Social Work & Social Care Supervision and Consultation Policy, Standards and Criteria

Transcription

1 Social Work & Social Care Supervision and Consultation Policy, Standards and Criteria Supporting Systemic Practice Gavin Swann Safeguarding & Quality Assurance December 2016 Version 8 Page 1

2 Executive Summary Supervision and appraisal are the most important ways of ensuring staff deliver a high standard of service to children, adults and families, carry out their duties according to policy and procedures and meet departmental and corporate targets. Supporting staff through supervision improves working practices and contributes to better service delivery and outcomes for all service users. All staff, irrespective of their role, have the right to receive regular and high quality supervision. All staff bear responsibility for the quality of their own work and, to this end, should prepare for and make a positive contribution to the supervisory process. They are not passive recipients. The quantity and quality of supervision for social workers needs to be improved in Croydon. All social workers and managers should have a supervision contract (Appendix 2) One to one supervision should be provided on a four weekly basis with other methods acting as supplementary to enhance practice. 1 All cases should be supervised, at a minimum, of every 12 weeks 2 Supervision must have a reflective component All case work decisions, reflections and analysis shall be recorded on CRS by the supervisor / Unit Manager using the Case Supervision form on CRS All management oversight and decision making must be recorded in CRS Personal Supervision records (Appendix 3) should be held on SharePoint All social workers and managers should be offered group supervision, consultation by consultant practitioners and specialists. The quantity and quality of Supervision must be regularly evaluated by managers. 1 AYSE & IRO supervision requirements differ from this. 2 It is recognised that some cases, depending on seriousness, will require much more regular supervision and managerial oversight Version 8 Page 2

3 CONTENTS Executive Summary 2 1 Supervision Policy 4 Introduction 4 Aims 4 Scope 4 Definition and Functions 4 Literature/ Research 5 Core Values and Principles 5 Responsibilities 6 Methods 6 Knowledge and Skills Framework 7 Confidentiality 7 Recording 7 Quality Assurance/ Audit 8 Appendix 1: Supervision Standards and Criteria 9 Appendix 2: Draft Supervision Agreement 15 Appendix 3: Supervision Record Pro-Forma (a) 16 Appendix 4: Case File Audit Sheet 21 Appendix 5: Supervision Audit Tool. 22 Version 8 Page 3

4 CROYDON CHILDREN SOCIAL CARE SUPERVISION POLICY, STANDARDS AND CRITERIA Introduction This policy sets the framework and minimum standards to implement an effective and consistent approach to social care supervision practice. Supervision and appraisal are the most important ways of ensuring staff deliver a high standard of service to children, adults and families, carry out their duties according to policy and procedures and meet departmental and corporate targets. Supporting staff through supervision improves working practices and contributes to better service delivery and outcomes for all service users. This policy acts as a ' guide to principles for practice' as it encapsulates important frames for thinking about in the supervision process. This policy was launched in June 2015 and re-launched in December 16. Croydon s recording policy should be read in-conjunction with this document and can be located on tri.x at: Context Practice Week (December 16), comments and patterns identified from the social work survey coupled with a range of findings from the implementation of the quality assurance framework informed managers that the quantity and quality of supervision for social workers needed to be improved in Croydon. This view came at a time when Croydon Children Social Care continue the implementation of the Systemic Approach Project where we advance the principles, values and working practices of systemic theory as a core feature of social work practice in Children Social Care. It is Croydon s intention that the supervision of staff should be equally systemic and that we move towards a model of group consultation as the principal vehicle for case reflection. Children Social Care continues to invest in a comprehensive systemic training programme for all supervisors and managers throughout the entire hierarchy and for all services and teams. This supervision training is taking place throughout 2017 and as such this supervision policy will be subject to further edit as new systemic practice, process and local procedures are agreed. This policy has taken into account; the national supervision framework for employers for social workers (June 2014) which sets out the requirement to ensure that social workers have a regular and appropriate supervision. This policy sets out how Croydon will achieve this. This policy also incorporates guidance on supervision from the College of Social Work (2013), the British Association of Social Workers (2014) Version 8 Page 4

