Are Performance Appraisals a Legal Requirement in the UK?

No — for most UK employers, performance appraisals are not a legal requirement. No general employment law says you must hold an annual appraisal. Acas says employers “should conduct regular performance reviews” for employees and that it is “a good idea” to hold them at least once a year, but that is good-practice guidance, not law. There are important exceptions: CQC-registered health and care providers in England, maintained schools in England, and designated bodies for doctors all have appraisal duties written into regulations. And even where appraisals are optional, the records they create are often what an employer relies on if it ever has to show that a capability dismissal was fair.

At a glance: Nexis CPD’s £9 Performance Appraisals course covers planning, running and recording fair appraisals. It is CPD accredited and 100% online with a verifiable e-certificate, and any three courses cost £18. It is awareness training, not a regulated qualification.

Are performance appraisals a legal requirement in the UK?

Not in general. The core statutes that govern employment in Great Britain — including the Employment Rights Act 1996 and the Equality Act 2010 — do not require employers to hold appraisals, set objectives or review performance on any timetable. A small business that never holds a formal appraisal is not breaking employment law simply by not having them.

What the law does regulate is how you treat people when you do judge their performance. That includes not discriminating, making reasonable adjustments for disabled employees, following a fair procedure before a capability dismissal, and handling the personal data you create. Appraisals sit on top of all of those duties.

The Acas guidance on reviews and appraisals (last updated 23 June 2026) sets the expected standard. It says: “Employers should conduct regular performance reviews for anyone with the legal status of employee. It’s a good idea to do them at least once a year.” Acas uses “should” for good practice. It does not say “must”, and there is no penalty for an employer who chooses a different approach.

So the honest answer has three parts:

• for most employers, appraisals are good practice, not a legal duty;
• for some regulated sectors, appraisal duties are written into law;
• for everyone, appraisal records often become legal evidence when performance problems turn into disputes.

What does Acas say about appraisals?

Acas describes performance reviews as “a chance to discuss someone’s work”, including:

• what they are doing well;
• any areas for improvement;
• whether they need more support or training;
• their career and any development objectives.

It notes they are “sometimes known as ‘appraisals'”. Its practical advice includes:

• Base reviews on clear criteria — for example, whether the employee is meeting agreed objectives, “demonstrating the right behaviours in their work”, and following any agreed development plan.
• Keep a written record. “It’s important to keep a written record of what is discussed. This should be shared with the employee afterwards.”
• Do not rely on the annual meeting alone. “Managers should still talk to employees informally about their performance on a regular basis”, through feedback, coaching and regular one-to-ones.
• Set SMART objectives — specific, measurable, achievable, relevant and time-bound. Acas says objectives “should be fair and reflect the employee’s usual tasks and workload”.

Acas also distinguishes between employees and workers. Its guidance is aimed at people with the legal status of employee. It says employers “might choose to conduct performance reviews” for workers, such as many casual and zero-hours staff, because this “could help maintain good working relationships”.

Which jobs have a legal appraisal requirement?

Three groups stand out where appraisal is a regulatory requirement, not just good practice:

• Health and social care in England — staff of providers registered with the Care Quality Commission (CQC), under Regulation 18 of the Health and Social Care Act 2008 (Regulated Activities) Regulations 2014.
• Teachers in maintained schools in England — under the Education (School Teachers’ Appraisal) (England) Regulations 2012.
• Doctors — designated bodies must carry out regular appraisals as part of revalidation, under the Medical Profession (Responsible Officers) Regulations 2010.

Some other professions expect regular reflection or development reviews as part of registration or membership. Those requirements come from the professional body or regulator rather than from employment law. Our guides to CPD requirements by profession, such as CPD for HR professionals, cover those separately.

Do care providers have to carry out appraisals?

Yes, if they are registered with CQC in England. Regulation 18(2)(a) says staff employed in the provision of a regulated activity must “receive such appropriate support, training, professional development, supervision and appraisal as is necessary to enable them to carry out the duties they are employed to perform”.

The CQC’s guidance on Regulation 18 adds: “Staff should receive regular appraisal of their performance in their role from an appropriately skilled and experienced person and any training, learning and development needs should be identified, planned for and supported.”

Two details are worth knowing. First, the regulation does not set a frequency — it says “as is necessary” — so providers decide this in their own policy, and CQC judges whether it works in practice. Second, CQC says it “cannot prosecute for a breach of this regulation”, but it “can take regulatory action”. A provider that cannot show staff are appraised, or that appraisals lead to the training people need, is exposed to that action.

Appraisal is not the same as supervision. Supervision in care is usually more frequent, more practical and focused on day-to-day practice and wellbeing. Appraisal looks back over a longer period and forward at development. Our guide to supervision in care explains the difference and where the often-quoted supervision frequencies come from.

Do teachers have to have an appraisal?

