Dr Esther Cohen-Tovee Clinical Director. Author(s) (Name and designation) Date ratified October Implementation Date.

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1 Document Title Reference Number Lead Officer Author(s) (Name and designation) Ratified by Clinical Supervision and Peer Review Policy NTW(C)31 Medical Director Dr Esther Cohen-Tovee Clinical Director Trust wide Policy Group Date ratified October 2013 Implementation Date Date of full implementation November 2013 November 2014 Review Date Oct 2017 Version Number V04.3 Version Type of change Date Description of change Review and Amendment Log V04 Early Review Nov 13 V04.1 Update May 15 Re-write of policy throughout each section; Updated Appendices A, B and C Section 5 Addition of prompts for discussion / prompts in clinical supervision or peer review Section 9 additional guidance re documentation in patient record V04.2 Update Nov 16 Extended Review to May 17 V04.3 Update May 17 Extended Review to Oct 17 This policy supersedes: Reference Number NTW(C)31 V04.2 Title Clinical Supervision and Peer Review Policy

2 Clinical Supervision and Peer Review Policy Section Contents Page No: 1 Introduction 1 2 Purpose 1 3 Definition 2 4 Supervision arrangements within the Trust 4 5 Framework for individual clinical supervision and peer review 5 6 Frequency and duration 7 7 Contracts 8 8 Confidentiality 8 9 Documentation 8 10 Retention of supervision notes 9 11 Duties and responsibilities Third parties Difficulties Managerial supervision supervision of non-registered nursing staff 15 Identification of Stakeholders Definition of terms used Equality and diversity impact assessment Implementation Staff Training Monitoring and compliance Standard key performance indicators Fraud and Corruption Fair Blame Associated documentation Standard Appendices attached to policies A Equality Analysis Screening Toolkit 17 B Communication and training check list and training needs analysis 19 C Audit and monitoring Tool 22 D Policy Notification Record Sheet - click here

3 Appendices listed separate to policy Document No: Description Issue No: Issue Date Appendix 1 Sample Supervision Contract 1 Oct 17 Appendix 2 Appendix 3 Appendix 4 Sample Record Form for Clinical Supervision or Peer Review Sample longer version Clinical Supervision Record Form (highlighting reflective practice) Supervision, Peer and Appraisal Record Form 1 Oct 17 1 Oct 17 1 Oct 17 Appendix 5 Clinical Supervision Record Form 1 Oct 17 Appendix 6 Functions and Models for Supervision 1 Oct 17 Appendix 7 Adopting a Model for Supervision 1 Oct 17 Appendix 8 Appendix 9 An example of issues which may be addressed in clinical supervision Interactions between elements of Supervision, Peer Review: Supportive, Developmental, and Managerial 1 Oct 17 1 Oct 17 Appendix 10 Reflective Practice 1 Oct 17 Appendix 11 Facilitating experiential learning a general approach (plus methods) 1 Oct 17 Appendix 12 APL Criteria and Application Form 1 Oct 17 Appendix 13 Supervision of Trainee Doctors 1 Oct 17

4 1 INTRODUCTION 1.1 (the Trust/NTW) recognises the importance of clinical supervision and peer review in contributing to the development of practitioners and improving the quality of care and safe practice. Clinical Supervision or, (for consultant grade staff), Peer Review, should be available to, and taken up by, all clinical staff that coordinate and/or deliver care, whether from health or local authority (e.g. integrated teams). The Trust will create conditions in which this can be achieved. 2 PURPOSE 2.1 This policy has been formulated to ensure Trust staff have a clear understanding of their own and the Trust s responsibility in relation to Clinical Supervision and Peer Review. 2.2 This policy provides a framework for practice for all clinical professions within the Trust, including those local authority staff in integrated teams for whom the Trust has responsibility, to operate alongside local policies that may vary between professions and specialisms. 2.3 Clinical Supervision and Peer Review take place through a practice focused, professional relationship, involving a clinician reflecting on practice guided by a skilled supervisor/reviewer. The supervisor will either be more experienced and have higher level skills than the supervisee, or will be a peer with equivalent skills, depending on the level of expertise of the supervisee. Peer review is only appropriate for clinicians in very senior and consultant roles. The supervisor is not expected to be (and should preferably not be) the practitioner s line manager, but should, where possible, be a professional who has specialist theoretical/practical knowledge of a particular treatment or therapy model, who may or may not be employed by the Trust. Therefore no single model of clinical supervision or peer review can be adopted across the Trust; each clinical team/service will be responsible for the implementation of clinical supervision and peer review models that support their clinical practice. 2.4 Clinical Supervision and Peer Review should take place in accordance with the standards and guidance produced by appropriate recognised clinical professional bodies such as the Nursing & Midwifery Council (NMC), British Psychological Society (BPS), Royal College of Psychiatry (RCP), College of Occupational Therapy (COR), Chartered Society of Physiotherapy (CSP), Royal College of Speech and Language Therapy (RCSALT), other professional bodies regulating the psychological therapies (e.g. UKCP, BABCP, BACP), and other professional codes for Professions Allied to Medicine, and should meet the Healthcare Commission Core Standard Specific guidelines stipulated by the Royal College of Psychiatrists (RCP) and the Postgraduate Institute (Northern Deanery) for supervision of trainee doctors are set out in Appendix Specific guidelines stipulated by the BPS can be found at 1

