Supervision Policy

Children and Families ServicePeople Directorate

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ContentsINTRODUCTION..............................................................................................................................................3

SIX POINT SUPERVISION PLAN..................................................................................................................3

WELFARE AND SUPPORT............................................................................................................................4

INDIVIDUAL PERFORMANCE MANAGEMENT ARRANGEMENTS.......................................................4

SUPERVISORY ARRANGEMENTS..............................................................................................................6

Additional Requirements for Supervision in Children’s Residential Homes..........................................7

Frequency of Supervision............................................................................................................................7

Caseload Management................................................................................................................................8

Supervision Contracts..................................................................................................................................9

Recording standards..................................................................................................................................10

SUPERVISION FILE STRUCTURE.............................................................................................................11

CONFIDENTIALITY AND ACCESS.............................................................................................................11

QUALITY ASSURANCE................................................................................................................................12

COMPLAINTS.................................................................................................................................................12

STORAGE AND RETENTION......................................................................................................................13

REVIEW OF THE POLICY............................................................................................................................13

ALTERNATIVE FORMATS...........................................................................................................................13

APPENDICES.................................................................................................................................................14

A - SUPERVISION FILE CONTENTS......................................................................................................14

B - SUPERVISION FILE - PERSONNEL DETAILS...............................................................................15

C - SUPERVISION CONTRACT..............................................................................................................17

D - SUPERVISION RECORD...................................................................................................................18

E- SUPERVISION AUDIT..........................................................................................................................20

F - EMPLOYEE DEVELOPMENT & REVIEW GUIDANCE NOTES....................................................22

G- EMPLOYEE APPRAISAL & DEVELOPMENT REVIEW (EDR).....................................................25

H - LEARNING AND DEVELOPMENT - PERSONAL ACTION PLAN................................................27

I - PERSONAL ACTION PLAN – 6 MONTH UPDATE..........................................................................29

Version Date Created Date of Amendment: Nature of Amendment

Date of Next Review:

1.0 October 2014 October 2017 Updated content May 2018

2.0 October 2017 June 2018 Updated content onReflective supervision and caseloads

June 2020

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INTRODUCTIONSupervision is fundamental to the delivery of effective work with children, young people and their families. Statutory Guidance ‘Working Together’ states that supervision must support professionals to make good quality decisions based on analysis, judgement, balance and drawing on professional knowledge. Supervision is a professional conversation promoting learning and reflective practice.

The Social Work Reform Board ‘Standards for Employers and Supervision Framework’ has been adopted nationally and represents the basis for this policy which is applicable to all staff and roles in the Children and Families Service within the People Directorate . This approach recognises the key elements of effective supervision to encompass:

Quality of decision making and interventions

Line management and organisational accountability

Caseload and workload management

Identification of further personal learning, career and developmental opportunities

The national standards state ‘supervision provides a safe environment for critical reflection, challenge and professional support that operates alongside an organisation’s appraisal processes’. In Halton every member of staff within the workforce has access to regular high quality reflective supervision. Reflective supervision underpins good practice. Social work is a demanding and challenging job and in order for us to really understand the context of the child's daily lived experience we need to think about many complex and competing issues. Good quality reflective one to one supervision provides a space for practitioners to go beneath the surface of their work. Both supervisor and supervisee explore practice situations and this is a means of increasing the understanding of the worker and supporting practice development. This approach enables social workers to develop self-awareness, critical thinking and sound decision making, developing their knowledge skills and competencies in order to make difficult decisions and ultimately keep children safe.

SIX POINT SUPERVISION PLANAll supervisees are to have a supervision contract in place outlining the frequency, dates and times of supervision sessions for 12 months in advance.

No cancellations; only absolutely unavoidable causes such as sickness, emergency leave, fulfilling an unavoidable statutory duty, attendance at court or a major crisis should cause planned supervision to be re-arranged. If supervision is to be re-arranged this should take place at the earliest possible opportunity based on supervisee and supervisor availability.

No interruptions; supervisors are to arrange cover on a reciprocal basis and all staff should reflect on the difference between important and urgent and limit interruptions to issues which are both and cannot wait or be dealt with by another person.

Supervisors and supervisees will come to supervision prepared with a written agenda agreed at the start of the meeting. This must include reference to the notes and actions of the last supervision session and to ensure that all actions have been progressed.

Supervision sessions will have staff well-being as the first item on the agenda.

All case discussions are to start with evidence of the child’s current views and wishes as well as identifying when the child was last seen.

