Appraisals Audit - Care Homes

Q1 | Unanswered

Is there a current Appraisal / Performance Review policy that defines annual review requirements, responsibilities, and documentation standards?

Q2 | Unanswered

Is there a named lead responsible for appraisal governance (e.g., Registered Manager/HR lead) with oversight of compliance and quality?

Q3 | Unanswered

Is appraisal completion monitored (e.g., monthly KPI) with reporting to governance/quality meetings and action plans for shortfalls?

Q4 | Unanswered

Are appraisers trained/briefed to deliver consistent, fair, evidence-based appraisals (including handling difficult conversations)?

Q5 | Unanswered

Is there a clear escalation process for performance concerns identified at appraisal (capability, conduct, safeguarding, training deficits)?

Q6 | Unanswered

Are appraisal records stored securely and managed in line with GDPR/information governance requirements?

Q7 | Unanswered

Do all eligible staff receive an annual appraisal within the required timeframe (e.g., every 12 months from last appraisal)?

Q8 | Unanswered

Are appraisals planned in advance with protected time to prevent repeated postponements?

Q9 | Unanswered

Are appraisal cycles inclusive of night staff, part-time staff, and staff on maternity/sick leave (with appropriate adjustments)?

Q10 | Unanswered

Are newly appointed staff appraised at the appropriate point following probation confirmation and role stabilisation?

Q11 | Unanswered

Are appraisals completed for senior staff and managers, demonstrating accountability and leadership oversight?

Q12 | Unanswered

Where appraisals are overdue, is there a documented plan to recover compliance with clear timescales?

Q13 | Unanswered

Do appraisals include review of role expectations against job description and competency framework?

Q14 | Unanswered

Is performance evaluated using multiple evidence sources (supervisions, spot checks, audits, feedback, incidents, attendance data)?

Q15 | Unanswered

Do appraisals review how the staff member upholds values and delivers person-centred care (dignity, respect, consent, compassion)?

Q16 | Unanswered

Do appraisals include discussion of safeguarding responsibilities and evidence of safe practice and escalation behaviour?

Q17 | Unanswered

Is record-keeping quality reviewed (accuracy, timeliness, objectivity, confidentiality) with examples where possible?

Q18 | Unanswered

For medication-authorised staff, does the appraisal include medication competence indicators (errors, MAR quality, PRN adherence, training)?

Q19 | Unanswered

For moving & handling, does appraisal include competence and safe practice indicators (transfer plan adherence, equipment use, incidents)?

Q20 | Unanswered

Does appraisal include infection prevention and control practice indicators (PPE, hand hygiene, outbreak compliance, cleanliness standards)?

Q21 | Unanswered

Are resident outcomes and experience considered (compliments, complaints, resident/family feedback) relevant to the staff member’s role?

Q22 | Unanswered

Does appraisal include teamwork and communication (handover quality, escalation, multidisciplinary working)?

Q23 | Unanswered

Are equality, diversity, and inclusion behaviours reviewed (respect, non-discrimination, reasonable adjustments, inclusive practice)?

Q24 | Unanswered

Does the appraisal consider professional conduct, boundaries, and confidentiality (including social media awareness where relevant)?

Q25 | Unanswered

Are objectives set that are specific to the role and service priorities (quality, safety, resident experience, compliance)?

Q26 | Unanswered

Are objectives SMART (specific, measurable, achievable, relevant, time-bound) with clear review points?

Q27 | Unanswered

Are development needs identified and linked to the training matrix with timescales and resources agreed?

Q28 | Unanswered

Is there a clear plan for competency development where gaps exist (mentoring, shadowing, retraining, reassessment)?

Q29 | Unanswered

Are career aspirations discussed (NVQ progression, senior roles, specialist lead roles) with a realistic development pathway?

Q30 | Unanswered

For regulated professionals (e.g., nurses), does appraisal support professional requirements (NMC revalidation: CPD, reflections, confirmation)?

Q31 | Unanswered

Are leadership development needs addressed for seniors/managers (supervision skills, governance, incident investigation, coaching)?

Q32 | Unanswered

Does the appraisal include a structured wellbeing discussion (workload, stress, fatigue, support needs) with actions where required?

Q33 | Unanswered

Are reasonable adjustments discussed and documented for staff with health/disability needs (where relevant and agreed)?

Q34 | Unanswered

Are attendance and punctuality reviewed fairly, including triggers for support or formal processes where needed?

Q35 | Unanswered

Is there evidence of recognition of strengths and achievements (what the staff member does well, impact on residents/team)?

Q36 | Unanswered

Do staff leave appraisal with clarity on expectations, support available, and next steps?

Q37 | Unanswered

Where performance concerns are identified, is there a clear improvement plan (objectives, support, monitoring, review dates)?

Q38 | Unanswered

Are concerns evidenced with examples rather than general statements, and is the staff member’s response recorded?

Q39 | Unanswered

Are any safeguarding-related concerns escalated immediately outside the appraisal process where required?

Q40 | Unanswered

Is there evidence of follow-up checkpoints during the year (via supervisions) to monitor progress against appraisal goals?

Q41 | Unanswered

Are repeat themes (e.g., documentation issues) tracked across appraisals to ensure improvement, not recurring neglect?

Q42 | Unanswered

Is the appraisal process applied consistently across roles and shifts, with standard templates and calibration where needed?

Q43 | Unanswered

Are appraisals conducted in a private, respectful setting with sufficient time for meaningful discussion?

Q44 | Unanswered

Do staff have an opportunity to provide self-assessment input and raise concerns/issues during appraisal?

Q45 | Unanswered

Are outcomes and ratings (if used) applied objectively and free from bias, with rationale documented?

Q46 | Unanswered

Is there a process for staff to challenge or appeal appraisal outcomes if they disagree?

Q47 | Unanswered

Are appraisal documents dated and signed by both parties, with clear start/end times or evidence of meaningful engagement?

Q48 | Unanswered

Do records include: review summary, evidence sources considered, achievements, concerns, objectives, training plan, and wellbeing actions?

Q49 | Unanswered

Are appraisal records stored securely in personnel files and accessible for audit/inspection?

Q50 | Unanswered

Is there evidence that appraisal themes feed into service-wide development plans (training priorities, recruitment, quality improvement)?

Q51 | Unanswered

Can the home provide an appraisal tracker for the last 12–24 months showing due dates, completion dates, and overdue cases?

Q52 | Unanswered

Can random appraisal samples demonstrate evidence-based review, meaningful reflection, and SMART objectives with follow-up?

Q53 | Unanswered

Can staff describe how their last appraisal influenced their development or practice (specific examples)?

Q54 | Unanswered

Are there patterns in appraisal outcomes (training gaps, leadership issues) and evidence that management acted on them?