5 2.7 Specific regulatory guidelines stipulated by the NMC can be found at Specific regulatory guidelines stipulated by the Health & Care Professions Council (HCPC) can be found at Specific guidelines stipulated by the COR, CSP and RCSALT can be found at Specific guidelines re. peer review requirements of medical revalidation can be found at 3 DEFINITIONS 3.1 Clinical supervision is a term used to describe the formal process of professional support and learning which enables individual practitioners to develop knowledge and competence, assume responsibility for their own practice and enhance consumer protection and safety in complex clinical situations. It is central to the process of learning and to the expansion of the scope of practice and should be seen as a means of encouraging self assessment and analytical skills. (DH 1993) 3.2 Through the development of competence (including appropriate values, relevant knowledge and high quality care) clinical supervision aims to facilitate the delivery of consistently high standards of care enabling the practitioner to reflect on practice, clarify goals, identify appropriate clinical interventions and to accept appropriate individual responsibilities (i.e. duties of post; tasks agreed with supervisors) and the related personal accountability (e.g. by setting and monitoring acceptable standards of practice: Clinical Governance: DH, 1998). 3.3 Clinical supervision brings together practitioners and skilled supervisors, which enables the monitoring and development of practice, providing feedback and support to supervisees. Participating actively in supervision is a clear indication that an individual is exercising his/her clinical governance responsibilities. In turn, supervisors and the organisation have their respective responsibilities (e.g. implementing appraisal systems and supervisor training). 3.4 Peer review is described by the RCP as a key mechanism to support appraisal and revalidation for Consultant Psychiatrists.The College recommends that that the case-based discussion (Mynors-Wallis et al, 2011) technique is used. Case-based discussion provides the opportunity for a specialist psychiatrist to discuss the case of a patient with a colleague, reviewing the assessment, diagnosis and treatment or management, and discussing the doctor s reasoning and judgment. Although the process is largely formative, it can have an assessment component. It provides an opportunity for the colleague to make an assessment of key clinical care standards set out in Good Psychiatric Practice (Royal College of Psychiatrists, 2009). Casebased discussion evaluates what the doctor has done in practice. It has the advantage over a simple review of case notes in that the doctor being appraised has the opportunity to explain and clarify the information that is contained in the clinical records and provide appropriate clinical background. The expectation is that at each case-based discussion, a discussion of each case will occur as to whether the psychiatrist has satisfactorily met the standards being evaluated from Good Psychiatric Practice. Good points in the clinical care will be highlighted, together with the identification of areas of improvement. Each area for improvement will then link to a personal development plan, which will be followed up at appraisal. 2

6 "In the course of their professional career every doctor will experience NTW (C) 31 variation in the level of their practice, and clinical competence. Every doctor will make mistakes and, on occasion, patients will come to harm as a result. All doctors must therefore be vigilant in recognising, and taking responsibility for mistakes and for reductions in the quality of their practice." The NHS Revalidation Support Team March Specialty Doctors occupy positions of varying degrees of seniority. Some are trained to almost as high a degree as Consultants, while others may not have fully completed Core Specialty Training. The decision about whether a Specialty Doctor is involved in a peer review process or a process that is closer to the clinical and educational supervision arrangements of a doctor in training is an individual one. This decision must be made by the Specialty Doctor s line manager and be documented. It is recommended that this discussion takes place in the annual Job Plan review for the Specialty Doctor and the arrangement to be followed is formally recorded in Job Planning documentation. 3.6 The three main functions of Clinical Supervision and Peer Review are: Formative (encouraging reflection on practice; feedback, to develop clinical skills; to share and utilize knowledge Restorative (time to discuss clinical difficulties; to express feelings; to provide a supportive structure that is seen as distinct from managerial input Normative (to express, explore and accept constructive criticism; to promote mutual respect between participants; to provide support in relation to the demands of the job, including managerial, service and quality issues, such as monitoring practice in relation to Trust and professional standards, quality of care issues and safeguarding issues) 3.7 These functions serve the overall purpose of supervision, which is to provide safe care through promoting the supervisee s clinical effectiveness. In pursuit of this purpose, the aims of Clinical Supervision and Peer Review are: To ensure the supervisee s fitness for practice (competence) To safeguard professional standards (fitness for profession) To develop professional expertise (fitness for purpose if qualified, fitness for award if training) To promote high quality care To provide additional assurance concerning clinical risk To enable the supervisee to reflect on his/her practice 3.8 Purpose of Clinical Supervision and Peer Review To develop or refine clinical skills To provide time to discuss clinical difficulties To share and utilise knowledge To express feelings 3

