5.11 Staff Supervision: Policy and Guidance

SCOPE OF THIS CHAPTER

This is a new chapter for May 2011

A Framework for Staff Supervision - Introduction
Partnership in Supervision
Roles and Responsibilities
Standards in Supervision
Personal Development
Reflective Practice and Supervision
Group Supervision
Frequency of Supervision
Contract
Supervision Log
Recording
Training in Supervision
Dispute Resolution
Quality Assurance

Appendices

Appendix 1: Quality Standards for Staff Supervision

Appendix 2: Contract for Supervision

Appendix 3: Supervision Record - Personal

Appendix 4: Supervision Record - Case

Appendix 5: Supervision Log

1. A Framework for Staff Supervision - Introduction

'Supervision is the cornerstone of all good social work practice' (Lord Laming, Victoria Climbie Inquiry Report, 2003)

It is a fundamental belief in Leeds Children's Services that staff are its most important asset in fulfilling its responsibility to provide a quality service to service users. The supervision and development of all staff are significant processes in the success of the organisation. This is consistent with the Council's value of 'Working as a team for Leeds'.

This framework provides an understanding about the requirements and processes of staff supervision. There are close links to the Council's policy and procedures for staff appraisal.

Staff supervision is essential for promoting and supporting good practice as set out in the Practice Standards Manual (2010) and the national minimum standards which guide fostering, adoption and residential services (Children's Homes: National Minimum Standards 2002, Fostering Services :National Minimum Standards 2002 and Adoption : National Minimum Standards 2003 ). There is particular reference to the importance of supervision as part of Management Practice in the Practice Standards Manual (Section 1) which must be read in conjunction with this policy and guidance. This framework consists of:-

Policy and Procedure for Supervision
Standards for Supervision
Contract for Supervision
Supervision Record
Monitoring and Audit Arrangements
Supervision Log

There are different types of supervision, e.g. ad-hoc, informal or formal. This framework specifically addresses formal supervision. If there is a need for an ad-hoc or informal supervision this should NOT replace the formal supervision session, which should still take place. Significant issues discussed at an informal or ad-hoc session should be recorded appropriately and be re-visited at this formal session.

This policy and procedural guidance draws on the work of Tony Morrison and his publication - 'Staff Supervision in Social Care' (2001) - and endorses this approach and theoretical underpinning.

'The importance of getting the supervision of staff right in social care, and of positive role modelling by managers, cannot be overstated. The quality of services to vulnerable users and the level of staff morale, skills and motivation are all inextricably bound up with the fate of supervision and the degree to which supervisors and managers model the attitudes and behaviours that the organisation wishes its frontline staff to adopt. Put starkly, it is not the existence of supervision per se that makes a difference; what is necessary is good supervision' (Tony Morrison- Staff Supervision in Social Care).

2. Partnership in Supervision

The framework for support and supervision is a partnership between you, your supervisor and the service. It is your line manager's responsibility to ensure that an effective framework exists and for the majority of people the supervisor and the line manager will be the same person.

The purpose of this partnership is for supervision to:-

Ensure the quality of the service being delivered to our service users
Ensure that you are working towards meeting the Council and Children's Services objectives
Ensure you are clear about your roles and responsibilities
Ensure the resources you require to carry out your role to the required standards are identified
Develop a suitable working climate in which to work
Anticipate, acknowledge, discuss and manage stressful situations
Engage you on a continuous pathway of professional development
Recognise good performance and personal achievement

The partnership will:-	And not:-
Be confidential, subject to the safety of service users or staff whistle blowing	Break confidentiality
Be a continuous process	Be a one off event
Encourage and involve you	Undermine you
Be structured and focused	Be 'small talk and cosy chat'
Be planned and private	Be rushed or interrupted
Be a two way process	Be one sided
Focus on your individual needs	Focus on the supervisor's needs
Be motivating	Feel negative or demoralising
Address professional development	Ignore the right and need for development
Deal with situations sensitively and clearly	Ignore or fail to support you

3. Roles and Responsibilities

The responsibilities of the different members of the supervision and development partnership need to be clearly understood by all parties.