5 and SCIE s (2013). This policy has been developed in partnership with social workers, unit managers and delivery managers from across Children Social Care. This policy has been further developed and tested throughout 2015 and 2016 as part of the Reflective Supervision Project. Aims The aims of this policy are to define: The uniform supervision model to be adopted for all posts within Children Social Care in order to support high quality practice and develop the professional competencies of all those involved. The rights and responsibilities of all staff in respect of supervision. The standards to be met. The means by which the practice of supervision will be qualitatively assessed and monitored. Entrench systemic practice in the supervision experience of all social workers and managers. To increase the quantity and quality of supervision in Croydon Children Social Care. Scope This is a mandatory policy. It applies to the supervision of all staff within Children Social Care including: All social work staff (including senior social workers, social workers, and social workers on assessed year in employment). 3 Consultant Practitioners. Unit and Delivery Managers Senior Managers Consideration is needed about how this policy and standards might be applied to other staff e.g. in multi-disciplinary teams, IROs and early help and best start teams and administrative staff and other managers who work within CSC. Definition and Functions Morrison (2001) defines supervision as: A process in which one worker is given responsibility by the organisation to work with another worker(s) in order to meet certain organisational, professional and personal objectives. 3 Some supervision requirements will differ e.g. AYSE and IROs or where competency issues have been identified. Version 8 Page 5

6 The purpose of supervision is to improve the quality of work so that service users / adults, children and young people have the capacity to lead independent and fulfilling lives. The functions of supervision are: Management (ensuring competent and accountable performance) Educative (developing the professional practice of the supervisee) Support (managing the impact of the work, stress, work/life boundary) Professional Impact & Engagement (engaging the individual with the organisation). Literature/ Research There is a substantial body of literature and research into the practice of supervision within children social care that demonstrates that in many cases supervision has not met minimum standards or been of the requisite quality, (Laming, 2009; Cantrill, 2009). A key theme is that of the four functions (see above) the management function takes precedence over the others, especially the educative and support functions with the unfortunate consequence that the latter two functions are given insufficient attention. This is a significant shortcoming as a competent and confident workforce is central to the provision of quality services and to the efficient operation of children s services. In addition few children social care organisations have audited supervision to ensure that it is of the requisite frequency and quality. (OFSTED, Healthcare Commission, 2008) Croydon adopts and promotes an interactional style of supervision that covers four core supervisory functions as described above. Interactional supervision is relationship centered and is based on the theory that the positive working relationship between supervisor and supervisee is key to effective and reflective supervision (Shulman, 1991) 4 (Shulman, 2005, 2011) 5. 6 The Social Work Reform Board Report (Department of Education, 2010) asserts the need for a national framework for standards which includes: The combination of effective supervision arrangements, together with a suitable working environment, manageable workloads, supportive management systems and access to continuous learning, to help ensure that social workers are able to provide good and responsive services for children, adults and families. Core Values and Principles 4 Shulman, L. (1991). Interactional social work practice: Toward an empirical theory. Itasca, IL: F. E. Peacock Publishers. 5 Shulman, L. (2005). The clinical supervisor-practitioner working alliance: A parallel process. In L. S. Shulman & A. Safyer (Eds.), Supervision in counseling: Interdisciplinary issues and research (pp ). New York, NY: Haworth Press Inc. 6 Shulman, L. (2011). Interactional supervision (3rd ed.). Washington, DC: National Association of Social Workers Press. Version 8 Page 6

7 These are the core values which underpin Croydon s supervision policy and the following standards and criteria (adapted from Morrison 2001). 1. Supervision must ensure the effective management of practice, develop and support staff and promote their engagement with the organisation using systemic principles. 2. All staff, irrespective of their role, have the right to receive high quality supervision. 3. All staff bear responsibility for the quality of their own work and, to this end, should prepare for and make a positive contribution to the supervisory process. They are not passive recipients. 4. Senior managers have a responsibility to promote good supervision by implementing this policy, adhering to the same systemic value base and application of systemic theory whilst ensuring training is provided for both supervisors and supervisees. 5. Senior managers need to conduct regular audits to ensure that this policy and standards are being implemented. 6. Supervision must promote anti discriminatory practice. 7. All practice must be consistent with the College of Social Work / HPC Codes of Conduct. Responsibilities Supervision is a process not an event. It entails preparation, open discussion and the implementation of decisions. Both supervisors and supervisees have a responsibility to actively engage in this process and supervisors should ensure adherence to the standards outlined in this policy. (Appendix 1) Supervisees will make a substantial contribution to the quality of their own supervision by, for example: Ensuring that actions agreed within supervision are carried out in a timely manner. Notifying the supervisor of any difficulties in implementing decisions or plans. Identifying development and support needs. Understanding and implementing policy. Where the supervisee is a practitioner s/he will also contribute to the supervision process (and promote high quality service delivery) by, for example, ensuring that: There is a written plan for each child, young person or adult. The desirable outcomes for each child, young person or adult are defined, including the purpose of contact and agreed interventions, and progress measured against these. Case recording contain clear analysis, plans and summaries. Diversity is integrated into all work and records. Version 8 Page 7

