Open Care Connect — Staff Supervision & Performance

Select Staff Member

Staff member

Role & ID

Employee Performance Appraisal

HR-EPA-001 | V1.1 | NDIS Practice Standards 1.1 — Human Resources

Staff member completes Part A (self-assessment) independently before the meeting. Parts B–H are completed together during the meeting. Both parties must sign. Ratings of 1 or 2 must be supported by documented evidence and an improvement plan.

A — Appraisal Details

Review Period (From / To)

Date of Appraisal Meeting

Appraising Manager / Assessor

Appraisal Type

3-Month Probation 6-Month Probation Annual Mid-Year Check-in

Part A — Self-Assessment (completed by staff before the meeting)

Complete this section independently and honestly before your appraisal meeting. This is your opportunity to reflect on your work. There are no wrong answers — be honest and thoughtful.

What have been your key achievements and contributions during this review period?

What aspects of your role do you find most rewarding? Why?

What challenges or difficulties have you faced, and how did you address them?

What training, support, or resources would help you perform better in your role?

What are your professional goals and aspirations for the next 12 months?

Part B — Core Competency Assessment

Rating scale: 1 = Unsatisfactory | 2 = Below expectations | 3 = Meets expectations | 4 = Exceeds expectations | 5 = Outstanding. Provide specific evidence for every rating.

Competency	Rating (1–5)	Evidence / Development Comments
Person-centred practice and active support
NDIS Code of Conduct compliance
Communication — verbal and written
Participant safety, risk awareness, and hazard reporting
Incident identification, documentation, and reporting
Documentation quality, accuracy, and timeliness
Cultural safety and responsiveness
Confidentiality and information management
Teamwork, collaboration, and professional relationships
Reliability, punctuality, and attendance
Initiative and continuous improvement mindset
Compliance with OCC policies, procedures, and standards

Part C — Performance Against Goals from Previous Review

Goal Set in Previous Review	Status	Comments

Part D — Goals for Next Review Period

Goal	Success Measure	Support Needed	Target Date

Part E — Training and Development Plan

Training Required	Type	Provider / Mode	Priority	Target Date

Part F — Overall Performance Rating

5 — Outstanding
Consistently exceeds all expectations; a strong contributor to OCC's culture and quality

4 — Exceeds Expectations
Regularly above standard; demonstrates strong capability and initiative

3 — Meets Expectations
Consistently meets the required standard; fulfils all role responsibilities

2 — Below Expectations
Requires improvement in key areas; a formal improvement plan is required

1 — Unsatisfactory
Significant improvement required immediately; performance management process to commence

Part G — Manager Summary

Overall assessment narrative

Part H — Staff Response

Staff member response (optional)

Appraisal Signatures

Staff Member Signature

Appraising Manager Signature

Senior Manager / CEO (if rating 1 or 2)

Performance Agreement

HR-PA-001 | V1.1 | NDIS Practice Standards 1.1 — Human Resources

Complete at commencement (within first 4 weeks), at 3-month probation review, and annually thereafter. File the completed and signed agreement in 06_Performance_Supervision within the staff member's folder.

Section A — Staff and Review Details

Review Type

Commencement 3-Month Probation Annual Ad-hoc / Concern

Reviewing Manager

Review Period (From / To)

Agreement Date

Next Review Date

Section B — Performance Goals

Set 3–6 SMART goals. At minimum include one goal linked to participant outcomes and one linked to professional development. Rating scale at review: 1 = Below Expectations | 3 = Meets Expectations | 5 = Outstanding.

#	Goal Description	Success Measure / KPI	Target Date	Rating	Comments

Section C — Core Competency Assessment

Competency	Rating (1–5)	Evidence / Development Comments
Person-centred practice and active support
NDIS Code of Conduct and Practice Standards knowledge
Communication (verbal and written)
Participant rights, dignity, and safety
Incident and risk identification and reporting
Confidentiality and information management
Teamwork, reliability, and attendance
Compliance with policies, procedures, and documentation
Continuous improvement and professional development
Cultural safety and responsiveness

Section D — Development Needs and Actions

Development Need / Skill Gap	Actions to Address	Support / Resources	Target Date	Status

Section E — Mandatory Training Status

Training / Course	Type	Provider	Target / Due Date
NDIS Orientation Module	Mandatory	NDIS Commission	Within 3 months
First Aid / CPR Renewal	Mandatory		Per expiry
NDIS Practice Standards (refresher)	Mandatory	Internal / External	Annually
	Mandatory
	Optional

Section F — Staff Comments

Staff comments, feedback, or additional context (optional)

Performance Agreement Signatures

Staff Member Signature

Supervising Manager Signature

HR Officer (if applicable)

Staff Supervision & Observation Checklist

HR-SSOC-001 | V1.1 | NDIS Practice Standards 1.2 Governance & Operational Management | 1.1 Human Resources

This checklist is used during or following direct observation of a support worker delivering services. It is a supportive quality tool — NOT a disciplinary instrument. All feedback must be delivered respectfully and constructively. Both supervisor and staff member must sign.