Children and Young People's Social Care (as part of Children's Services ) is responsible for:-

Providing a clear policy that defines the aims of the framework of supervision
Ensuring that equality and diversity are an integral part of the policy, procedure and practice
Providing a flexible framework for support and supervision
Placing the responsibility for supervision and staff development within a line manager's job description and work priorities
Developing and providing training and continual development of those who provide supervision
Providing the resources and support seen as necessary to achieve the objectives set

The Manager is responsible for:-

Ensuring confidentiality, subject to service user and staff safety
Providing a suitable time and location
Ensuring that supervision takes place at least every month
Eliminating interruptions
Arranging an agreed agenda and framework for the supervision session
Maintaining accurate and clear records
Developing an appropriate checklist for comprehensive and relevant coverage of issues in supervision
Ensuring a supervision contract has been negotiated and agreed and is reviewed annually
Ensuring that plans drawn up in the appraisal are tracked and progressed through supervision
Ensuring that supervision includes a 'personal risk assessment' in areas of work where this is appropriate such as residential services.
Providing effectively the four key elements of supervision
Ensuring the Council's legal, ethical and professional standards are met
Ensuring that, where a change in line manager occurs, a handover process is arranged between all parties concerned
Undertaking appropriate training about supervision and the appraisal process which is relevant to their needs and development as managers
Ensuring that issues relating to diversity are addressed constructively and positively and provide an opportunity for staff to raise issues about their experience of diversity
Achieving a balance between service objectives and the needs of an individual for personal development

You, the individual, are responsible for:-

Sharing the responsibility in making the partnership work
Attending regularly and on time, bringing your agenda and participating actively
Accepting the requirement to be supervised, supported in your development and being accountable for your own supervision and development
Ensuring a contract has been negotiated and agreed
Preparing appropriately for supervision and appraisal sessions
Ensuring the recording of supervision and the appraisal is reflective of the particular meeting
Meeting the organisation's legal, ethical and professional standards
As required through the General Social Care Council Code of Practice for Social Care Workers, bringing to the attention of your manager any issues that may affect your registration status.

4. Standards in Supervision

There are four key elements that support the supervision process. They give a balanced approach to the process through relying heavily on one another. You cannot perform one element effectively without the others. The four elements are:-

Management
Representation
Support
Development

Examples of how to achieve each element in practice are set out in Quality Standards for Staff Supervision. (See Appendix 1: Quality Standards for Staff Supervision)

Within the management element your manager will address:-

Overall management of the quality of your work practice including the management of risk and discussion of issues arising from case file audit.
Overall management of your workload and priorities
Provision of resources
Provision of a safe environment in which to work
Professional discussion of your performance against individual and team objectives
The role of supervision in ensuring that Council policies are communicated and made clear by both parties
Opportunity to reflect constructively on your performance in general and your practice in specific cases.

Within the representative element your manager will:-

Act as an advocate between you, senior management, the team and any outside agencies
Transfer relevant information between you, senior management, the team and any outside agencies

Within the support element your manager will:-

Support you both as a professional and as an individual person in your own right, including acknowledgement of issues of diversity
Support your well being at work

Within the development element your manager will:-

Identify your individual strengths
Identify areas for development in order for you to carry out your job to the required standard and objectives
Identify development opportunities
Plan how your development needs could be met
Ensure that you have induction training
Evaluate the development opportunities you have received

5. Personal Development

Understanding how you learn and being able to apply this in your practice is fundamental to effective supervision. It is your responsibility to reflect on your experience of learning and establish ways in which the learning can be transferred back into your daily working practice. Your supervisor will be able to help you identify which particular style of learning best suits you and the opportunities available.

Your learning and development needs should be related both to the objectives that you need to achieve and to your future roles within the Directorate. These will be identified and agreed through the appraisal process. The objectives that you set with your supervisor and review every six months should include developmental objectives that will enable you to perform your current tasks effectively, training which supports this and these lead to personal and professional growth.

Personal development plans should be continuous and link to career pathways and core training where these are clear and identified for particular jobs.

