Appraisal Audit

Do appraisals accurately reflect the staff member's performance throughout the entire year, drawing on supervisions, spot checks, and feedback?

What we look for: Cross-reference appraisal content with the year's supervision notes and spot checks. Good looks like a holistic review of the year, addressing both positive feedback and prior performance issues. Fail if the appraisal ignores known performance concerns.

Evidence: Completed appraisal records, supervision notes, field observation records, compliment/complaint logs

Are specific, actionable training and professional development needs identified and recorded during the appraisal process?

What we look for: Review the development section of the appraisal. Good looks like tailored training requests (e.g., Level 3 Diploma, specialized dementia care) based on career aspirations and client needs. Fail if this section is consistently left blank.

Evidence: Appraisal documents, personal development plans (PDPs), training matrix

Does the appraisal include a documented discussion regarding the staff member's wellbeing, work-life balance, and any required support?

What we look for: Check the appraisal form for wellbeing prompts. Good looks like documented discussions about stress, workload, and reasonable adjustments. Fail if wellbeing is entirely omitted from the annual review process.

Evidence: Appraisal forms, occupational health referrals, flexible working requests

Are staff given adequate notice and preparation material prior to their appraisal to enable meaningful, two-way participation?

What we look for: Check if staff complete a self-reflection or pre-appraisal form. Good looks like staff having time to reflect on their achievements and challenges before the meeting. Fail if appraisals are done spontaneously with no staff preparation.

Evidence: Pre-appraisal questionnaires, email communications, staff meeting minutes

Are SMART (Specific, Measurable, Achievable, Relevant, Time-bound) objectives set collaboratively for the coming year?

What we look for: Evaluate the objectives set for the upcoming year. Good looks like 2-3 clear, achievable goals with target dates. Fail if goals are vague (e.g., 'do good work') or dictated by management without staff input.

Evidence: Appraisal goal-setting sections, PDPs, mid-year review notes

Is there an accurate, up-to-date appraisal matrix demonstrating that all eligible staff receive a comprehensive annual appraisal?

What we look for: Sample the appraisal matrix against the current active staff list. Good looks like a clear schedule showing when appraisals are due, completed, and overdue. Fail if there is no tracker or if significant numbers of staff are overdue without documented mitigation.

Evidence: Appraisal matrix, HR tracking system, staff files

Is there evidence that actions and training needs identified in previous appraisals have been completed and followed up?

What we look for: Track the goals from the previous year's appraisal to the current one. Good looks like clear evidence that promised training was booked and goals were reviewed. Fail if the same unaddressed goals carry over year after year.

Evidence: Previous year appraisal forms, training certificates, supervision notes showing follow-up

Is staff performance and attitude explicitly evaluated against the service's core values and person-centred care principles?

What we look for: Look for specific assessment of how the staff member demonstrates the provider's values (e.g., dignity, respect, choice). Good looks like behavioral examples being discussed. Fail if the appraisal focuses solely on task completion.

Evidence: Value-based appraisal templates, feedback from service users, peer feedback