7 NTW (C) 31 To develop understanding of the personal impact of clinical work, and vice versa, the potential impact of personal issues on clinical work 3.8 Safeguarding Children. To promote mutual respect between participants To express, explore and accept constructive criticism To provide a supportive structure that is seen and experienced as distinct from managerial input To fulfil the requirements of Professional Governance To support the delivery of Quality Standards To address practice which falls short of agreed standards It should be noted that there is a PGN in the safeguarding children policy specific to child protection/safeguarding supervision: SC-PGN SUPERVISION AND PEER REVIEW ARRANGEMENTS WITHIN THE TRUST 4.1 Clinical Supervisors and Peer Reviewers must have the appropriate qualifications, skills and experience to ensure that clinical supervision is a meaningful process, one that promotes effective clinical practice and reflects appropriate accountability arrangements. All clinicians will receive the type of clinical supervision appropriate to their clinical area and where appropriate in accordance with requirements from relevant professional/regulatory body (e.g. Health & Care Professions Council (Standards of Proficiency, Standards for CPD ); British Psychological Society; Royal College of Psychiatry; The Chartered Society of Physiotherapy; College of Occupational therapy; Royal College of Speech and Language Therapy; Association of Family Therapy (AFT); British Association for Counselling and Psychotherapy (BACP); Core Standard C5b, Healthcare Commission core standards, 2008). 4.2 Clinical supervision or peer review should be provided by the most appropriate person, as determined and formally requested by the line manager. This may be a clinician from the same discipline, a clinician from a different discipline, an appropriate peer, or the line manager her/himself (provided they meet the criteria for the clinical supervisor laid out in 4.1). The selected arrangements should be communicated to all relevant staff and should be effective (Healthcare Commission, 2008) Line managers remain responsible for providing managerial supervision regardless of professional background (see section 13) and for Clinical Leadership (Healthcare Commission, 2008) in partnership with Clinical Directors, clinical leads and professional leads. 4.3 The Trust will provide training which covers the principles, process and minimum standards for clinical supervision and peer review within the Trust, and which seeks to improve the awareness and skills of staff to deliver and receive clinical supervision or peer review. 4.4 Those staff who can demonstrate that they have completed equivalent training will be recorded as trained on NTW Dashboards. The process is outlined in Appendix 10 (accreditation of prior learning - APL). 4

8 4.5 Champions for clinical supervision and for peer review should be developed from each Directorate. 5 FRAMEWORK FOR IMPLEMENTATION OF INDIVIDUAL CLINICAL SUPERVISION and PEER REVIEW 5.1 Within the structure outlined above, the process of individual supervision should be negotiable via a signed contract between supervisee and supervisor which addresses essential ground rules (e.g. confidentiality; record-keeping). It may be provided on an individual or small group basis, or live in the case of family therapy supervision. 5.2 There are a number of ways of approaching supervision, referred to as methods or models. The purpose of a model of supervision is to provide a framework for practice, one which clarifies the purpose and characteristics of supervision for both parties. Models can vary quite widely in their perspective, (for example humanistic, psychodynamic, systemic or Cognitive Behaviour Therapy based) but all include an educational emphasis and adopt a developmental perspective (i.e. that supervisees will change as they gain experience, proceeding through different stages towards expertise). Whichever model is adopted by the supervisor it is important that it is applied properly (i.e. with adherence to the selected approach). Also all sessions should use a structure which includes: (See Appendix 2) An agenda agreed at the outset Feedback from previous sessions (e.g. progress with action points) Attention to the normative, formative and restorative functions Discussion of a representative sample of recent clinical work (N.B. this primarily involves cases selected by the supervisee. In addition the supervisor should have the option to make a random selection of one or more current cases to follow up and discuss.) Consideration of the various options for addressing clinical challenges The latter may include use of audio visual recording and live observation of clinical work. This is considered an exemplar of best practice as an element within clinical supervision, but as an enhancement to the process only. Reflection and discussion are essential components of clinical supervision and peer review Summary of the session, noting any further actions and including mutual feedback, which is recorded (See Trust form within Appendix 2) Arrangements for future meetings 5