8 Supervisors will make a substantial contribution to the quality of supervision by adhering to the standards set out in Appendix 1. Neither supervisors nor supervisees are likely to maximise the benefit of supervision unless they are adequately trained to understand and carry out their duties. Supervision must be integrated into induction processes and training must be provided. Methods The principle method of supervision within Croydon Children Social Care is one-toone supervision where one worker is given the responsibility to work with another worker to meet certain organisational, professional and personal objectives. Supervision, as defined in this policy, should operate at all professional levels in the organisation up to and including director level. However, experience and research informs our profession that this traditional model of supervision does not meet all four functions for all staff all of the time. It is the view in Croydon that group consultation should be a reflective method prioritised as a supervision methodology. Other methods of supervision being developed in Croydon are: three-way supervision, team supervision, mentoring, live supervision, observation or the use of other expertise and skills. In particular the above methods have relevance for Consultant Practitioners, Practice Teachers, Unit Managers and staff in Calledown who particularly operate group learning and consultation processes. Given that the systemic approach encourages group work, reflection and observation on practice through joint visits, reflective team and consultative processes and the observations of skills and competence is inherent in the work, the workplace itself can be an evidence base for supervision. Group consultation is considered as the main vehicle for providing reflective consultation. Therefore the aim is for all social workers to attend a group consultation facilitated by their consultation practitioner at least once per week. In utilising the other methods of supervision it remains essential that Social Workers still have access to a level of one-to-one supervision on a four weekly basis with other methods acting as supplementary to enhance practice. 7 The guiding principle, irrespective of which methods are used, is that the line manager and the organisation as a whole are responsible for ensuring that all four functions of supervision are formally addressed. All cases should be supervised, at a minimum, of every 12 weeks cycle subject to priority and risk 8 Group Consultation is a method employed across Children Social Care. The group consultation is facilitated by a consultant practitioner (or unit manager) and allows the social work unit to occupy a safe, informal, 'mental space', where complex child 7 AYSE & IRO supervision requirements differ from this. 8 It is recognised that some cases, depending on seriousness, will require much more regular supervision and managerial oversight Version 8 Page 8

9 protection cases can be explored, reflected and understood. Group consultation is a space which is intended to contain the systems anxiety over child abuse allowing participants to think the unthinkable. It provides members with the space to understand their feelings and process difficult situations so not to impair judgement. It is 'a space to reflect over the needs of children' whilst building trust and confidence in relationships amongst the unit developing confidence, dialogue and discussion and where differing perceptions can be elucidated and sometimes challenged. The aim is that group consultations will be held weekly for each team. Reflections are recorded by the Unit Manager (if in attendance) and if not by the Consultant Practitioner who ensures the Unit Manager is informed via CRS of the reflections and any additional hypotheses identified by adding a case note of the type either Reflective group Consultation or Reflective Individual Consultation. Consultant Practitioner input and Group Supervision is in addition to one to one 4 weekly supervision. Group supervision is also offered to all Child Protection Consultants and IROs. Observation. The context of everyday child protection work is characterised by uncertainty, unpredictability, the stressful nature of the work and rigid bureaucratic/managerial procedures. Studies of everyday practice have suggested that local rationalities and cultures play a major role in shaping how workers make sense of their work and make decisions. Lofland et al. (2006) states that: participant observation gets you closer to everyday routine than any other method: to what people do, to what they talk about in action (rather than in interviews), to what they take for granted, to profound and nuanced understandings of what is going on. Consultant Practitioners and all managers should encourage, support and take part in observing and giving supervisees feedback from the process of observation. Joint visits should be undertaken by consultant practitioners, unit managers with social workers to support the culture of observation but to also offer feedback and provide live supervision on active cases. Any new case work decisions that result from this should be recorded by the Unit Manager if in attendance. If not the Consultant Practitioner will record the visit and ensure the Unit Manager is informed via CRS of the reflections and any additional hypotheses identified. Child Protection Conferences and Looked After Reviews will also be observed by relevant line and senior managers. Three-way-supervision may take place between a social worker, consultant practitioner and unit manager, or a social worker, unit coordinator or child protection coordinator or another variation. This reflecting model should be encouraged. Any new case work decisions that result from this should be recorded by the Unit Manager if in attendance. If not the Consultant Practitioner will record the visit and ensure the Unit Manager is informed via CRS of the reflections and any additional hypotheses identified by adding a case note of the type either Reflective Group Consultation. AYSE Version 8 Page 9

