Appraisals Audit - Care Homes

Evidence to check

• • Current appraisal policy is available and reviewed
• • Policy states who must receive an appraisal and how often
• • Policy defines appraiser responsibilities, documentation standards, confidentiality and escalation routes
• • Policy links appraisal with supervision, training, competence, wellbeing and service improvement

Evidence to check

• • Named registered manager, deputy manager, HR lead or appraisal lead is documented
• • Responsibilities include tracking, quality checks, overdue follow-up and reporting
• • Deputy arrangements are in place
• • Lead can explain current appraisal compliance and improvement actions

Evidence to check

• • Appraisal tracker is reviewed regularly
• • Completion rates are reported to governance or quality meetings
• • Overdue appraisals have action plans with owners and deadlines
• • Repeated shortfalls are escalated and reviewed for root cause

Evidence to check

• • Appraisers have received guidance or training on appraisal practice
• • Training includes objective feedback, difficult conversations, bias awareness and SMART objectives
• • Appraisers understand how to use evidence from supervision, audits, incidents and feedback
• • Appraisal quality is checked across appraisers for consistency

Evidence to check

• • Policy explains escalation for capability, conduct, safeguarding, competence and training concerns
• • Urgent concerns are escalated immediately and not delayed until appraisal
• • Performance concerns are linked to supervision, HR or capability processes where required
• • Escalated concerns are tracked to outcome

Evidence to check

• • Appraisal records are stored securely in personnel files or approved digital systems
• • Access is restricted to authorised people
• • Retention and disposal follow policy
• • Sensitive health, conduct or performance information is recorded proportionately

Evidence to check

• • Appraisal tracker shows due dates and completion dates
• • All eligible permanent staff are included
• • Completion is checked against personnel files
• • Overdue appraisals are identified and rebooked

Evidence to check

• • Appraisals are scheduled ahead of due dates
• • Staff receive reasonable notice
• • Sessions are not routinely cancelled due to operational pressures
• • Appraisals are given enough time for proper review and discussion

Evidence to check

• • Tracker includes night, part-time and other eligible staff groups
• • Reasonable adjustments are made for staff returning from absence
• • Appraisals are not missed because staff work non-standard hours
• • Delayed appraisals due to absence are documented and rearranged appropriately

Evidence to check

• • Probation completion links into the appraisal cycle
• • New staff are not appraised too early without sufficient evidence of role performance
• • First appraisal includes induction, confidence, competence and development needs
• • Appraisal schedule is updated after probation confirmation

Evidence to check

• • Senior carers, nurses, deputy managers and managers have appraisal records
• • Leadership performance, governance responsibilities and supervision quality are reviewed
• • Senior staff objectives link to service improvement and team performance
• • No staff group is exempt from meaningful appraisal

Evidence to check

• • Overdue appraisals are listed
• • Recovery plan includes responsible appraiser and target date
• • Reasons for delay are recorded
• • Progress is monitored until compliance improves

Evidence to check

• • Appraisal references the staff member's role and responsibilities
• • Competency framework or role standards are reviewed
• • Any role changes or additional duties are discussed
• • Staff understand what is expected of them

Evidence to check

• • Appraisal uses evidence from supervision, spot checks, audits, observations, feedback, incidents and attendance where relevant
• • Feedback is specific and evidence-based
• • Performance judgements are not based on memory or opinion alone
• • Evidence is used fairly and proportionately

Evidence to check

• • Discussion includes dignity, respect, consent, compassion and resident choice
• • Examples of person-centred practice are recorded
• • Concerns about attitude, tone or task-focused care are addressed
• • Strengths in caring practice are recognised

Evidence to check

• • Safeguarding knowledge, reporting and professional curiosity are discussed
• • Any safeguarding involvement or learning is reviewed appropriately
• • Staff understand whistleblowing and escalation routes
• • Training or supervision actions are set where knowledge gaps exist

Evidence to check

• • Care notes, charts, handovers or electronic records are discussed where relevant
• • Accuracy, timeliness, objectivity, confidentiality and respectful language are reviewed
• • Audit findings are used as evidence
• • Actions are set where documentation requires improvement

Evidence to check

• • Medication errors, near misses, MAR quality, PRN protocols and stock management are reviewed where relevant
• • Medication competency sign-off is current
• • Training and refresher needs are identified
• • Staff are not authorised beyond their competence