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WELFARE AND SUPPORTEmployees will be given support via the supervision process, which provides an opportunity to find out how a member of staff is experiencing their work, their role within a team and their performance. Supervision is an opportunity to value people and is a process that should provide constructive feedback on their performance and acknowledge areas of good practice. Supervision should not be used as a counselling session.

Support involves:

INDIVIDUAL PERFORMANCE MANAGEMENT ARRANGEMENTSIndividual performance management within the Children and Families Service involves three elements:

1. Reflective Supervision: Regular one-to-one meetings between the supervisor and supervisee in order to meet operational, professional and personal objectives.

2. Appraisal: (Personal Action Plan). An annual meeting (reviewed six monthly/Employee Developmental Review) between the supervisor and supervisee to:

Identify what has gone well and what hasn’t gone so well over the past year

Set measurable objectives and/or targets in line with their team objectives and/or targets for the coming year

Identify learning and development needs to help them to carry out their jobs better, both now and in the future

Support involves

discussion on:

Personal issues that

may have an impact on their performance

Any stress related issues

Sharing of concerns and

identifying support in difficult situations

Guidance on use of appropriate staff

care processes and mechanisms

Supporting, maintaining and

valuing competent performance

Equal opportunities –

disability, dignity at work,

discrimination

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For registered social workers continuing professional development will be measured against the registration requirements of the Health & Care Professions Council (HCPC) and the College of Social Work’s (TCSW) Professional Capabilities Framework (PCF). For further information please follow this link: http://www.hcpc-uk.org/publications/standards/index.asp?id=569.

3. Learning & Development Planning: This forms part of the appraisal process and aims to encourage the supervisee to identify and evaluate learning that has taken place during the previous year and plan for learning opportunities for the coming year. A six monthly review will be conducted to ensure that plans are still relevant and are up to date in accordance with any changes, e.g. in working practices.

There are four key elements of effective supervision. They are interdependent, that is one element cannot be regarded in isolation from the others:

1. Quality of decision making and interventions: This includes reflection on what has been done, plans for future intervention and improving practice. It’s focussed on protecting the public and delivery effective services and includes reflecting on relationships with service users and the impact of the work on the mental and physical health of the worker. It should encourage shared professional decision making. In Children and Families all discussions of casework should begin with considering evidence of the child or young person’s views, wishes and feelings.

2. Line Management and Organisational Accountability: This focusses on the organisational accountability between the employer and the employee on behalf of the public, monitoring the quality and quantity of the work being done. It involves the evaluation of the job and the organisational effectiveness of the employee, and includes appraisal. It also assists in improving outcomes for service users and carers by ensuring staff adhere to professional codes of conduct and local policies and procedures.

Reflection of the quality of decision

making and interventions

Line Management and Organisational Accountability

Caseload and workload

management

Identification of further Personal Learning, Career and

Developmental Opportunities 4 KEY

ELEMENTS

The supervision process is a key part of the performance management framework as outlined above. Discussions held and recorded during supervision will form part of the appraisal process.

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3. Caseload and Workload Management: This provides for an analysis of caseload and workload management, addressing any issues relating to the extent to which supervisee’s have the time available to work directly with children, adults and families as well as meeting other demands. It should ensure the supervisee has a manageable and appropriate workload.

4. Identification of further Personal Learning, Career and Developmental Opportunities: This is about monitoring and promoting continuing professional development including obtaining further qualifications if appropriate. It’s an important way of developing the skills and experience of supervisees following the employee development process.

SUPERVISORY ARRANGEMENTSThere are various arrangements which reflect different needs in supervision. Professor Eileen Munro particularly encourages employers to use more varied ways of providing supervision via experts and practitioners who have taken on an internal teaching role such as in Children & Families the Practice Manager for Social Work Professional Development.

Individual (Formal) Supervision: Reflective one-to-one supervision takes place in a setting that protects the confidentiality of discussions, at a pre-arranged time with an agreed agenda and preparation by both parties. All staff within Children & Families, including Operational, Divisional, Principal and Practice Managers will have access to this method of supervision and it will be undertaken by the worker’s line manager. Managers who supervise social workers must be a qualified and registered social worker. An open-door policy by a manager does not constitute supervision. Within supervision workers are encouraged to present complex cases in order to explore them through a reflective cycle and opportunity to hypothesise and discuss interventions.

Supervision is much more than one-to-one sessions – it’s an on-going process that takes place in many different settings and in many different ways. The two main methods, other than formal one-to-one sessions are outlined below. They cannot and should not replace the planned, formal, recorded, one-to-one sessions between the supervisee and their line manager.