10 Taking the NQSWs journey at the 3 month point being a key milestone, the following suggests that during this period the NQSW can be provided with eight 1:1 supervision sessions within the first 12 weeks. AYSEs will also be offered five group supervision sessions within their first twelve weeks. The detail of this is as follows: Line Management supervision (5 sessions): Week 1-2: 1 Team induction meeting and 1 supervision (1) Week 3-8: fortnightly supervision (3) Week 9-12: three weekly supervision (1), then 3 weekly thereafter ASYE Lead supervision (3 sessions): Week 1-2: ASYE induction meeting Week 3-12: Monthly ASYE Supervision (3), then monthly thereafter Group Consultation: Monthly ASYE Group Supervision (3 available) and Team Group Supervision varies but possible weekly access. Suggest attendance at a minimum of 5 group supervisions. Independent Reviewing Officers Following Practice Week (December 16) IROS feedback that it was simply not possible for them to attend supervision on a 4 weekly cycle. IROs have collectively requested that supervision be on a 6 weekly cycle. Appraisal All staff are required to contribute to an Appraisal on an annual basis, reviewed 6 monthly. See Our Appraisal Guidance: Our Appraisal Guidance The appraisal provides an opportunity for the staff member, to reflect on their knowledge, skills and values in a structured way, focusing on the knowledge and skills required for their job whilst assimilating the feedback they receive from their manager. The appraisal reviews and Supervision are linked. The appraisal provides an overview of the work plan, expected achievements and development for the year; whereas Supervision provides the detail of the work undertaken. Evidence of performance contained in supervision records should be used towards all appraisals. The appraisal review and supervision records may be used towards the Health and Care Profession Council (HCPC) registration and renewal. Social workers should keep a copy of their appraisal, their Reflective Development Log and other evidence of achievements in their Career Implementation Plan as they may be asked to present this as confirmation of their continuing professional development. Version 8 Page 10

11 Confidentiality One to One supervision sessions are, in general confidential exchanges between supervisor and supervisee. However, the supervision record is an organisational document which may be seen by others for e.g. audit and inspection purposes, where there are grievances or disciplinary proceedings, without the consent of the parties involved. The supervision agreement should clarify the constraints upon confidentiality. To manage confidentiality all supervision records will be held on SharePoint. Recording All case work decisions, reflections and analysis shall be recorded on CRS by the supervisor / Unit Manager using the Case Supervision form on CRS. This enables managers to record Supervision on all the cases allocated to the worker. Delivery Manager and Heads of Service should record in case notes using the Manager s Decision option. Supervision should always be recorded in CRS by the supervisor in a timely manner and in such a way that the content and decisions can be readily understood and audited. Supervision records should be maintained by the supervisor with a copy for the staff member. Where other staff are providing aspects of supervision/mentoring this should also be recorded. Personal Supervision records (Appendix 3) should be held on SharePoint in the following manner All notes should be signed as agreed records at the end of a session or beginning of the next (see Appendix 3). Personal information will only be recorded where it is causing concern in relation to the individual s work performance. The supervision agreement should state how supervision will be reviewed, including feedback about quality and helpfulness (see Appendix 2). The supervisor and supervisee will agree what case decisions and actions need to be entered into the Children Recording System (CRS using the case supervision form by the supervisor. In recording decisions, it should be clear with whom they have consulted, especially if a decision is made outside a formal supervision meeting (an ad hoc consultation) or involves another manager. The SharePoint Link for all Personal supervision records is: Version 8 Page 11

12 Quality Assurance/ Audit Quality assurance is the responsibility of both the first-line manager and senior management. The first-line manager should read a sample of the supervisee s case notes regularly to ensure adherence to policy and the quality of work undertaken. From this s/he should select a number of cases to review in supervision. Senior managers are also responsible for assuring the quality of supervision and the performance of its staff. To this end they should regularly audit small random samples of case and supervision records to ensure adherence to policy and the provision of high-quality supervision. Appendix 5 has a template pro forma for this. Audits of Supervision will take place in March, May and November It is not realistic for senior managers to review all case/ supervision records. The key is regular audit of small samples maybe six or eight such records. It may be productive to conduct case records thematically i.e. to examine a sample of files relating to disabled or looked after children or children subject to child protection processes. CRS also has the capacity to quantitatively record how often supervision has taken place on each allocated case to Children Social Care. This should become a KPI for the weekly and monthly dashboard. The quality assurance processes are described in standard 12 (in addition see the pro forma for case file audit in Appendix 4). Conclusion This Supervision Policy is designed to support social workers and managers developed reflective practice to improve social work interventions which will lead to improved outcomes for children. Version 8 Page 12