Section A — Observation Details

Supervisor Conducting Observation

Date of Observation

Time Period — From

Time Period — To

Participant Code (no full names)

Support Type Observed

Personal care Community access Daily living support Complex support Support coordination

Was the staff member informed this was an observation?

Yes — notified in advance No — unannounced quality check

Section B — Person-Centred Practice

Observation Item	✅ Met	⚠️ Partial	❌ Not Met	N/A
Greeted participant warmly and respectfully by their preferred name
Asked participant how they wanted to be supported today before commencing
Offered meaningful choices throughout the support session
Respected participant's decisions including the right to decline or modify support
Communicated clearly, at appropriate pace and language level
Maintained participant's dignity, privacy, and modesty at all times
Responded appropriately to participant's emotional cues and non-verbal communication
Demonstrated knowledge of participant's goals and current support plan priorities
Involved participant in planning or deciding next steps (active support approach)
Did not make decisions on behalf of participant without express consent

Section C — Safety, Risk and Infection Control

Observation Item	✅ Met	⚠️ Partial	❌ Not Met	N/A
Work area was safe, free from obvious hazards, and appropriately set up
Personal Protective Equipment (PPE) was used correctly where required
Infection control protocols (hand hygiene, surface cleaning) were followed
Manual handling and physical support techniques were safe and correct
Medication handled in accordance with participant's medication plan (if applicable)
Hazard or risk identified during session was addressed or reported immediately
Emergency procedures and exit routes are known (confirmed verbally with staff)
Support delivered within the scope of training and authorisation

Section D — Documentation and Compliance

Observation Item	✅ Met	⚠️ Partial	❌ Not Met	N/A
Shift notes completed accurately and contemporaneously during or after the shift
Notes use objective, professional language (no judgement, slang, or conjecture)
Participant consent confirmed before commencing support activities
Privacy of participant maintained — no unnecessary disclosure to others
Support delivered within NDIS-funded scope and within the participant's plan
Incident or near-miss reporting obligation was understood (confirmed verbally)
No use of mobile phone for personal reasons during active support time

Section E — Professional Conduct and Boundaries

Observation Item	✅ Met	⚠️ Partial	❌ Not Met	N/A
Arrived on time and presented professionally for the observed shift
Dress, hygiene, and presentation appropriate to the role and environment
Professional boundaries maintained in all interactions with participant
Interactions with other staff and coordinators were respectful and collaborative
Did not share personal opinions, religious views, or lifestyle preferences unsolicited
Demonstrated initiative — identified needs proactively without being directed
Remained calm and composed when faced with challenging behaviour or situations

Section F — Strengths Observed

Describe what this staff member did particularly well during the observed session. Be specific — reference exact moments or behaviours.

Section G — Areas for Development

Describe specific behaviours or practices the staff member should focus on improving. Be constructive, specific, and forward-focused.

Section H — Agreed Development Actions

Action Required	Responsibility	Target Date	Completed

Section I — Overall Outcome

Practice is of a good standard
Continue with regular supervision schedule

Minor development areas identified
Addressed through agreed actions in Section H

Supervision plan to be developed
In addition to regular schedule

Formal performance review required
Refer to HR and Senior Manager

⚠ IMMEDIATE CONCERN
Escalate to Manager / Quality & Compliance now — do not delay

If immediate concern — brief description

Follow-up review date (if required)

Both parties acknowledge this observation was conducted in good faith. The staff member has had the opportunity to review and respond to the findings. Signing confirms receipt — it does not necessarily indicate agreement with all findings.

Observation Signatures

Staff Member Signature

Supervising Manager Signature

Quality & Compliance (if escalated)

Warning Letter

HR-WLT-001 | V1.1 | Fair Work Act 2009 | OCC HR Policy

Authorisation required. This letter may only be issued by the Director or a delegated Senior Manager. Before issuing:

Ensure the matter has been investigated fairly and the staff member given an opportunity to respond verbally
Confirm the HR Policy has been followed and this is documented
For terminations or escalated disciplinary action — seek legal advice
Keep a copy in the staff member's personnel file (03_Employment_Conduct)

Warning Details

Date Issued

Warning Type

Verbal Warning (documented) First Written Warning Final Written Warning

Section 1 — Matter Under Review

Factual description of the incident, conduct, or performance concern

Section 2 — Relevant Policy or Standard

Identify the policy, procedure, or standard that was not met

Section 3 — Expected Standard of Conduct

Clearly describe the expected conduct going forward

Section 4 — Consequences of Further Breach

Further disciplinary action up to and including termination of employment

Immediate referral to the NDIS Commission (where conduct involves a participant)

Section 5 — Right to Respond: The staff member has 5 business days to respond. A support person may be present in any discussions.
Section 6 — Support Available: OCC is committed to supporting this staff member to meet the expected standard of conduct. If personal or health matters are a contributing factor, raise these with the manager or HR Officer.

Warning Letter Signatures

CEO / Authorized Manager Signature