Unplanned or ‘Ad Hoc’ Supervision: The need to respond to service users’ changing needs means that staff often have to “check something out” with their supervisor to obtain a decision or gain permission to do something in between formal supervision sessions. In addition, staff working closely with their supervisor will often communicate daily about work issues, problems arising and changes in policies and procedures. In some settings the day-to-day supervisor for a particular member of staff may change according to shift patterns and rotas. The one-to-one sessions, however should always be carried out by the same supervisor for a particular member of staff. If a

Individual (Formal) Supervision Unplanned or ‘Ad Hoc’ Supervision:

Group Supervision Peer supervision

Varied Supervision Arrangements include:

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supervisee is subject to frequent changes of supervisor it’s difficult for a relationship based on trust, openness and honesty to be established and confidentiality may be, or may be perceived to be compromised.

If a supervisor is absent from work for over three weeks, the senior manager should ensure that effective temporary arrangements are in place for the supervision of staff.

Group Supervision: This can be used to complement but not replace individual supervision. It involves a group of staff all involved in similar work, not necessarily in the same team meeting with a supervisor to discuss issues about their work or how they work as a team. This may be done in the context of a team meeting or as a separate session to look at specific issues.

Peer Supervision: Peer supervision differs from more traditional forms of supervision in that it doesn't require the presence of a supervisor. Peer supervision usually refers to a reciprocal arrangement in which peers work together for mutual benefit where developmental feedback is emphasised and self-directed learning and evaluation is encouraged. Peer supervision should be structured with a clear framework or agenda. It should allow for the use of tools such as analysis of positive and challenging incidents, issues, dilemmas, and experiences, structured questioning and sharing of practice and feedback.

Frequency of SupervisionThe National Standards laid down by the Supervision Framework sets out the following:

Supervision should take place, irrespective of employment status (i.e. permanent, casual, temporary, agency, full-time or part-time):

Additional Requirements for Supervision in Children’s Residential HomesIn addition to the above requirements Residential Managers of Children’s Homes also have a duty to ensure the requirements of the Care Standards Act 2000 are met during supervision. These are:

Responses to and methods of working with children Work with any child for whom the staff member is the key worker Staff members role including their accountability in fulfilling the home’s Statement of

Purpose Staff members work in fulfilling the placement plan Reviewing and discussion any measures of physical intervention used Reviewing and usage and effectiveness of any behaviour management focussing on

outcomeso

For newly qualified Social Workers completing the ASYE programme formal supervision should take place:

At least weekly for the first six weeks of employment Fortnightly from 6 weeks of ASYE until 6 months (this is to be reviewed at the 6

month ASYE review meeting and any reasons as to why a Social Worker is not ready to progress on to monthly supervision clearly noted)

A minimum of monthly supervision thereafter

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For all other Social Workers (including workers who have completed ASYE and are progressed):

Formal supervision should take place on a monthly basis, However, supervision frequency also needs to be tailored to the developmental and professional needs of the social worker, A higher frequency will be appropriate according to the stage of professional development, the complexity of the workload and, in some cases, the particular circumstances of the supervisee.

Casual/Agency staff working in residential services must receive supervision for every 8 sessions they work

The standards require that supervision sessions last for at least ninety minutes of uninterrupted time. This is an important feature and this policy requires that both parties make suitable arrangements for cover/message taking etc. so that the session is not interrupted except for urgent and important reasons which should be explained in the supervision record and Supervision Contract.

Children & Families have adopted the above standard for all of its social work and social care staff; this includes those members of staff who work part-time and also includes agency workers. These standards are minimum frequencies.

Several factors should be taken into account when setting the actual frequency of supervision. It should reflect:

The supervisee’s level of experience and capability (not necessarily based on the length of service; staff new to a role may require more frequent supervision.)

Any particular circumstances that apply to the supervisee that means they may require more frequent supervision (e.g. a very complex case, the level of risk associated with the work, personal difficulties, performance issues or levels of stress.)

The actual frequency for individuals’ should be agreed between the supervisor and supervisee when negotiating the terms of the individual Supervision Contract. Any deviation from the recommended frequency detailed above as a permanent feature, should be by agreement between the parties and should be clearly recorded on the individual’s Supervision Contract.