13 Appendix 1 - Supervision Standards and Criteria Standards are used in many different areas of life. They describe the basic level of performance or ability that is required for a product or service to be effective and do the job it was designed to do. In this case the standards define what needs to be in place to ensure a consistent approach to supervision at all levels. Under each standard are a number of criteria indicators that will help decide whether this standard has been met. Standard 1 (Regularity of Supervision) All staff will receive formal and regular supervision. Criteria: For those undergoing the assessed year in employment and taking the AYSEs journey at the 3 month point being a key milestone, that during this period the AYSE can be provided with eight 1:1 supervision sessions within the first 12 weeks. AYSEs will also be offered five group supervision sessions within their first twelve weeks. The detail of this can be found on page 8. For those undergoing induction they will receive supervision within their first week and thereafter as specified and agreed in the Supervision Agreement but no less than every four weeks. Following confirmation in post, practitioners receive formal supervision, as a minimum, at four weekly intervals with opportunities for ad hoc consultation as and when needed. IROs will be provided supervision on a 6 weekly cycle. A supervision session lasts on average between one and a half to two hours. In addition time will be needed for preparation and recording. Group consultation should be available for social workers on a weekly basis Unit managers should complete one piece of observation and one piece of live supervision each quarter as a minimum. N.B. The frequencies stipulated in this standard assume staff are in full-time employment. There may need to be adjustment where staff are employed part-time. Standard 2 (Supervision as Reflective & Systemic) Supervision is arranged and conducted in such a way as to permit proper reflection and discussion. Criteria: Supervision is not subject to cancellation and is only postponed in exceptional circumstances. Any postponed session is reconvened at the earliest opportunity. Where the practitioner postpones supervision it is the Version 8 Page 13

14 practitioner s responsibility to reconvene and where it is the Manager who postpones, it is their responsibility. However, the manager has overall responsibility to ensure that supervision takes places and meets Standard 1 Where the supervisor is absent long-term from work, (because of e.g. sick leave), alternative arrangements should be made by senior management to provide supervision. Supervision takes place in an environment which affords privacy and where arrangements have been made to avoid interruptions, (other than in circumstances described in the supervision agreement). Group consultation will be arranged on a weekly basis. Standard 3 (Supervision Contract) All supervisory relationships are subject to a written agreement and are drawn up during the first supervision meeting. (See Appendix 2). Criteria: The agreement addresses: Respective roles and responsibilities. The frequency of supervision. How agendas are to be drawn up. How the supervision sessions are to be recorded. How confidentiality is to be maintained and what the limits are to this. How the appraisal review requirements are to be met. How differences in the working relationship are to be managed. How the principles of diversity (within the supervisor/ supervisee relationship and in service delivery) are to be handled. How and when the agreement is to be reviewed. Standard 4 (Quality of Supervision) Supervision is a planned and purposeful activity. Criteria: Both supervisor and supervisee prepare for supervision by identifying issues to be addressed. An agenda will be drawn up prior to or at the start of the supervision meeting. Both supervisor and supervisee should contribute to this. Decisions made at the previous supervision meeting are reviewed to ensure actions have been taken, (see Appendix 3). All cases should be supervised, at a minimum, of every 12 weeks cycle subject to priority and risk 9 9 It is recognised that some cases, depending on seriousness, will require much more regular supervision and managerial oversight Version 8 Page 14

15 There is a further criterion under this standard. Where the supervisee works directly with children and families: The supervisor reads 3 of the supervisee s electronic case files per month and reviews the supervisee s work tray (in Protocol) prior to supervision. The cases the supervisor has read should be noted in CRS. Standard 5 (Recording) Supervision of cases must be recorded in the child s record as mandated in Croydon Children Social Care s Recording Policy. Guidance for managers in how to complete this can be located here: LCS Case Supervision Manual v3.0 draft Dec Standard 6 (Personal Supervision Records) All Personal Supervision Sessions should be recorded promptly, competently and stored properly on SharePoint. All case work decision should be recorded in CRS within 72 hours. Criteria: Regardless of whether there is individual, joint supervision or an ad hoc discussion, the supervisor should record all case related decisions into CRS. All agreed decisions and action must be entered into CRS within 72 hours. Personal Supervision Records (Appendix 3) need to be entered into the relevant pro forma (see Appendices 2 and 3), signed by both the supervisor and supervisee and are placed in the supervisee s file in SharePoint within, other than in exceptional circumstances, 3 working days. The link to SharePoint Social Work and Social Care Supervision is The supervision records may be read by an interim supervisor but normally only read by more senior management for the purposes of auditing the quality of work and supervision or for inspection. Records demonstrate that issues of diversity have been addressed both in the supervisory relationship and service delivery. Standard 7 (Quality of Supervision) Supervisors and supervisees are trained to carry out their role. Criteria: Induction of all staff addresses the supervision policy and standards. Version 8 Page 15