9 5.3 The expectation within this policy is that all clinicians should participate in one to one clinical supervision or peer review. Where a small group model is used, the rationale for this should be agreed with the line manager, and each member must have designated time for their cases to be supervised at each session. In certain (rare) circumstances, phone supervision may be used once a face-to-face relationship with the supervisor has been established. 5.4 It is recognised however that in addition to the established one to one clinical supervision sessions, services may wish to establish group supervision/consultation sessions as they are often valued by staff. In no circumstances should these groups replace one to one or small group supervision as outlined in the policy. 5.5 Clinical supervision or peer review within each of the clinical professions should be carried out in accordance with this policy and within the standards and guidance published by the relevant professional bodies. 5.6 Appropriate prompts for discussion / prompts in clinical supervision or peer review include: Reflective practice discussion e.g. becoming aware of responses and reactions to situations; looking at interventions, different options and their own effectiveness and exploring other ways of working in this and similar situations Discussion around emotional reactions evoked by the service user s situation and feelings Discussion of those service users where there are potential as well as known safeguarding issues Discussion around discharge plans supporting individual and service wide throughput Discussions about involvement in After Action Reviews and SUI investigations 5.7 Consultant grade psychiatrists should also refer to local Peer Review proposals which stress the importance of utilising the critical commentary of others in the process of reflection on a regular basis. Membership of the clinical supervision and peer review group should be drawn from the practitioner s field of work in order to ensure informed critique of clinical work. The group should meet at least monthly and should provide regular dedicated time where complex cases are discussed with the appropriate degree of challenge and support. It is important the learning generated from these discussions is documented. This may be in the form of the Case-based Discussion tool and written reflections on the learning should be part of the annual appraisal portfolio. A brief summary of the discussion and any action points should also be recorded in the patient s case record. 6

10 5.8 In order for this arrangement to provide sufficient rigour to satisfy the needs of clinical governance, it is important that all members of the consultant peer review group are aware of their responsibilities to submit their work to regular review and to be responsible for group supervision decisions. Doctors are reminded of the following responsibilities as outlined in the General Medical Council s Good Medical Practice: You must consult and take advice from colleagues, when appropriate (3,i) You must take part in systems of quality assurance and quality improvement (14,d) You must be honest and objective when appraising or assessing the performance of colleagues (18) You must protect patients from risk of harm posed by another colleague s performance or health. The safety of patients comes first at all times (43) You must treat your colleagues fairly and with respect (46) 6 FREQUENCY AND DURATION 6.1 Clinical Supervision/Peer Review will be arranged at a minimum of once per calendar month but may need to be undertaken more frequently, dependant upon the complexity of cases, the regulations of professional bodies and the needs of the supervisee. The frequency of supervision should be recorded in the supervision contract. It will be the responsibility of the supervisee and supervisor to ensure regular supervision takes place and that the time for the session is protected. 6.2 Consultant psychiatrists should ensure that their peer review meetings take place monthly and that each consultant submits at least two patients for peer review per year to meet revalidation requirements. Ten cases should be submitted over a five year period, two thirds of which should chosen by a random method. Records should be kept of each meeting, recording the names of those present and the recommendations made. 6.3 Clinical supervision/ peer review should take place in a comfortable environment that provides privacy, confidentiality and promotes best use of time. Identifying and booking the use of an appropriate space is a priority to enable clinical supervision to take place appropriately. 6.3 It is acknowledged that much informal supervision takes place during the working day and this complements formal supervision (as in 5.2). The supervision contract should recognise this activity. 7

11 7 CONTRACTS NTW (C) A contract should be negotiated, agreed, signed and dated by both parties at the start of any supervisory relationship in order to protect both parties (it is a legallybinding agreement). For example, it is vital that the extent and limits of confidentiality are clarified and agreed, and an understanding reached about what does and does not fall within the scope of clinical supervision. Also, the frequency and length of meetings, record keeping and other practical details should be included. This contract should be agreed for a fixed period and be subject to review. (See Appendix 1 for a sample contract.) The contract should guide the structure and planning of each clinical supervision or peer review session. 8 CONFIDENTIALITY 8.1 The content of Clinical Supervision/Peer Review sessions should be regarded as strictly confidential. The exception would be if one or other party felt that there was an issue that invoked a professional responsibility to report information to an appropriate person and was able to justify this. This should be made clear in supervision contracts. Any disclosures should be communicated to the other party in advance. 9 DOCUMENTATION 9.1 Accurate notes will be taken during the session by either party. These will be agreed, signed as a correct record by both parties and kept securely. More detailed documentation may be necessary in different professional groups. No patient identifiable information should be recorded in supervision notes; initials only should be used when it is necessary to record a discussion or action points relating to any specific individual. 9.2 It should be noted that documentation might be requested for legal purposes. Whilst confidentiality is assured, written information may ultimately be accessed by service users and legal representatives; this should be borne in mind. All documentation should fall within the professional standards stipulated by the clinician s profession e.g. NMC, BPS and General Medical Council (GMC). 9.3 In addition to the supervision notes described in 9.1 above, a note should also be made in the records of each Service User when their care has been discussed in supervision or peer review. This should include the date the supervision took place, the identity of the supervisor, the issues discussed and the outcomes that are relevant to the care of the service user Entries recording supervision should be made in progress notes and should have the heading Clinical Supervision (or Peer Review for Consultant Psychiatrists). This enables the search facility on the electronic patient record (RiO) to bring up all such entries which facilitates audit, after action reviews, complaint and SUI investigations etc Any new insights re. assessment and bio-psycho-social formulation or differential diagnosis, and any action points arising from supervision or peer review should be recorded. 8