6. Reflective Practice and Supervision

There is a critical link between reflective supervision and good outcomes for service users. There should be a parallel process between supervisor and supervisee and between practitioner and service user as indicated in the diagram below:

Click here to view Reflective Practice Supervisory Cycle diagram

'At the heart of reflective practice is the idea that our actions should be informed by a knowledge base that we engage with actively, as opposed to forms of practice that are based on unthinking habits or routines or knee jerk reactions to situations. A reflective practitioner is someone who acts on the basis of understanding and a careful consideration of the situation being dealt with. That understanding is, in turn, based on knowledge and values. The knowledge is based on a mixture of formal study and professional development and the practical lessons learned from previous experience , while the values act as a safeguard to make sure that we are acting appropriately and ethically' ( Developing Critically Reflective Practice - Neil and Sue Thompson 2009 )

In summary, reflective practice is a key part of effective social work and the opportunity for reflection is important in the supervision cycle:

Experiencing: Engaging and observing - the story - what happened?
Reflecting: Investigating experience - what was it like based on knowledge and feelings?
Analysing: Seeking to understand, hypothesising, asking why, what does this mean?
Action Planning: Preparing for action, trying things out - what next?

7. Group Supervision

In some cases it may be agreed by the Head of Service that it is possible to have supervision as part of a group and this can be agreed through line management. There are many benefits to be gained from group supervision including problem solving, peer group learning and giving and receiving strong feedback within a supportive setting. Where a group supervision process is used, the following principles apply:-

The group should clarify and agree the boundaries of confidentiality
The group should always consist of the same individuals
Each group member's contract should reflect both individual and group supervision
The maximum size of the group should be agreed within each service area by the Head of Service
The supervision/review record should be completed as a group supervision and review record
The location should be suitable for all group members
The group should agree the agenda items
The group should give permission for feelings, doubts and opinions to be expressed
The group should agree how feedback will be given
The principles of supervision, as outlined in this framework, should still apply
Group supervision should not replace individual supervision and support completely; in particular, a six monthly individual performance appraisal and review should take place for each member of the group
Group supervision would usually relate to specific issues and would be time limited

8. Frequency of Supervision

The frequency of supervision will be dependent on the role you play within the organisation, your skills, experiences, team requirements and Government guidelines. The required standard is for all staff to have supervision on at least a monthly basis. This can be more frequent.

Your supervisor and you should agree on the duration and frequency of supervision taking into account your experience and the complexity of work. It will be appropriate to arrange for more frequent supervision for staff who are newly qualified or new to Children's Services but also if there are particular pieces of work which need more time in supervision.

When supervising newly qualified social workers, team managers must refer to the guidance issued by Children's Workforce Development - NQSW: Guide for Supervisors 2009.

Colleagues working in residential services must receive supervision to meet the requirements of the Children's Homes National Minimum Care Standards 2000.

Summary of frequency of Supervision of Staff
Staff Member	Supervisor
Non social work qualified staff	Monthly by Manager
Newly qualified social workers	Every two weeks for the first twelve months and monthly thereafter by Team Manager
Social Workers returning to work or who have had a major change of role	Every two weeks for an agreed period, then monthly by Team Manager
Social Workers with more than 12 months experience	Monthly by Team Manager
Advanced Practitioners	Monthly by Team Manager
Team Managers	Monthly by Service Delivery Manager
Service Delivery Managers	Monthly by Head of Service
Administrative Support Services Manager	Monthly by Service Delivery Manager
Administrative Support Staff	Monthly Administrative Support Services Managers
Senior Residential Unit Managers	Monthly by Head of Service
Residential Unit Managers	Monthly by Senior Residential Unit Manager
Senior Care Officers	Monthly by Residential Unit Manager
Care Officers	Monthly by Senior Care Officer
Residential Support Staff	Monthly by Senior Care Officer
Heads of Service	Monthly by Chief Officer/Assistant Chief Officer
Assistant Chief Officer	Monthly by Chief Officer
Chief Officer	Monthly by Director of Children's Services

It is good practice to have a series of meetings planned in advance and ensure that the date of the next meeting is confirmed at the end of a supervision meeting.