16 Supervisors attend designated training within 1 year of taking up their first supervisory/ management post. On-going training is available to supervisors to consolidate skills and is discussed within the supervisor s appraisal. Supervisors receive regular feedback from their managers regarding their performance and from supervisees as part of their appraisal process. Standard 8 (Minimum Standards of Practice) The supervisor ensures that the management, (competent, accountable performance), function is met. Criteria: Supervision meets this function by ensuring that: Agency policies and procedures are understood and adhered to. The supervisee s workload is managed and priorities are set. The quality of the supervisee s performance (including anti-discriminatory practice) is measured. Statutory responsibilities are addressed. Work is allocated according to the experience and skill of the practitioner. Case / CRS recording, including daily case notes are of the requisite standard. Case / CRS files are audited as per Croydon s requirements. Care plans are devised, implemented, reviewed and recorded in CRS. When advice / consultation on case work is given outside of formal supervision, the supervisor will enter case decisions and actions into CRS Where a management decision has been made it is the responsibility of the supervisor / manager to record the management decision in CRS. Where a Consultant Practitioner or specialist practitioner (e.g. Mental Health, Substance Misuse and Alcohol or Domestic Abuse specialist), provide consultation these should be written up in CRS within 2 days and sent to the social worker and supervisor. The needs and desirable outcomes of the child, young person or adult are understood and that risks are identified and countered. The appraisals objectives are reviewed on a regular basis and, if necessary, amended. Standard 9 (CPD) The supervisor ensures that the continuing professional development function (including the CPD requirement set by the HCPC) is met especially through observation and live supervision. Criteria: Supervision addresses this function by: Helping staff to develop their professional competence. Version 8 Page 16

17 Enabling staff to meet their post qualifying and training requirements related to their ongoing Social Work registration with HCPC. Helping staff to initiate fresh ways of working in response to changing needs, including through the use of technology. Enabling staff to relate theory and research to practice. Assessing training and development needs. Developing skills and knowledge. Helping workers to reflect on their work and interaction with service users. Providing feedback on performance. Reviewing the supervisees Reflective Development Log to ensure it is relevant. Discussing how the learning gained through any development activity can be integrated into the supervisee s work and embedded into practice. Standard 10 (Support) The supervisor ensures the support function is met. Criteria: Supervision addresses this function by: Enabling staff to cope with the stresses that the work entails. Signposting available services the Council offers to help cope with stress and personal issues. Creating a safe climate for workers to examine their practice especially group consultation. Helping workers explore the effect of the work on them, both personally and professionally. Monitoring the overall functioning of workers, especially with regard to the effects of stress, team dynamics and relationships. N.B. It is important to distinguish between support and counselling. Whilst the impact of the work on the supervisee is an appropriate focus of supervision especially systemically, seeking to resolve the personal problems of the supervisee is not. Croydon provides an Employee Assistance Programme that can provide support for all staff and can be located via Standard 11 (The Organisation as a whole) The supervisor ensures the engagement (of the individual with the organisation) function is met. Criteria: Supervision addresses this function by: Communicating effectively with staff about organisational changes and initiatives. Briefing management about resource issues. Representing staff needs to management Version 8 Page 17

18 Seeking policy clarification. Consulting with staff and feeding back to management on how organisational policies/practice is perceived. Promote communication between team members when required. Negotiating on differences which may arise between supervisees and other professionals, teams or services. Ensure the supervisee is properly prepared to work to the goals of the organisation Standard 12 (Diversity & Difference) Supervision promotes a commitment to diversity in all aspects of work (i.e. that all children, young people, their families and adults are entitled to the same quality of service irrespective of ethnicity, religion, language, gender, age, disability or sexual orientation). Criteria: Supervision addresses this function by ensuring that: All assessments, plans and interventions address the implications of the child, young person or adult s ethnicity etc (see list above). The risk associated with specific disabilities is identified and countered. Discrimination that children, young people or adults may experience is acknowledged and, in so far as this is possible, countered by service provision. There is effective communication with all children, young people and adults (this is to include those people for whom English is a second language or who are disabled). All children, young people and adults receive an appropriate level of protection. Children, young people, their families and adults receive services appropriate to their individual needs irrespective of ethnicity etc (see list above). Standard 13 (Quality Assurance) Managers assure the quality of supervision. Criteria: If any functions of supervision are undertaken by a third party, the line manager coordinates the process and ensures effective communication. Senior management ensures there is an audit, at least once every 6 months of a small sample of: o Electronic case files to track the decision making process, actions and outcomes. o Personal Supervision records. Senior management conducts an annual audit of supervision practice. KPIs are introduced to ensure managers complete supervision. Head of Services to ensure Delivery managers are supervising Unit Managers. Version 8 Page 18