12 9.3.3 Any potential changes to the service user s care plan arising from supervision or peer review should be discussed with the service user (and carer where appropriate) and with others involved in the care plan, and if agreed, the care plan should then be updated accordingly. Any clinical supervision that influences care plans must be cross referenced between progress notes and the actual care plan entries 9.4 Do not include the following: Supervision notes concerning the personal or professional development of the clinician themselves should not be recorded on the electronic patient record (RiO). These notes should be recorded in separately held clinical supervision or peer review records, in which service users identities are anonymised. 9.5 How to record Inpatient settings: Key-workers for service users in hospital should record their clinical supervision in relation to these clients on the electronic patient record (RiO). Other staff involved in their care may choose whether to record their clinical supervision in relation to clients for whom they are not the keyworker, but should always do so if new issues in relation to the client s care and treatment arise during supervision Community settings: All staff who are providing individual elements of a service user s care plan, including support workers, should record their supervision sessions in relation to the client on the client s electronic patient record (RiO) 9.6 In addition to the above, a log of frequency and duration of clinical supervision or peer review received should be kept by all practitioners, for scrutiny by external inspection. 10 RETENTION OF SUPERVISION NOTES 10.1 Comprehensive records of clinical supervision and peer review are essential to support continuity of service user care and ensure evidence based clinical practice. (See Appendix 2). Originals and copies of supervision notes should be kept for a minimum of three years In exceptional circumstances clinical supervision and peer review records can be subpoenaed by a court of law. Both parties should be cognisant of this when storing and retaining clinical supervision and peer review records All clinical supervision and peer review records will be retained by both parties In the event of a supervisee changing supervisors, then the supervisee and the supervisor will agree what supervision records will be passed to the incoming supervisor, and ideally a tripartite hand-over of supervision will take place In the event of any employee leaving the Trust s employment, and where the supervisory relationship includes management supervision as well as clinical supervision, then the supervisor and the supervisee will agree a written summary of the management component of the supervision. This summary of the management supervision will then be passed to the Human Resources Department for inclusion on their personal file. 9

13 11 DUTIES AND RESPONSIBILITIES NTW (C) The line manager will be responsible for monitoring that regular and effective Clinical Supervision or Peer Review is taking place. Supervisor and supervisee should record that supervision has taken place on an approved recording form (see Supervision Record Appendix 3 as an example). (The Line Manager will need to liaise with the professional head, in terms of seeking assurances and evidence that clinical supervision is taking place appropriately) The supervisor/reviewer and supervisee/reviewee have joint responsibility for scheduling supervision If one party cancels a session, the reason should be recorded and another session scheduled to take place at the earliest convenient time following cancellation. All services should establish monitoring systems for all their staff groups to ensure Clinical Supervision or Peer Review is taking place for all staff on a regular basis. (See Supervision Record - Appendix 3 for an example) Both the supervisor and supervisee shoulder multiple responsibilities: The supervisor should: The supervisee should : Be professional (e.g. ethical, respectful and acting with integrity) Take the lead, providing appropriate and effective supervision Offer normative, restorative and formative guidance competently Ensure that the supervisee is working within her/his competence Monitor the quality of the supervisee s work, as appropriate to the supervisee s status (e.g. trainees will normally require very close monitoring) Avoid personal or dual relationships that might compromise objectivity and effectiveness Communicate effectively (e.g. being open about their training and experience as a supervisor), helping to schedule sessions; recording of sessions Raise any concerns in a timely way with the supervisee (and if necessary, with their line manager) Accept overall clinical responsibility for work that is allocated to the supervisee (due to duty of care; vicarious liability) Be trusting and acknowledging Be able to challenge Provide clarification Act as a role model Be honest and constructive Undertake relevant training Prepare for the session Operate within own sphere of competence Contribute to the agenda Accept support Voluntarily accept the supervisors right to control and direct your work where appropriate Help to schedule supervision sessions; record supervision sessions Accept constructive criticism Be reflective Accept praise Be committed to the process 10