Caseload ManagementManagers must evidence consideration of the following factors when judging the appropriate level of complexity of a case and the number of cases allocated to an individual worker:

The level of experience of the social worker: AYSE, Progressed and Experienced, Advanced Social Worker

The developmental areas for each worker The individual circumstances of the worker The nature and complexity of the cases, and the demand and time requirements of

each case How work will be allocated, planned and prioritised – in line with statutory

requirements and deadlines The amount of administration required at particular points in a case

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The aim is for workers to hold no more than 18 cases, but there may be times when this is exceeded – again the managers need to evidence why and the plan to manage the work. Caseloads which exceed 25 must be formally reported to the Divisional Manager responsible with an action plan to reduce – any caseloads which exceed 30 must be notified directly to the Operational Director again with a plan to reduce. A weekly report is provided to managers to enable them to oversee caseloads.

Case work can be variable at particular points dependant on the outcomes required and it is expected the manager provides clear support and direction but also does not over-allocate case work when there are conflicting pressures e.g. court filing of statements with allocation of single assessments or a child protection investigation.

Recording of SupervisionThe recording of the supervision sessions is the responsibility of the supervisor. The supervisor must adhere to the following standards of recording; this will be audited during the quality assurance processes.

Supervision ContractsThe process of developing a supervision contract is as important as the written document. This process should begin at the first supervision though it may not be completed in one session. A supervision contract establishes the basis on which both parties will work together during one-to-one supervision. This establishment of the ‘ground rules’ should be through negotiation and should clarify the rights and expectations of both sides to create a safe, secure and effective supervisory setting.

When establishing the supervision contract the following should be included:

Date and review of the contract (review is usually 12 months unless either party requests an earlier review)

Frequency of supervision and dates of future supervision sessions including the venue

Practical arrangements – the process if supervision has to be cancelled.re-arranged, an agreement that supervision will be uninterrupted, the anticipated length of sessions, frequency etc.

Purpose of supervision

Arrangements for agenda setting e.g. both parties submit an agenda before supervision, at the start of supervision etc.

Who will carry out what aspect of supervision including the roles and responsibilities of both parties

Agreed key tasks of the supervisee that will provide the focus for supervision

The recording of supervision, including where records will be kept to safeguard confidentiality, whether the records are typed or handwritten, how quickly records will be given to the supervisee for signature

Arrangements for any ad hoc or unplanned supervision

Complaints and review process, including the name of the named manager in the event of a complaint

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Recording standards

Carefirst Observations and Case Consultation Notes: Any decisions and actions on a case that takes place in formal, unplanned or ad hoc supervision should be clearly recorded on the Carefirst6 record on the child’s or carer’s record within the Observations. The subject header must state “supervision/case consultation”. Recording in Observations enables the case chronology to highlight that supervision has taken place. This should be completed prior to or in parallel with the case consultation form being inputted onto Carefirst. The manager can request administrative staff to type and enter Observations onto Carefirst. However, the manager must provide written details of the child’s name, Carefirst ID number and summarise:

date of supervision/case consultation details of the discussion decision made actions reviewed actions agreed

All sections of consultation notes should be fully completed and used to record formal and informal case discussions. They should not duplicate other forms of recording and should be inputted onto Carefirst 6 within 10 working days of the discussion or supervision taking place.

For complex cases a separate document maybe completed utilising a theoretical reflective base to explore and hypothesise. This is recorded in a supervision file rather than the Child(s) Carefirst observations.

Supervision Records: The detail included in a supervision record is a matter of judgement for the supervisor. In general the record should be detailed enough so that the issue can be re-visited, if necessary at a later date and be understood. In the interests of confidentiality, the supervision record will only make reference to service users by way of their Carefirst ID numbers. Supervision in respect of personal development, evidence of challenge, reflection and constructive critical analysis, including a short summary of the analysis, discussion and the decisions or actions arising from it should be recorded on the individual’s supervision record. A supervision record should be fully completed and recorded on the standard supervision record and a copy given to the supervisee within 10 working days. The written record should be signed by both parties to demonstrate agreement of accuracy. If there is disagreement in relation to the content it should be recorded by the supervisor. A copy should be retained by both parties.

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SUPERVISION FILE STRUCTURE

All supervisees will have an individual supervision file in the following order.