9. Contract

The contract between yourself and your manager should clearly outline the responsibilities and expectations of both parties. This should be discussed, agreed and signed off at an early point in the supervisory arrangement. The contract should form part of the supervision records

The contract should be reviewed annually. (See Appendix 2: Contract for Supervision)

10. Supervision Log

Supervision sessions should be logged and signed off on the sheet kept by the supervisor.

This arrangement is also a means of checking that other key requirements are checked including:

Registration date with the General Social Care Council
Criminal Record Bureau check being up to date
Car insurance appropriate and up to date for role

These checks do not replace existing arrangement with the Business Support Centre but are suggested as being useful for supervisor/manager and member of staff as part of their respective responsibilities. (See Appendix 5: Supervision Log)

11. Recording

Recording should follow the principles that:-

The contract is the initial record of agreement between both parties.
There must be a record of the discussion completed for each child at a supervision session and placed within the child's case records within two working days. Where non case holders (e.g. senior managers) discuss individual cases and make decisions this should be recorded on the child's file
All records should give sufficient detail of the discussion to reflect the content of the meeting, identify actions as agreed and record any disagreements and concerns raised.
The record from supervision sets out the purpose of allocation and the practitioner's intervention including the purpose of home visits. Also guidance about contingency plans and the course of action if there is no access to visits attempted (Practice Standards Manual - Section 1 re Scrutiny).
Ensure that case management decisions through supervision are also recorded on service user records and clearly evident on the Electronic Social Care Record (ESCR) system as part of management oversight.
Record any potential risk to the practitioner and actions to address this
All records are confidential for both parties and should be stored securely
It is good practice to remember that the person being discussed may see the supervision record in the case recordings at some point in the future.
The records are shared with you and you should keep these confidentially
Records of supervision should be signed off and dated by supervisor and supervisee.
All records of supervision and appraisal are owned by Children's Services and will be subject to inspection and audit
Records should be typed or where this is judged not to be practical, written clearly in ink. Hand written records would be available only in exceptional circumstances.
The standard format as supplied in the appendices should be used as a framework for recording purposes.
On leaving, your supervision records are passed to Human Resources for placing on your personnel file, which is retained by the department
Case audit work should be recorded and placed on ESCR system.

See Appendix 3: Supervision Record - Personal and Appendix 4: Supervision Record - Case

12. Training in Supervision

'Frontline managers are the keystones of the organisation. They have a key role in determining whether standards of practice are consistently maintained in supporting staff engaged in complex, personally demanding practice, and ensuring staff are continually developed in knowledge based practice' - Report of Chief Inspector of Social Services 2000.

Children's Services recognises the importance of supporting managers to develop supervision skills and will provide access to training and tools for this.

13. Dispute Resolution

It is important that you take action to ensure you are receiving quality supervision and having your development needs identified and met.

If it becomes apparent at any point during the year that you are not receiving supervision to the standard required you should:-

In the first instance arrange a one to one meeting with your line manager to discuss and resolve, where possible, the difficulties, which you feel, have arisen

If difficulties still arise or you are unable to find solutions in the first instance you should:-

Request that a three way meeting between your line manager, their line manager and yourself is arranged. The difficulties should be discussed and outcomes agreed. It is the responsibility of your manager's line manager to ensure that these difficulties are satisfactorily resolved.

14. Quality Assurance

There are a number of ways in which the quality of supervision and appraisal is monitored including:-

Your manager's line manager will be required to inspect a sample of supervision files periodically and this may include checking your file to ensure that supervision is taking place to the standard required.
Your manager will also be asked to complete the Supervisor's Log noting the supervisions they have carried out to ensure that the process is actually taking place in line with the policy and the standard required.
An annual questionnaire about supervision will be carried out. It is an anonymous questionnaire, which seeks feedback from staff about the supervision process.