14 11.5 It is recognised that the extent of the responsibility held by the supervisor, and the closeness of the monitoring of practice required, will vary with the status of the supervisee and the authority relationship between the two. At one end of the spectrum, the supervisor of an unqualified trainee will allocate work to the trainee, hold clinical responsibility for all the supervisee s clinical work and will need to monitor their work closely. At the other end of the spectrum, the supervisor or peer reviewer of an experienced consultant clinician will not normally allocate work, and will only be responsible for checking that standards of practice are met across a random sample of the supervisee s work, and will be responsible for giving appropriate advice in relation to the cases discussed The above summary spells out the link between normative supervision and the clinical responsibility within the Trust s policy. According to Proctor (1986), who introduced the normative formative - restorative distinctions, normative supervision includes organizational and policy issues, quality of care, feedback, evaluation and attention to clinical outcomes. In practice the key principles are: appropriate access to clinical work of the supervisee, so that monitoring/evaluation can occur; and working collaboratively to meet standards of care, and to ensure that such care is of the highest possible standard 11.7 The Trust s policy is consistent with the Health and Care Professions Council; The supervisor takes some responsibility for ensuring the quality of the service by making sure that the supervisee has the appropriate skills, knowledge and experience. In turn, this process should promote clinical effectiveness, and enable the supervisor / peer reviewer to provide sound feedback, to challenge the supervisee where appropriate, and to motivate. Similarly, if the supervisor has concerns about the supervisee s fitness to practice or general performance, they have a duty to discuss this with the supervisee, and if necessary, with the supervisee s manager These are general points that cut across all professional groups, but each supervisor/supervisee or peer reviewer/reviewee should also take account of any guidance that may exist within their own professional body. 12 THIRD PARTIES 12.1 An appropriate third party may be called into supervision for the following reasons: Expertise in a particular area Arbitration in the case of difficulties within the supervisory relationship The person identified as third party should be acceptable to both supervisor and supervisee If a third party is to be brought in, notice and agreement must be reached between both supervisor and supervisee 11

15 12.2 In addition to planned and/or contracted clinical supervision, supervision can take place: o Simultaneously with practice, e.g. in service user areas or cocounseling (Live Supervision) Immediately after practice, e.g. debriefing (Immediate Supervision) After a period of time where past events are explored (Delayed Supervision) In anticipation of events (Proactive Supervision) 12.3 In practice, this may mean that supervision can be given by a member of staff (e.g. the nurse in charge of the ward/lead Care Manager) who is not the supervisor. It is the responsibility of staff giving supervision to declare relevant information to the identified supervisor, and for the supervisee to document such information, perhaps by the use of a clinical diary/reflective journal. 13 DIFFICULTIES 13.1 If a clinical supervisory or peer review relationship is viewed by either party as unproductive, then it is important to attempt to address these difficulties within supervision If there were no resolution the use of a third party would be the usual next step to take, (See Section 12 Third Parties) However whilst there is an obligation to receive clinical supervision or participate in peer review, it is important that no one becomes locked into a destructive or unproductive relationship without any means of escape. Therefore either the supervisee or supervisor should be able to call an end to the relationship at any time and make new arrangements for clinical supervision / peer review. This should be established in the initial contracting phase. 14 MANAGERIAL SUPERVISION 14.1 Clinical supervision and peer review are not to be confused with managerial supervision. Managerial supervision includes individual appraisal and Joint Development Plans (J.D.R.) in which managerial or performance objectives may be set and workload reviewed through the KSF process (Knowledge and Skills Framework). Management supervision is usually provided by line managers, and will occur alongside clinical supervision and peer review, although be distinctly separate from those processes. All Managerial supervision should be recorded in the same way as clinical supervision, and the process and activity should be audited by the unit manager on an annual basis. Activity records for both clinical and managerial supervision will be made available to appropriately designated Trust staff for the purpose of audit and inspection as and when deemed necessary (e.g. for National Health Service Litigation Authority (NHSLA) standard [1.2.4] inspection). 12

16 14.2 In those instances where the clinical supervisor is also the line manager, Proctor s model (1986) (see Appendix 4) may afford a worthwhile approach to what is often a problematic issue (e.g. because of the power imbalance). In keeping with this policy statement, Proctor s model allows for the monitoring of standards, workload and attendance, as well as encouraging a focus on skills development and support This model can be implemented through the use of supervision contracts, agenda setting and written records of supervision. Both supervisor and supervisee should also monitor and review their sessions, so as to ensure that a fair and reasonable weighting is actually given to each of these three supervision elements over an appropriate period of time. A reasonable balance can be defined in terms of roughly equal proportions of time on the normative (i.e. management), formative (skills development) and restorative elements, where this is perceived to be adequate by both supervisor and supervisee. This definition assumes that any one supervision session may vary significantly from this balance, but that over time it will even out (e.g. when reviewed after a year) Appropriate assertiveness and mutual feedback are vital to the establishment of this balance. Of course, an individual supervisor may not personally provide all elements all of the time, in the sense that some delegation or additional input (e.g. workshop attendance) may be appropriate. Therefore, the supervisor should be viewed as the person who oversees these different elements, aiming to ensure that a balance is achieved through a suitable range of management, supportive and formative activities Most staff will receive managerial supervision from their line manager and clinical supervision from someone else. This approach is indicated as best practice, although it is recognised as not always practicable Supervision of non-registered staff For non registered nursing staff within services who are supervised by qualified nurses on a daily basis, it is recognised that clinical supervision is achieved in a number of ways including direct observation and individual sessions or group sessions. All methods of clinical supervision delivery have value and help ensure every non-registered nurse has the opportunity to reflect and learn from their practice. The service must ensure a range of clinical supervision opportunities are available for non-registered nursing staff. It remains important that the opportunity for one to one clinical supervision is available for non-registered nursing staff which must be planned and provided as necessary, bi-monthly as a minimum or on a pro rata basis for part-time staff, with the frequency recorded in the agreed supervision contract For non-registered staff from other professions, appropriate arrangements must be made to ensure clinical supervision is provided by a qualified and experienced practitioner. The frequency and duration of supervision, and the supervision methods used, will depend on the work allocated and the level of autonomy of the staff member, but will be usually be more intensive than the minimum standards for supervision of qualified staff. 13