Teachers in local-authority-maintained schools in England do. The Education (School Teachers’ Appraisal) (England) Regulations 2012 require:

• the governing body to adopt and make available “a document which sets out the appraisal process” (regulation 3);
• an appraisal period of “twelve months”, with exceptions for fixed-term contracts and new starters (regulation 5);
• objectives and the standards to be assessed against to be set at the start of each period (regulation 6);
• the head teacher to “appraise the performance of every other teacher”, and the governing body to appraise the head teacher with an external adviser (regulation 7);
• a written report to the teacher “as soon as practicable following the end of each appraisal period” (regulation 8).

The Regulations apply to teachers employed for one term or more. They do not apply to a teacher during their induction period or while they are subject to capability procedures. The definition of “school” covers community, voluntary, foundation and special schools and maintained nursery schools — not academies.

The Department for Education’s teacher appraisal guidance (July 2024) confirms this: “It is also good practice for academies to follow the appraisal regulations, although they are not legally required to do so.” In practice, many academy trusts run similar annual appraisal cycles under their own policies. The DfE also stresses that appraisal should be “a non-bureaucratic process” and that “reducing unnecessary workload should be at the forefront” of appraisal design. See our guide to CPD requirements for teachers for the wider picture.

Do doctors have to have an appraisal?

Yes. Under regulation 11 of the Medical Profession (Responsible Officers) Regulations 2010, a responsible officer must “ensure that the designated body carries out regular appraisals on medical practitioners”. Those appraisals must take account of “all available information relating to the medical practitioner’s fitness to practise”, including work done for other bodies. The responsible officer must also keep records of appraisals and other fitness-to-practise evaluations.

Appraisal for doctors feeds into revalidation with the General Medical Council, so it serves a regulatory purpose as well as an employment one. Our guide to CPD requirements for doctors covers how appraisal and revalidation fit together.

Why do appraisals matter if they are not compulsory?

Because they create evidence. If performance problems ever lead to a dismissal, the employer has to show the dismissal was fair.

Under section 98 of the Employment Rights Act 1996, one potentially fair reason for dismissal is a reason that “relates to the capability or qualifications of the employee”. Capability means capability “assessed by reference to skill, aptitude, health or any other physical or mental quality”. But having a fair reason is not enough. A tribunal then decides whether the employer “acted reasonably or unreasonably in treating it as a sufficient reason for dismissing the employee”.

Acas’s guidance on capability dismissals says an employer can only dismiss for poor performance if it has evidence of “the employee’s poor performance” and “any steps taken to support them to improve”. Its first example of evidence is “records of regular, fair performance reviews showing consistent performance issues”. It also says the fair procedure “must be in line with the Acas Code of Practice on disciplinary and grievance procedures”, which a tribunal will take into account. See our guide to disciplinary and grievance procedures.

The timing matters more than it used to. According to Acas’s Employment Rights Act 2025 page, from 1 January 2027 employees will be able to claim unfair dismissal “after 6 months of being in a job, instead of 2 years”, and “the limit on compensation for unfair dismissal will be removed”. Acas notes that in most cases how these changes are implemented depends on government consultations. If the change goes ahead as described, employers will need fair, documented performance management much earlier in employment than before — and regular reviews are the simplest way to build that record.

Is an appraisal the same as a performance improvement plan?

No. An appraisal is a routine review for everyone. A performance improvement plan (PIP) is a targeted response to a performance problem.

Acas’s guidance on problems with an employee’s performance describes the usual sequence:

1. Understand why. Employers “should try to understand why” there is a problem, and whether it is about capability (ability to do the job) or conduct (behaviour).
2. Support informally first. For capability problems, that might mean coaching, mentoring or training. Acas says employers “must provide ‘adequate resources’ to enable an employee to do their job”.
3. Consider reasonable adjustments. If the employee is disabled, the employer must make reasonable adjustments, and Acas says capability issues “might be resolved by making reasonable adjustments”.
4. Use a PIP if informal steps do not work. It should set “specific objectives”, “a reasonable timeline to meet them” and “any further support or training they need”.
5. Be clear about consequences. If the employee does not improve, the next step could be an extended timeline or “a final written warning, followed by a dismissal if the issue continues”.

Keeping these separate is good practice. The DfE’s teacher guidance says that where there are concerns, teachers “should receive informal focused support”, and that “in most cases this should be separate and come before any capability procedures are considered”. An appraisal meeting is not the place to spring a capability warning on someone for the first time.

Can an appraisal be discriminatory?

Yes, and this is where appraisals carry real legal risk. Section 39(2) of the Equality Act 2010 says an employer must not discriminate against an employee in the way it gives access to “opportunities for promotion, transfer or training or for receiving any other benefit”, by dismissing them, or by subjecting them to “any other detriment”. An unfair rating that blocks a promotion, a pay rise or a bonus can be all of these.