Section 1 – Front Sheet Detailing personnel detailsSection 2 – Details of Post The job description and job specification of the

superviseeSection 3 – Reflective Supervision Supervision Contracts

Supervision Records Case Consultation Notes Caseload Management Information

Section 4 – Personal Development Induction Checklist & Information Personal Action Plans Developmental Reviews ASYE Documentation (Learning Agreement &

Reviews)Section 5 – Staff Welfare: Sickness Absences Records

Return to Work Interviews Risk Assessments relating to employees welfare at work

Section 6 – CorrespondenceSection 7 – Any Other Business Management Audits

Case File Audits

CONFIDENTIALITY AND ACCESSSupervision is private but not a confidential process. This means the records are the property of the organisation, not the individual. From time to time issues raised within supervision may need to be shared with other managers and staff; however this should always be with the knowledge of the supervisee.

Access to supervision records should be controlled and all records should be stored so that others who do not have a legitimate right to see the records cannot access them. Supervisees should be aware that from time to time others may access records. These may include:

Senior managers for quality assurance purposes Investigating Officers for disciplinary purposes Ofsted Inspectors Performance staff for audit and quality assurance purposes

All parties should be aware of their responsibilities in relation to the protection and use of service user information as recommended in the Caldicott principles. Caldicott principles refer to good practice guidelines as a result of the Data Protection Act 1998.

In the event there is any uncertainty about what should or should not be shared, the supervisor’s line manager should be consulted for advice.

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QUALITY ASSURANCE

Supervision File Audits

In order to be effective the supervision process requires regular monitoring and quality assurance arrangements are in place. The quality assurance process ensures that:

The standards of supervision outlined in this policy are followed Qualitative aspects of the supervisory relationship are evidenced particularly

analysis, professional challenge and reflective practice Staff are being supervised professionally, regularly and effectively Supervision is being recorded appropriately Supervision Contracts are being developed, reviewed and used That supervision promotes equal opportunities and anti-discriminatory practice Highlight and share areas of good practice

The Senior Leadership Team will audit individual staff supervision files on a monthly basis. The process will be undertaken using a random, cross section of supervision files alongside reflective discussions with supervisors and supervisees. Discussion will explore:

Experience and expectations as a supervisor and supervisee Questions about the frequency and quality of supervision Children and Families Health Check Survey Personal Action Plans and Employee Development Reviews Discussion about the supervisees continuing professional development Specifically for Social Work staff, the level of collaboration with briefings and

workshops such as the Big Social Work Conversation, Professional Development Workshops etc.

If there are any sensitive personal issues relating to the supervisee that only need to be discussed on a ‘need to know’ basis it is the responsibility of the line manager to advise the Divisional Manager for Safeguarding where an agreement will be made on who needs to know.

A Supervision File Audit Form will be completed. A summary of the overall themes and issues will be included in quarterly reports regarding auditing of practice.

Supervision Tracker: It is a mandatory requirement for supervisors of social workers to record and submit information onto the Supervision Tracker. The information should be submitted on a monthly basis confirming that supervision has taken place in accordance with the dates set in the individual social worker’s supervision contract.

COMPLAINTSSupervisees should always discuss any complaint or dissatisfaction in the first instance with their line manager and endeavour to reach an agreement within the normal supervisory process. However, supervisees are entitled to contact a named manager if they feel the terms of their supervision contract are not being met. Information about the relevant named manager should be included in the Supervision Contract.

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Where there is a dispute between the supervisor and supervisee on any aspect of work performance or service delivery the following process should be followed in seeking a resolution:

If the Principal Manager and supervisee cannot agree either party may refer the issue to the relevant Divisional Manager.

If the Principal Manager and Divisional Manager cannot agree either party may refer the issue to the Operational Director.

If the Divisional Manager and Operational Director cannot agree either party may refer to the Strategic Director.

Any disagreement and its resolution should be recorded on the Supervision Record.

STORAGE AND RETENTION

The individual supervision contract and supervision records will be kept on the supervisees file held by the supervisor or in an agreed place, in a locked cabinet.

When a supervisee leaves the employment of the council the record will be archived and retained for seven years after the member of staff has left and will be destroyed. Where a member of staff transfers to another section or supervisor within the directorate their records should be passed onto their new supervisor. Archived information will be reviewed regularly to ensure any supervision records are destroyed promptly on reaching the seven year limit. Supervision Files should be sent to archive where they will be securely stored. Supervision Files for archive must be boxed and clearly labelled with the following information:

If more than 1 box, boxes should be labelled with numbers and contents of the box Boxes should have a Contact Name The Name of Team Destroy Date Labelled & Sent to Picow Farm

REVIEW OF THE POLICYThis policy will be stored on tri.x where it will be kept under review by the Children and Young People Policy Team following necessary consultation with interested parties.