17 15 IDENTIFICATION OF STAKEHOLDERS NTW (C) This is an existing policy which has undergone a review with members of the Trust s Clinical Supervision Oversight Group, medical education and safety leads and the Medical Director, in relation to operational and clinical practice. Therefore it has been circulated to the following for a four week consultation period. Senior Management Team Local Negotiating Committee Consultant Psychiatrists Planned Care Group Specialist Care Group Urgent Care Group Psychological Services Clinical Governance and Medical Directorate Safeguarding Trust Allied Health Profession Services Finance, IM&T, Estates and Performance Staff-side Trust Pharmacy Workforce Communications 16 DEFINITIONS OF TERMS USED British Psychological Society (BPS) Department of Health (DH) General Medical Council (GMC) Health and Care Professions Council (HCPC) Joint Development Review (JDR) Knowledge Skills Framework (KSF) National Health Service Litigation Authority (NHSLA) Nursing & Midwifery Council (NMC), Royal College of Psychiatrists (RCP) College of Occupational Therapy (COT) Chartered Society of Physiotherapists (CSP) Royal College of Speech and Language Therapy (RCSALT) UKCP (United Kingdom Council for Psychotherapy) BABCP (British Association of Behavioural and Cognitive Psychotherapy) British Association for Counseling and Psychotherapy (BACP) 17 EQUALITY AND DIVERSITY ASSESSMENT (Appendix A) 17.1 In conjunction with the Trust s Equality and Diversity Officer this policy has undergone an Equality Analysis Screening Tool which has taken into account all human rights in relation to disability, ethnicity, age and gender. The Trust undertakes to improve the working experience of staff and to ensure everyone is treated in a fair and consistent manner. 14

18 18 IMPLEMENTATION NTW (C) The Clinical Supervision Oversight Group will be responsible for designing clinical supervision/peer review training The Care Groups and Directorates are responsible for ensuring all registered staff access training for clinical supervision or peer review, supported by the Training and Development department, and assurance should be provided via Group Quality and Performance governance meetings Some clinical staff can be exempted from undertaking the Trust s clinical supervision training and refresher programme, provided they can evidence receipt of equivalent training from another internal or external source. Guidance regarding this is attached at Appendix STAFF TRAINING 19.1 The Trust will ensure that all staff have access to appropriate levels of training, it is the responsibility of each Group Triumvirate to ensure staff attend. Levels of training are identified in the training needs analysis (see Appendix B) and are included within the Essential Training Guide which forms part of NTW(HR)09 Joint Development and Review Policy and Practice Guidance Notes. 20 MONITORING AND COMPLIANCE 20.1 The responsibility to ensure clinical supervision or peer review sessions take place rests with the individual supervisee and supervisor. It is the responsibility of the organisation, its managers and clinical leads to ensure the environment exists in each clinical area where clinical supervision and peer review can flourish, and the requirements of the policy can be met The responsibility for monitoring the clinical supervision process in each clinical area rests with the manager for that area; this can be done using the example Supervision Record form in Appendix 3 or by developing their own fit for purpose monitoring form for their specific clinical area The Service Managers and Clinical Directors/Professional Leads will be jointly responsible for ensuring that robust clinical supervision and peer review systems are established across their patch Local audits led by the Service Managers and Clinical Directors/Professional Leads should be undertaken on a regular (at least twice a year) basis to provide assurance that the key policy standards are being met by the services The Directorate Managers across the Planned, Urgent and Specialist Care Groups are responsible for providing the evidence to their Quality and Performance Groups, assuring that Group that their services meet the required standards and policy compliance relating to clinical supervision and peer review The Trust Clinical Effectiveness department will be responsible for maintaining an audit database relating to all registered audit activity across the Trust including local audit relating to clinical supervision and peer review. 15