Common risk points include:

• Disability. Marking someone down for a shortfall caused by a disability, without considering adjustments. Under section 20, the duty to make adjustments applies where a “provision, criterion or practice” puts a disabled person at a substantial disadvantage — and appraisal targets can be exactly that.
• Pregnancy and maternity. Section 18 makes it discrimination to treat a woman unfavourably because of her pregnancy, pregnancy-related illness or because she has taken maternity leave. Marking someone down for targets missed while on maternity leave is a classic example of the risk.
• Subjective criteria. Vague judgements about “attitude” or “fit” leave room for bias. Our guide to unconscious bias training explains why structured, evidence-based criteria do more than training alone.
• Pay decisions. Acas’s guidance on performance-related pay says the process for deciding it “should be fair and objective”, and that employers “must avoid treating people ‘less favourably’ because of a protected characteristic”.

Can employees see their appraisal records?

Generally, yes. Appraisal notes, ratings and comments about a named employee are personal data. Article 15 of the UK GDPR gives individuals “the right to obtain from the controller confirmation as to whether or not personal data concerning him or her are being processed” and access to that data. That right is subject to exemptions set out in data protection law.

In practice, assume anything written in an appraisal could be read by the employee — and, if there is a dispute, by a tribunal. Write factually and fairly, record what was actually said, and keep comments about the job rather than the person. Acas’s advice to share the written record with the employee afterwards fits with this. Our GDPR guide explains the wider rules on storing and retaining staff records.

How do you run a fair and useful appraisal?

Bringing the Acas and DfE guidance together, a fair appraisal process usually looks like this:

1. Have a written policy. Explain how often reviews happen, who carries them out, how ratings (if any) work and how disagreements are recorded. Consult staff or their representatives when you design it.
2. Agree objectives at the start. Use SMART objectives that reflect the person’s real job and workload. The DfE suggests that if agreement cannot be reached, the appraiser sets the objectives and the appraisee “can record their disagreement in writing”.
3. Give feedback all year. Use regular one-to-ones so nothing in the formal review comes as a surprise.
4. Prepare with evidence. Look at work outcomes, feedback and training records — and ask the employee to prepare their own view.
5. Talk about more than targets. The DfE says appraisals should also discuss “workload, wellbeing, working hours, flexible working opportunities, and career aspirations”.
6. Agree development actions. Identify training and support, and follow through on them.
7. Write it up and share it. Keep a factual record and give the employee a copy.
8. Keep it proportionate. The DfE warns against excessive meetings, observations and evidence-gathering. A review that takes more time than it saves will not be done well.

Which courses help managers run appraisals?

These three £9 courses work well together for line managers, team leaders and HR staff, each with a verifiable certificate:

• Performance Appraisals — planning, running and recording fair performance reviews.
• Team Leading — giving feedback, setting goals and supporting people day to day.
• Employment Law — the legal framework behind capability, discipline and fair treatment.

Supervision in Care is a useful alternative for care managers, and Unconscious Bias for anyone designing rating systems. Any three courses cost £18 with the pay-for-2-get-3 offer — add them to the cart and the discount applies automatically. These are awareness courses: CPD accredited, but not regulated qualifications, and not a substitute for HR or legal advice on individual cases.

Frequently asked questions

Is it a legal requirement to have an annual appraisal?

Not for most UK employers. No general employment law requires appraisals. Acas recommends regular performance reviews for employees, at least once a year, as good practice. Appraisal is a regulatory requirement for CQC-registered care providers, maintained schools in England and doctors’ designated bodies.

Do care workers have to have an appraisal?

Yes, if their employer is registered with CQC in England. Regulation 18 requires staff to receive appropriate support, training, professional development, supervision and appraisal, and CQC guidance says staff should receive regular appraisal from an appropriately skilled and experienced person.

Do academies have to follow the teacher appraisal regulations?

No. The 2012 appraisal regulations apply to maintained schools in England. Department for Education guidance says it is good practice for academies to follow them, but they are not legally required to. Many academy trusts run similar annual cycles under their own policies.

Can you be dismissed after a bad appraisal?

A single poor appraisal is not normally enough on its own. Acas says employers should first support the employee to improve, often through a performance improvement plan. They must follow a fair procedure in line with the Acas Code before dismissing for capability.

How often should appraisals be done?

Acas says it is a good idea to hold performance reviews at least once a year, alongside regular informal check-ins. Teacher appraisal in maintained schools runs on a twelve-month cycle. CQC’s Regulation 18 sets no fixed frequency, so care providers set one in their policy.

Can I see what my manager wrote in my appraisal?

Generally, yes. Appraisal records about you are personal data, and the UK GDPR gives you a right of access, subject to some exemptions. Acas also recommends that employers share a written record of each review with the employee.

Review fairly, record clearly

£9 per course. CPD accredited, 100% online, verifiable e-certificate. Pay for 2, get 3 — any 3 courses for £18.

This article is general information, not legal advice. It summarises Acas and Department for Education guidance and the legislation cited as it applies in England (and, for employment law, Great Britain) at the time of writing. Employment Rights Act 2025 changes depend on commencement and government consultation, and Scotland, Wales and Northern Ireland have their own arrangements for care regulation and schools. Take professional advice on individual cases. A Nexis CPD awareness course is CPD accredited but is not a regulated qualification.