ALTERNATIVE FORMATSShould alternative formats of this document be required, the line manager should use this link to obtain information on interpretation and translation guidance. http://intranet/Pages/Interpretation%20and%20Translation-Guidance.aspx

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APPENDICESA - SUPERVISION FILE CONTENTS

SECTION

Personnel Details 1

Current Job Description and Person Specification 2

Supervision:

Supervision Contracts Supervision Records Caseload Management Information

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Continuing Professional Development:

Induction Checklist & Information EDR’s Personal Action Plans & 6 Monthly Reviews

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For Newly Qualified Social Workers in the Assessed and Supported Year in Employment:

Initial Learning Plan & Review Information Correspondence relating specifically to the ASYE Assessment

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Staff Welfare:

Sickness Absence Records Return to Work Interviews Risk Assessments relating to employees welfare at work

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Correspondence:

Letters Copies of Emails

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Any Other Business:

Management Audits Case File Audits

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B - SUPERVISION FILE - PERSONNEL DETAILS

Surname

Previous Surnames/ Known by:

Forename (s)

Title

(Mr/Ms/Miss/Ms/Other)

Employee Number:

Job title

Part time/ Full time (if part time, state hours per week)

Date employment started

with HBC:

Date employment started in current post:

Division & Team

Workplace Address

Gender Male Female

Date of Birth

Home Address

Home Tel Number

Mobile Tel Number

Work Mobile Number

EMERGENCY CONTACT INFORMATION

Name

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Relationship

Daytime Telephone No

Evening Telephone No

Mobile Telephone No

Address

Name and Address of GP

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C - SUPERVISION CONTRACT

Name of SuperviseeName of SupervisorDate of Contract

This contract must be completed when the supervisee is new to the post and reviewed on an annual basis or when there is a change of supervisor. For further information about how to complete this document please refer to the Supervision Policy.

AGENDA: The purpose of supervision Ground rules and format of supervision sessions Roles and responsibilities Expectations of supervision Agreed tasks of the supervisee for future supervisions Recording and storage of supervision records Dealing with disagreements Dates, time and venue of future supervisions Review arrangements Any Other Business

Summary of Discussion

Name of the Person to be contacted if there is a dispute:Name:Designation:Contact Details:

Dates of Supervision Meetings for the next 12 months:

Month Date & Time Venue

Signature of Parties to the Contract:Supervisee Date

Supervisor Date

Date of Review:

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D - SUPERVISION RECORD

Name of Supervisee

Name of Supervisor

Date of This Supervision

Date of Last Supervision

Comments if the gap exceeds the frequency as specified in Supervision Contract

AGENDA:

Welfare & Support Previous Minutes & Progress of Actions

Outstanding Reflective Discussion on Individual Cases Continuing Professional Development

WELFARE AND PERSONAL SUPPORT:

Welfare/Support Needs (including Annual Leave and Sickness Absence)

Discussion Actions/Timescale

PROGRESS OF ACTION OUTSTANDING FROM PREVIOUS SUPERVISION

Outstanding Action/Discussion/Reason Date Completed New timescale

REFLECTIVE DISCUSSION ON INDIVIDUAL CASES:18

Discussion Agreed Action Timescale/Responsibility

CONTINUING PROFESSIONAL DEVELOPMENTThis is an opportunity to review and reflect on professional development activities undertaken and how they have impacted on supervisee’s practice and include details and review of the employee developmental process.

Note for Social Workers: Discussion needs to include the Health and Care Professions Council (HCPC) requirements including registration and re-registration and outline opportunities for continuing professional development ensuring that social workers are able to maintain their professional registration.

Identified Developmental Need/Opportunity Action/Outcome Timescale

Supervisor’s Comments: (Brief overall summary including performance, competence and capabilities)

Supervisee’s Comments: (Reflective comments on this supervision session)

Signed:

Supervisee Date:

Supervisor Date:

Date, time and venue of next supervision:

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E- SUPERVISION AUDIT

Name of Auditor: Designation:

Name of Supervisor Designation:

Name of Supervisee Designation:

Team: Date of Audit:

File Structure Y / N Comments Action

Current Job Description and Person Specification

Personnel Details

Supervision Contract

Supervision Records

Correspondence section

Risk assessments (relating to employees welfare at work)

Evidence Of:

Frequency of Supervision (as per policy)

Performance Management (focussing on outcomes)

Evidence of additional requirements for supervision in children’s residential homes

Evidence of additional requirements for social workers in their assessed and supported year

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of employment (including assessment, support and development opportunities. Also evidence Learning Agreement and quarterly reviews)

Professional Development

Welfare/Support Needs

Auditor Signature:

Date:

Action By When Completed

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Actions Completed by: (Name of Supervisor)

Signature:

Date:

NB. Once actions are completed please confirm by email with auditor.