Appendix 1: Quality Standards for Staff Supervision

The Management Element

Standard	How to Achieve a Standard
Create and secure a commitment to a clear vision.	Share the Council and Directorate vision and service improvement and team plans with enthusiasm.
Enable staff to understand how they contribute to achieving the Social Services and Health aims and objectives.	Relate aims and objective to Directorate, work units and individuals. Supervision, appraisal and development plan should align with these aims and objectives.
Build and support a high performing team.	Invest time and energy in developing the team and building personal and professional relationships.
Review the services provided in relation to objectives and quality.	Personally, and through team, assess and identify the differing needs of people who use the services.
Explicitly set targets and standards for the team and individual performance.	Recognise and give regular face-to-face feedback for good and poor performance.
Deal with poor performance.	Help other people learn from mistakes.
Recognise individual contribution to the organisation.	Acknowledge and publicly own success. Give award ceremonies high profile.
Develop and maintain an appropriate infrastructure for management of staff.	Agree and ensure there is a regular, appropriate supervision, support and appraisal with all staff. Ensure that the process clearly defines the responsibility of the team and the individual members together with the limits of their authority. Undertake Individual Performance Appraisal with all staff.
Organise work processes to deliver on time, and on budget, to agreed quality standards.	Ensure plans are implemented to meet the assessed requirement of people who receive/use services of the team. Allocation of work is consistent with team objectives and in turn, with Directorate objectives. Service user needs identified through the care planning process are met to the required standards.
Contribute to implementing disciplinary and grievance procedures and other appropriate codes of conduct.	Make self aware of organisation's code of conduct.

The Representative Element

Standard	How to Achieve a Standard
Manage the complaints procedure.	Assist and coach staff through the appropriate procedure.
Review resources and brief management appropriately.	Recognise resource deficits and implications and advise line management.
Enable individual and team contributions to Policy Formulation.	Identify key skills and interests of staff in achieving the organisation's objectives. Involve staff in the design and development of their patterns of working. Release staff to attend Directorate and corporate events.
Ensure staff are informed and implement the Council's communication framework.	Share information and guidance and communicate key messages.
Manage the network of other parts of the organisation and other agencies.	Involve staff as representatives of the organisation/team.
Give opportunities to team members to help define their own objectives and work plans.	Supervision, appraisal and personal development planning, alongside work unit aims and objectives.

The Support Element

Standard	How to Achieve a Standard
Manage interpersonal conflict.	Identify source of conflict and make a positive intervention.
Build trust, good morale and teamwork.	Encourage honesty and openness. Encourage managers to lead by example. Seek and respond to feedback.
Recognise and value diversity.	Recognise differences and take steps to maximise potential. Ensure that equality of opportunity is part of good management practice.
Develop trust and support of colleagues and team members and is proactive in supporting staff who are subject to abuse from other people.	Provide a safe climate for individuals to express feelings. Enable staff to record and report harassment and act appropriately on these.
Develop productive working relationships.	Establish a long-term relationship that is concerned with agreed outcomes.
Clarify the boundaries of supervision, support and appraisal.	Clarify with individuals when they should seek external advice or counselling.
Monitor the overall health, safety and welfare of the team and individuals.	Undertake risk assessments and raise positively issues of stress management and care.
Assist and support staff to strike a healthy balance between work and other aspects of their life outside work.	Supervision and support to provide a safe environment for discussion.

The Development Element

Standard	How to Achieve a Standard
Develop staff to meet challenging organisational needs.	Share a longer-term view and understanding organisation and individual needs. Enable staff to develop skills.
Have an understanding of how adults learn.	Assess individual's learning styles and allow for application.
Delegate effectively.	Allow people to complete job without interference. Provide appropriate explanation and support.
Make best use of skills and resources within the team.	Understand strengths and seek to address areas for development.
Is aware of personal and staff strengths, areas for development and the impact on others.	Will admit mistakes and take action to rectify the situation without attributing blame to individuals.
Show a commitment to own personal and staff's professional development including those who have patterns of working that are not standard.	Seek opportunities for self and staff's development and have development plans. Demonstrate flexibility and creativity. Make best use of Personal Development Plans.
Is aware of personal management style and its impact on others.	Consider issues of style and process when working with staff.

Appendix 2: Contract for Supervision

Click here to view Supervision Contract

Appendix 3: Supervision Record - Personal

Click here to view Personal Supervision Record

Appendix 4: Supervision Record - Case

Click here to view Case Supervision Record

Appendix 5: Supervision Log

Click here to view Supervision Log

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