19 Appendix 2 - Supervision Agreement This document should be read in conjunction with Croydon s Supervision Policy and standards document, signed and uploaded to SharePoint at This document is designed to help the supervisor and supervisee construct a contract in which expectations are clear. It should act as a template rather than be simply copied. However, in amending it, staff should be careful to adhere to the policy and standards. This contract is between supervisor and supervisee Frequency, Length and Location Standard 1 We will normally meet at intervals. Our supervision session will last on average for. We will meet in a location which is private. Interruptions will be kept to a minimum. Agenda and Structure Standards 2, 3 &4 We will both prepare for supervision by identifying cases/ issues to be addressed. We will notify each other of any major issues to be addressed in advance. An agenda will be drawn up at the start of the supervision session. Functions Standards 7, 8, 9 & 10 Supervision will cover: a) Management (ensuring competent/accountable performance) b) Development c) Support d) Mediation (engaging the individual with the organisation). Additional Supervisory Activities 1. The Social Worker and Unit Manager / Supervisor will aim to attend and contribute to a Group Consultation each week. 2. The Unit Manager will formerly offer live supervisor at a minimum of once per quarter. 3. The Unit Manager will formerly observe a practice event at a minimum of once per quarter. Version 8 Page 19

20 Additional requirements for Appraisal reviews and professional development. Through the appraisal review, the supervisee will have a personal development plan detailing the learning and development required for that period. This will be reviewed in supervision along with any requirements emerging from regulation e.g. assessed year in practice, HCPC continuous professional development. The appraisal review meetings are undertaken separately from supervision sessions. However, the preparation for and the supervision session are an opportunity for the supervisee to gather and record evidence of their performance so that the appraisal review discussion are meaningful and accurately reflect the supervisee s work (The supervisor) will support the above processes in supervision by e.g.: Considering how (the supervisee) is applying his/her knowledge and skills. Reviewing progress against the development plan and identifying opportunities. Providing feedback around the skills and performance of the supervisee Consider the career aspirations of the Supervisee and offering advice and where possible different work experiences to improve the supervisees chances of career development Equalities Issues Standard 11 Supervision will be based on anti-discriminatory principles and sensitive to differences between our backgrounds and experiences. We will deal with these differences by Record Keeping Standard 5 All supervision sessions will be recorded on a pro-forma (see appendix 3) by (the supervisor) and passed to the supervisee within stipulated timescales (see policy and standards). Confidentiality Personal information will be treated as confidential and not recorded. There are however constraints on confidentiality in that supervision records may be accessed by interim managers or senior management for e.g. audit and inspection, grievances and disciplinary purposes Disagreements Areas of disagreement between us will be recorded on the supervision records. In the first instance we will seek to resolve differences within supervision. However, if Version 8 Page 20

21 they cannot be resolved either of us may refer these to the supervisor s line manager. Review of Supervision Standard 12 Supervision session process, content, length, frequency, format and style should be reviewed by the supervision and the supervisee on a six monthly basis. Feedback on the quality of the supervision will be given by (the supervisee) to (the supervisor) by the following method (please state frequency too). Absence of Supervision Croydon s policy requires that supervision be provided at stipulated minimal intervals. We will only postpone supervision in exceptional circumstances. Should supervision not take place e.g. long-term sickness, failure to adhere to the supervision timetable, we will refer this to (the supervisor s line manager). Specific Expectations Our expectations of each other are as follows 10 : If anyone other than the line manager is going to take responsibility for some part of the supervision process (mentoring, action learning etc) then this should be clearly recorded below and the process specified for regular review and communication. Signed: Supervisor Date Supervisee Date 10 Record here any expectations which are not, for example specified elsewhere in the contract, raised by prior positive or negative experiences etc. Version 8 Page 21