Additional comments from the auditor following conversations with the supervisee and supervisor:

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F - EMPLOYEE DEVELOPMENT & REVIEW GUIDANCE NOTES

These guidance notes have been prepared for use by reviewers and reviewee’s who are involved in Halton Borough Council’s Employee Appraisal & Development Review. The notes are intended to be used as information to assist in the completion of the following documents.

• The EDR Form

• The Personal Action Plan (Learning & Development for the Year ahead)

• Personal Action Plan (6 Month Review)

REVIEWER’S RESPONSIBILITIES

The reviewer is responsible for setting up the employee developmental meeting; this should include arranging an appropriate room that allows for the discussion to take place uninterrupted.

A week prior to the discussion, the reviewer should provide the reviewee with a copy of the EDR for them to complete in preparation for the discussion.

The discussion should consider the reviewee’s progress over the past year and discuss examples of work reflecting good performance and/or areas of performance that will require additional support to improve outcomes. Records of previous EDR’s will need to be reviewed.

The Reviewer must ensure:

• The reviewee clearly understands what is expected of them

• How individual EDR’s link into the Council’s priorities at various levels

• Ensure the reviewee has an appropriate understanding of equality and diversity issues, setting key tasks to enhance the equality and diversity of the Council and it’s services

• Ensure a balanced outcome of the discussion, taking into account both the reviewee’s aspirations whilst balancing them against the corporate or divisional aims and objectives

• Ensure the associated documentation is completed, signed, and electronically distributed appropriately within 10 working days as follows:

• Original EDR retained by the reviewee

• Copy of the EDR retained on the Supervision File

• Original PAP retained by reviewee

• 1 copy of PAP retained on the Supervision File

A copy of PAP must be forwarded to Corporate Learning and Development Team. training.reception@halton.gov.uk Information is used to inform the L&D Team of what specific training and/or continuing professional opportunities should be developed and/or commissioned.

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Note: On completion of the reviewee’s identified development needs, managers are required to review how the development needs were met with the individual as part of the usual supervisory process. This will include an evaluation of:

What was the reviewee’s prior knowledge

Has the reviewee’s development needs been sufficiently met by attending the training

Has the development impacted on the reviewee’s subsequent practice and how

Has the reviewee been able to share the learned knowledge with others

On occasion managers will be required to share the evaluation information with external parties e.g. Halton Safeguarding Children Board or the Corporate Learning and Development Team who may ask for specific feedback.

Reviewers should attend the “The Employee Development Review Process – the Manager’s Role” (half day course). The course outline is available on: http://intranet/content/directorates/corporateandpolicy/orgpersonnelserv/learninganddevelopment/trainingdocsatoz/courseoverviews/?a=5441

For further information, or to book a place, please contact a member of the Learning and Development Team on 0151 511 7111 or email training.reception@halton.gov.uk

REVIEWEE’S RESPONSIBILITIESPrior to the meeting, the reviewee should undertake an honest and complete self-assessment of achievements over the past year and aspirations for the coming year by completing the EDR.

It’s important to remember the EDR is not a process that is “done to you” rather it should be seen as a joint approach resulting in the production of a jointly agreed personal action plan. The individual will need to ensure they know and understand what they should be aiming to achieve in their role. This could include career development advice, and exploration of continuing professional developmental opportunities such as further qualifications.

There is an on-going responsibility to ensure progress is made on identified key tasks and to chase any issues arising from the Personal Action Plan. Any difficulties encountered from the Personal Action Plan which cannot be resolved by the individual should be taken-up with the Reviewer.

JOINT RESPONSIBILITIESBoth the Reviewer and Reviewee are jointly responsible for:

Ensuring they participate constructively and fully in the process

Ensuring a frank, fair and balanced discussion

Agreeing dates for the EDR, the 6 month Review and any periodic reviews of the key tasks within the personal action plan

Maintaining appropriate confidentiality

Agreeing who is to take appropriate actions to progress issues

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PERIODIC REVIEWS OF PERSONAL ACTION PLANSA review of the Personal Action Plan must take place at the 6 month stage, between October and March. This review is accompanied by the completion of the Personal Action Plan Update form which should be copied and distributed in the same way as the Personal Action Plan (see above).