Evidence to check

• • Moving and handling training and competency are reviewed
• • Transfer plan adherence, hoist use, sling selection and incident learning are discussed
• • Unsafe practice is addressed with retraining or supervision
• • Staff confidence in moving and handling is explored

Evidence to check

• • Hand hygiene, PPE, outbreak practice and cleaning standards are discussed where relevant
• • IPC audit findings or incidents are reviewed
• • Staff understand their IPC responsibilities
• • Training or observation is arranged where practice needs improvement

Evidence to check

• • Resident, family and professional feedback is considered where relevant
• • Compliments and complaints are reviewed fairly
• • Resident outcomes linked to the staff member's role are discussed
• • Appraisal recognises positive impact on resident wellbeing and experience

Evidence to check

• • Handover quality, escalation, teamwork and multidisciplinary communication are discussed
• • Examples of good communication or communication breakdowns are recorded
• • Actions are set where teamwork or communication needs improvement
• • Staff understand how communication affects safety and continuity

Evidence to check

• • Appraisal considers respectful, inclusive and non-discriminatory practice
• • Staff understanding of protected characteristics and reasonable adjustments is reviewed where relevant
• • Concerns about discriminatory language or behaviour are escalated
• • Good inclusive practice is recognised

Evidence to check

• • Professional boundaries, confidentiality and conduct are discussed
• • Social media and digital professionalism are covered where relevant
• • Concerns are documented with examples
• • Staff understand expected standards inside and outside the workplace

Evidence to check

• • Objectives are linked to role, competence and service needs
• • Objectives support quality, safety, resident experience or compliance
• • Objectives are meaningful rather than generic
• • Staff understand why each objective matters

Evidence to check

• • Objectives are specific, measurable, achievable, relevant and time-bound
• • Review points are set through supervision or mid-year review
• • Objectives include expected evidence of completion
• • Unclear or vague objectives are revised

Evidence to check

• • Training needs are recorded in the appraisal
• • Training matrix or development plan is updated
• • Timescales and resources are agreed
• • Progress is followed up during supervision

Evidence to check

• • Competency gaps are documented clearly and fairly
• • Plan includes mentoring, shadowing, retraining, observation or reassessment
• • Staff are not allocated high-risk tasks until competent where required
• • Review dates and outcomes are recorded

Evidence to check

• • Appraisal records include career goals where the staff member wishes to discuss them
• • NVQ, apprenticeship, senior roles, specialist lead roles or mentoring opportunities are considered
• • Development pathway is realistic and linked to service need
• • Progress is reviewed during the year

Evidence to check

• • CPD, reflective accounts, feedback, practice hours and confirmation needs are discussed where relevant
• • Professional registration status is monitored
• • Support is offered without replacing the professional's own responsibility
• • Professional standards and accountability are reviewed

Evidence to check

• • Leadership, supervision, coaching, incident investigation and governance skills are reviewed
• • Senior staff receive development objectives linked to leadership responsibilities
• • Team management and role modelling are discussed
• • Leadership gaps are supported with training or mentoring

Evidence to check

• • Workload, stress, fatigue, morale and support needs are discussed
• • Wellbeing concerns are recorded with agreed actions where needed
• • Signposting, adjustments or occupational health are considered
• • Wellbeing actions are followed up during supervision

Evidence to check

• • Health, disability, pregnancy, neurodiversity or flexible working needs are discussed where appropriate
• • Adjustments are documented confidentially
• • Occupational health advice is sought where needed
• • Adjustments are reviewed for effectiveness

Evidence to check

• • Attendance, sickness patterns and punctuality are reviewed using accurate data
• • Discussion is fair, supportive and non-discriminatory
• • Support needs, adjustments or occupational health referrals are considered
• • Formal processes are used only where appropriate and in line with policy

Evidence to check

• • Appraisal records examples of what the staff member does well
• • Achievements are linked to resident outcomes, teamwork or service improvement
• • Compliments or positive feedback are shared where appropriate
• • Recognition is balanced and meaningful

Evidence to check

• • Appraisal summary clearly states agreed objectives and actions
• • Staff know what support is available
• • Next review or supervision follow-up is recorded
• • Staff signature or comments confirm understanding where used

