees to ensure successful integration.
• Ad-hoc Performance Reviews: Where concerns arise or additional support is required, a supplementary review may be conducted.

4.2 The Appraisal Framework

• Staff appraisals are based on SMART (Specific, Measurable, Achievable, Relevant, Time-bound) objectives.
• The process focuses on five key areas:
  • Performance against job role requirements.
  • Alignment with organisational values and standards of care.
  • Training and professional development needs.
  • Career aspirations and succession planning.
  • Feedback from peers, service users, and line managers.

4.3 Documentation and Record-Keeping

• Appraisals are recorded in staff files in line with GDPR and the Data Protection Act 2018.
• Outcomes are documented, including any agreed actions, training needs, and future objectives.
• Staff have access to their own appraisal records to track progress.

5. Roles and Responsibilities

5.1 Managers and Supervisors

• Responsible for conducting fair and structured appraisals.
• Must provide clear and constructive feedback, focusing on both achievements and areas for improvement.
• Required to identify learning and development opportunities to enhance staff capabilities.
• Ensure that agreed actions and goals from appraisals are followed up effectively.

5.2 Staff Members

• Expected to actively participate in their appraisals, providing feedback on their experiences and areas where support is needed.
• Encouraged to reflect on their own performance and career aspirations.
• Required to take ownership of their personal development plan (PDP), engaging in recommended training or mentorship.

6. Identifying Training and Development Needs

6.1 Personal Development Planning

• Appraisals identify training requirements tailored to individual job roles.
• Staff members are encouraged to complete mandatory training and explore further development opportunities such as NVQs, specialist certifications, or leadership courses.

6.2 Access to Continuous Professional Development (CPD)

• Staff are supported in attending external workshops, online courses, and industry conferences.
• Training programs are reviewed to ensure they meet the evolving needs of the workforce and regulatory requirements.

7. Handling Underperformance

7.1 Identifying Performance Gaps

• If performance concerns are raised during an appraisal, the Performance Improvement Plan (PIP) process may be initiated.
• Clear objectives and support mechanisms are put in place, with follow-up meetings scheduled.
• If improvement is not achieved within an agreed timeframe, additional support, retraining, or disciplinary action may be considered.

7.2 Support and Supervision

• Staff requiring additional support receive mentorship, shadowing opportunities, and one-to-one coaching.
• Managers ensure that staff feel supported rather than penalised during performance improvement processes.

8. Staff Recognition and Career Progression

8.1 Rewarding Excellence

• High-performing staff are recognised through incentives, awards, and internal promotion opportunities.
• Outstanding contributions to service user care or team development may be highlighted in team meetings and newsletters.

8.2 Succession Planning

• Identifying potential future leaders within the organisation.
• Encouraging staff to take on additional responsibilities and progress into senior roles through structured career pathways.

9. Confidentiality and Data Protection

9.1 Confidentiality of Appraisal Records

• All appraisal records are stored securely and only accessible to authorised personnel.
• Compliance with GDPR and CQC requirements ensures that data is handled ethically and transparently.

10. Monitoring and Quality Assurance

10.1 Compliance Audits and Continuous Improvement

• Regular audits assess whether appraisals are being conducted effectively and fairly.
• Feedback from staff and managers is reviewed to refine the process and enhance engagement.
• Action plans are implemented where deficiencies are identified in the appraisal process.

11. Related Policies

This policy should be read in conjunction with:

• SL02 – Staff Training and Development Policy
• SL07 – Supervision and Performance Monitoring Policy
• SL13 – Equality, Diversity, and Inclusion Policy
• SL19 – Staff Well-being and Mental Health Policy
• SL25 – Disciplinary and Capability Policy

12. Policy Review

This policy will be reviewed annually or sooner if CQC regulations, business needs, or staff feedback require updates.

---

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.