TIMETABLING OF EDR MEETINGS

• Full EDR should take place during the 6 month period April to September each year

• The review of the Personal Action Plan should take place 6 months later.

NEW EMPLOYEES AND EDR’s

It will be necessary for Managers to exercise some judgement in agreeing with a new employee when their first EDR would be of most beneficial. As such an “Interim” personal action plan should be utilised to address any training needs until such time as the new employee can be engaged within the normal timetable of the employee developmental review process.

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G- EMPLOYEE APPRAISAL & DEVELOPMENT REVIEW (EDR)

NAME OF REVIEWEE

NAME OF REVIEWER

DATE OF DISCUSSION

Please read the accompanying guidance notes before taking part in the employee developmental review process in order to understand the full process. The areas detailed below will form the basis for discussion at your EDR meeting. Please give them some thought and reflection prior to the EDR meeting.

At the conclusion of the EDR Meeting, the Reviewee and Reviewer should jointly sign both the agreed Personal Action Plan ensuring a copy is forwarded to the Corporate Learning and Development Team.

Section 1 - Review of the past 12 months

1. During the past year what has gone well within your role and what impact has this had on service delivery?

2. During the past year what has not gone so well within your role?

3. Upon reflection, what could have been done differently or what lessons have you learned from this/these experience(s)?

MANAGERS FEEDBACK:

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Section 2 - Planning for the next 12 months

Note: The outcome of your discussions within this section should be expanded upon in your Personal Action Plan (attached to this document). You should ensure all the information needed for completion of this form is available – see the attached guidance notes for further information.

4. In-line with the organisational priorities, what are your aspirations over the next 12 months?

5. What can we do to support you to achieve your aspirations?

6. What can you do to help you to successfully achieve your ambition and objectives?

Signed:

Reviewee

Reviewer

Date

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H - LEARNING AND DEVELOPMENT - PERSONAL ACTION PLAN

REVIEWEE REVIEWER NAME

EMPLOYEE NO JOB TITLE

TEAM TEAM

DIRECTORATE DATE OF REVIEW

Developmental Opportunity

Resources Required Expected Outcome Timescales Involved

For continuing development the Council offers access to opportunities for refreshing your maths and English skills and work towards nationally recognised qualifications at Level 2 (equivalent to GCSE Grade A*-C). If you are interested in finding out more please indicate below:

Maths English Both

PROPOSED 6-MONTH REVIEW DATE

PROFESSIONAL DEVELOPMENTAL OPPORTUNITIES:

Shadowing Mentoring

Observation E-learning

Training Project Work

Task Group Membership Private Study

Continuing Professional Development Other

DECLARATION OF MANAGEMENT/EMPLOYEE COMMITMENT

Both parties to the above discussion agree to accept responsibility for the outcomes of the review, as detailed and understand that, as part of the Council’s established Employee Development Review system, they are jointly responsible for ensuring the above training and development actions occur, or feedback is obtained and given when, for whatever reason, it is not possible to undertake the development activity.

Signed:

Reviewee: Date:

Reviewer: Date:

Learning & Development Needs Confirmed By…

(Please note this needs to be someone with an e-mail address for joining instructions by the Corporate Learning & Development Team to be issued)

This review should be copied in duplicate. The Reviewee will retain the original. The Reviewer should retain a copy and one copy should be emailed to training.reception@halton.gov.uk

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LEARNING AND DEVELOPMENT

I - PERSONAL ACTION PLAN – 6 MONTH UPDATEREVIEWEE REVIEWER

NAME

EMPLOYEE NO JOB TITLE

TEAM TEAM

DIRECTORATE DATE OF REVIEW

Review/Progress of last Personal Action Plan:

Developmental Opportunity

Progress Review/Success Date Completed/Revised Deadline Date

Matters to be carried forward or any other identified training needs:

Developmental Opportunity

Resources Required Expected Outcome

Deadline Date

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PROPOSED DATE OF NEXT EDR MEETING:

DECLARATION OF MANAGEMENT/EMPLOYEE COMMITMENT:

Both parties to the above discussion agree to accept responsibility for the outcomes of the review, as detailed and understand that, as part of the Council’s established Employee Development Review system, they are jointly responsible for ensuring the above training and development actions occur, or feedback is obtained and given when, for whatever reason, it is not possible to undertake the development activity.

Signed:

Reviewee: Date:

Reviewer: Date:

This review should be copied in duplicate. The Reviewee will retain the original. The Reviewer should retain a copy and one copy should be emailed to training.reception@halton.gov.uk

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