Evidence to check

• • Improvement plan includes specific concerns, expected standard and support offered
• • Objectives are measurable and time-bound
• • Review dates are documented
• • Formal capability or conduct routes are used where required

Evidence to check

• • Concerns are supported by examples from supervision, observation, incidents, audits or feedback
• • Records avoid vague statements or unsupported opinions
• • Staff member's view or response is recorded
• • Disagreements are handled professionally

Evidence to check

• • Records show safeguarding concerns are not delayed until annual appraisal
• • Immediate reporting routes are used
• • Safeguarding lead, local authority or CQC notification is considered where required
• • Appraisal references safeguarding learning only where appropriate and safe

Evidence to check

• • Supervision records refer back to appraisal objectives
• • Mid-year or interim reviews are completed where used
• • Progress, barriers and support needs are documented
• • Objectives are updated if role or service priorities change

Evidence to check

• • Recurring issues such as documentation, medication errors, attitude, attendance or training gaps are identified
• • Managers check whether previous actions were effective
• • Repeated concerns trigger stronger support or formal processes where needed
• • Service-wide themes are escalated to governance

Evidence to check

• • Standard templates and expectations are used
• • Night staff, part-time staff, seniors, nurses and ancillary staff receive comparable quality of appraisal
• • Calibration or quality checks identify inconsistent appraiser practice
• • Inconsistencies are addressed through appraiser support

Evidence to check

• • Staff confirm appraisal discussions are private and respectful
• • Sessions are not rushed or held in unsuitable public areas
• • Interruptions are minimised
• • Staff feel able to speak honestly

Evidence to check

• • Self-assessment or staff comments are included where used
• • Staff are invited to discuss achievements, challenges and support needs
• • Concerns raised by staff are recorded and acted on
• • Ideas for service improvement are captured

Evidence to check

• • Ratings have clear criteria and rationale
• • Evidence supports the outcome
• • Outcomes are reviewed for consistency across staff groups
• • Potential bias, favouritism or discrimination is challenged

Evidence to check

• • Policy explains how staff can challenge appraisal content or rating
• • Staff are informed of this process
• • Disagreements are recorded respectfully
• • Appeals or challenges are handled fairly and confidentially

Evidence to check

• • Records include date, appraiser and appraisee
• • Records are signed or electronically confirmed by both parties where required
• • Start and end times or sufficient detail evidence a meaningful session
• • Incomplete or unsigned records are followed up

Evidence to check

• • Records follow the expected template
• • Evidence sources are listed
• • Achievements and concerns are clearly documented
• • Objectives, development needs and wellbeing actions are included

Evidence to check

• • Appraisal records are filed correctly
• • Records can be located promptly during audit
• • Access is restricted and confidential
• • Records are complete and retained according to policy

Evidence to check

• • Common appraisal themes are analysed
• • Themes inform training priorities, recruitment, supervision, wellbeing and quality improvement plans
• • Leadership reviews themes at governance level
• • Staff are informed of relevant service-wide learning

Evidence to check

• • Tracker is current and accurate
• • Due dates and completion dates are visible
• • Overdue cases include reasons and planned completion dates
• • Tracker reconciles with sampled staff files

Evidence to check

• • Sampled appraisals contain individualised content
• • Evidence sources are clearly referenced
• • Objectives are SMART and relevant
• • Follow-up is visible in later supervision or review records

Evidence to check

• • Staff can give specific examples of learning or development from appraisal
• • Examples may include training, promotion, improved care practice, confidence or wellbeing support
• • Staff understand their objectives
• • Feedback is used to improve the appraisal process

Evidence to check

• • Management reviews themes such as training gaps, leadership needs, documentation issues, wellbeing concerns or career aspirations
• • Themes are linked to service improvement actions
• • Actions have owners and timescales
• • Impact is reviewed through governance

Evidence to check

• • Audit checks timeliness, evidence quality, reflection, SMART objectives and follow-up
• • Poor-quality or generic appraisals are challenged
• • Appraiser feedback or training is provided where needed
• • Audit results lead to measurable improvement in appraisal practice

Evidence to check

• • Appraisal objectives are followed up through supervision
• • Competency and training actions are monitored
• • Wellbeing actions are reviewed
• • Managers can evidence how appraisal contributes to safer, kinder and more effective care