22 Appendix 3: Supervision Record Pro-Forma This document should be read, signed and uploaded to SharePoint at It is very important that supervision is recorded in a structured way and addresses the following four elements: Management (competent and accountable performance) Development Support Engagement (with organisation) The table below should be used to record briefly what was discussed and any decisions and actions. The supervisor will record case decisions and actions on CRS within 72 hours. This supervisory record should be uploaded into SharePoint into the social workers electronic supervision folder. Record of supervision meeting between and Date: Date of last supervision meeting Agenda and Outstanding issues / actions from previous supervision discussion Management Discussion (Standard 7 Workload, Performance Management & Quality Assurance) Version 8 Page 22

23 Action (including by whom) When Professional Development (Standard 8 CPD and PADA review) Action (including by whom) When Support (Standard 9 Case reflection, impact of work, team dynamics & relationships) Action (including by whom) When Version 8 Page 23

24 Engagement (Standard 10 Working within the wider organisation, working with other professionals, HR issues leave, absence, equalities, Health & Safety, organisational change) Action (including by whom) When Any Other Business Action (including by whom) When Signed: Supervisor Date Supervisee Date Version 8 Page 24

25 Appendix 4: Case File Audit Sheet The specific tool for Unit Manager / Delivery Managers to use whilst auditing case files is service specific and can be found in CRS However, regardless of the service concerned the following themes will be measured Appropriate and adequate recording Evidence of risk management (with a research base) Evidence that there has been sufficient management oversight Evidence that the manager/supervisor has made / approved / signed off key decisions Evidence of the worker / manager following local and statutory procedures Evidence that there is timely progress and that drift in cases is minimised Evidence that the wishes of the child, young person, adult, parent or carer have been taken into consideration Evidence of anti-discriminatory practice As a minimum, each case will be reviewed in supervision 3 monthly. Version 8 Page 25

26 Appendix 5 Supervision Audit Tool (For Next Meeting) This tool is designed to assist managers to audit supervision (see standard 12) with a view to establishing whether the supervision policy has been adhered to. It is intended that this tool can generally be completed with reference to supervision records. However, including an audit of the electronic case-files will present a fuller picture. The findings of the supervision audit should be published and shared with all staff and will inform future training, quality assurance and practice improvements. Standard 1 Formal and regular supervision Yes Partially No Has supervision been provided at the stipulated intervals? Comment Standard 2 Permitting proper reflection and discussion Was supervision postponed only in exceptional circumstances and sessions reconvened asap? Where the supervisor was absent long-term, were alternative arrangements made? Is there evidence of the reflective approach to supervision? Comment Yes Partially No Standard 3 Written agreement Yes Partially No Was a written agreement drawn up within the stipulated timescale? Did the agreement address the stipulated issues? Has the agreement been reviewed as described in the agreement? Comment Version 8 Page 26

27 Standard 4 Planned and purposeful activity Yes Partially No Is there evidence that supervision was planned? Were decisions made at the previous session reviewed? Comment Standard 5 Recording and storage Yes Partially No Were all records made on the correct pro forma, typed and signed within the stipulated timeframe? Were all significant care planning and management decisions accurately and appropriately recording in Protocol within the specified time scales? Were all staff performance issues recorded? See Standard 7 below Do records demonstrate that issues of diversity/ antidiscriminatory practice have been addressed? Comment Standard 6 Training Yes Partially No Has the supervisor received training/ refresher training in their role (as outlined in this standard)? Comment Standard 7 Management Function Yes Partially No Has the workload been managed and work allocated as specified in the standard? Has supervision ensured that care plans are devised, implemented, reviewed and recorded? Has supervision ensured that outcomes and risks are identified? Has good work been acknowledged and poor performance identified, managed and addressed? Version 8 Page 27

28 Comment Standard 8 Professional Development Function Yes Partially No Has supervision provided opportunities to staff to develop their skills, knowledge and competence? Have training needs and opportunities been identified? Has feedback on performance been provided? Comment Standard 9 Support Function Yes Partially No Is there evident that the supervisor and supervisee have discussed the impact of the work and its effects on the supervisee? Comment Standard 10 Engagement with the Organisation Yes Partially No Has supervision enabled the supervisee to think about how they interact with other professionals in the organisation Has supervision enabled the supervisee to feel they have a voice in the wider organisation Comment Standard 11 Diversity/ anti-discriminatory practice Has supervision promoted the integration of diversity principles into assessments, plans and interventions? Has supervision helped to identify and counter specific risks to children young people and adults? Yes Partially No Has discrimination been acknowledged and (in so far as this is possible) countered by service provision? Version 8 Page 28

29 Comment Standard 12 Assuring the quality of supervision Yes Partially No Was the last audit of supervision completed 6 months ago? Where a sample of supervision records and electronic case files reviewed? Have any actions resulting from the last review been implemented? Comment Version 8 Page 29