19 21 STANDARDS/KEY PERFORMANCE INDICATORS NTW (C) It is a requirement and responsibility of all professionally qualified staff through their individual codes of professional conduct to ensure that they receive appropriate clinical supervision or peer review. It is the responsibility of the organisation and its managers, professional leads, clinical directors and senior clinical nurse to establish clinical supervision systems and regularly monitor the process NHSLA Standards and require organisations have robust clinical supervision policies, procedures and documentation in place The Healthcare Commission Core Standard 5b requires that all trusts provide assurance to the Commission on an annual basis that clinical supervision and peer review are embedded throughout the organisation. 22 FRAUD, BRIBERY AND CORRUPTION In accordance with the Trust s NTW(O)23 Fraud, Bribery and Corruption Policy all suspected cases of fraud and corruption should be reported immediately to the Trust s Local Counter Fraud Specialist or to the Executive Director of Finance. 23 FAIR BLAME 23.1 The Trust is committed to developing an open learning culture. It has endorsed the view that, wherever possible, disciplinary action will not be taken against members of staff who report near misses and adverse incidents, although there may be clearly defined occasions where disciplinary action will be taken. 24 ASSOCIATED DOCUMENTATION NTW(O)01 Development and Management of Procedural Documents NTW(HR)09 Staff Appraisal Policy and Practice Guidance Notes 16

20 Appendix A Names of Individuals involved in Review Equality Analysis Screening Toolkit Date of Initial Screening Review Date Christopher Rowlands V03- Jan 13 Nov 16 Trust wide Service Area / Directorate Policy to be analysed:- NTW(C)31 - Clinical Supervision and Peer Review Policy- V03 Is this policy new or existing? Existing What are the intended outcomes of this work? Include outline of objectives and function aims This policy provides a framework for practice for all clinical professions within the Trust, including local authority staff in integrated teams, to operate alongside local policies that may vary between professions and specialisms Clinical Supervision is a practice focused, professional relationship involving a clinician reflecting on practice guided by a skilled supervisor. The supervisor who is not routinely expected to be the practitioner s line manager but can be another professional who has specialist theoretical/practice knowledge of a particular treatment or therapy model, who may or may not be employed by the Trust. Therefore no single model of clinical supervision can be adopted across the trust; each clinical team/service will be responsible for the implementation of clinical supervision models that support their clinical practice. Who will be affected? e.g. staff, service users, carers, wider public etc Protected Characteristics under the Equality Act The following characteristics have protection under the Act and therefore require further analysis of the potential impact that the policy may have upon them Disability Sex Race Age Gender reassignment (including transgender) Sexual orientation. Religion or belief Marriage and Civil Partnership Pregnancy and maternity NA NA NA NA NA NA NA NA NA Carers Other identified groups NA NA 17

21 How have you engaged stakeholders in gathering evidence or testing the evidence available? Through policy process How have you engaged stakeholders in testing the policy or programme proposals? Through policy process For each engagement activity, please state who was involved, how and when they were engaged, and the key outputs: Through policy process Summary of Analysis Considering the evidence and engagement activity you listed above, please summarise the impact of your work. Consider whether the evidence shows potential for differential impact, if so state whether adverse or positive and for which groups. How you will mitigate any negative impacts. How you will include certain protected groups in services or expand their participation in public life. Now consider and detail below how the proposals impact on elimination of discrimination, harassment and victimisation, advance the equality of opportunity and promote good relations between groups. Where there is evidence, address each protected characteristic Eliminate discrimination, harassment and victimisation Advance equality of opportunity Promote good relations between groups What is the overall impact? Addressing the impact on equalities From the outcome of this Screening, have negative impacts been identified for any protected characteristics as defined by the Equality Act 2010? If yes, has a Full Impact Assessment been recommended? If not, why not? Manager s signature: Christopher Rowlands Date: April

22 Appendix B Communication and Training Check list for policies Key Questions for the accountable committees designing, reviewing or agreeing a new Trust policy Is this a new policy with new training requirements or a change to an existing policy? If it is a change to an existing policy are there changes to the existing model of training delivery? If yes specify below. Are the awareness/training needs required to deliver the changes by law, national or local standards or best practice? Please give specific evidence that identifies the training need, e.g. National Guidance, CQC, NHSLA etc. Please identify the risks if training does not occur. Please specify which staff groups need to undertake this awareness/training. Please be specific. It may well be the case that certain groups will require different levels e.g. staff group A requires awareness and staff group B requires training. Existing V03 Professionally qualified staff who are required to be supervisors should be aware of the reviewed NTW(C)31, Clinical Supervision and Peer Review Policy and its contents, especially those relating to the types and models of supervision, the use of contracts, the written recording of supervision sessions and the differences between management and clinical supervision. A cascade training programme has been initiated by the Trust Clinical Supervision Implementation group (now the Clinical Supervision Oversight Group) and further roll out is the responsibility of the operational Groups. It is the requirement of all professional bodies that qualified staff receive adequate clinical supervision to carry out their role. NHSLA standards require policies procedures and approved documentation exists within the organisation The HCC Core Standard 5b requires assurance that clinical supervision is embedded within the organisation The organisation needs to: provide training as above; ensure it is accessible and taken up by all clinical staff; ensure that good quality clinical supervision takes place. (see sections 21 and 22 of the policy) Professionally qualified staff are the priority staff group for training, however unqualified staff should be made aware of the policy through their supervision arrangements and receive appropriate training tailored to their needs, within their service area All managers of clinical services also need to be aware of the requirements for clinical supervision and peer review. 19