Introduction - 3dimensions.org.uk · Web viewSupervision and Appraisal are an integral part of our organisations development plan and contribute to

SUPERVISION AND APPRAISAL

POLICY

Policy version control sheet

Document Status CurrentPolicy Number 02

Version Number V1.1

Date of Policy Reviewed 10.04.17

Next review date December 2018

Name of originator Roz Simpson

Approved by Nicole Gonzalez

Date of approval February 2016

Target Audience StaffReferring authoritiesParents and carersRegulatory bodies

Links to other policies All Policies

Changes to previous version

Reviewed 10.04.17 Next Review December 2018

Distribution

Intranet Website Email to managers

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1 Introduction

1.1 The aim of this policy is to provide a framework for the one to one supervision and appraisal of all staff working for 3 Dimensions. The policy has been written, following consultation, to ensure it meets the needs of the organisation, the staff and their supervisors regardless of the area in which they work and to meet the ‘best practice’ guidance and legislation for the regulatory bodies related to each aspect of our work.

1.2 Supervision and Appraisal are an integral part of our organisations development plan and contribute to

Improved outcomes for those in our care Improved outcomes for our staff Development of individual and team performance The delivery of a quality assured service.

2 Definitions

2.1 Supervision is a forum where supervisees review and reflect on their work in order to do it better. Practitioners bring their actual work practice to another person [individual supervision], or to a group [small group or team supervision], and with their help review what happened in their practice in order to learn from that experience. Ultimately, supervision is for better quality service.

[Carroll 2007]

2.2 Appraisal is a formally constructed, annual activity. It is a vehicle for structured personal development planning that can have positive outcomes for both individuals and the organisation. Where necessary it also provides a process for managing staff performance as it encourages managers to measure individual performance against role competency criteria.

[Tilmouth and Quallington 2012]

2.3 Personal Development Plans are the outcomes of an effective supervision and appraisal process. They record individual objectives and targets for the coming year and learning opportunities. These may be long or short term goals or in the form of accredited learning, in house training, mentoring or coaching. [Appendix 5 part D]

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Reviewed: April 2017: Next review Dec 2018

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2.4 Supervision Agreements are an essential part of the supervision process and will be part of the first supervision session. [Appendix 1] The purpose is to establish a basis for which the supervisor and supervisee will work together during one to one supervisions. The establishment of ‘ground rules’ will be through negotiation and should clarify the rights and expectations on both sides to create a safe, secure and effective supervisory setting.

2.5 Supervisors are experienced, senior individuals within our organisation who hold appropriate qualifications and training in supervision and appraisal. In some settings the day to day supervisor for a particular member of staff may change according to shift patterns and rotas. The one to one sessions, however should always be carried out by the same supervisor for a particular member of staff. If a supervisee is subject to frequent changes of supervisor it is difficult for a relationship based on trust, openness and honesty to be established and confidentiality may be, or may perceived to be, compromised.

3 Process

3.1 One to one supervision takes place in private at a pre-arranged time with an agreed agenda with preparation on behalf of both parties. All staff will have access to this form of supervision on a regular basis.

3.2 We recognise, however that supervision is much more than these one to one sessions, it is an on-going process that takes place in many different settings and in many different ways. The two main methods other than one to one are outlined below, they have a place but do not replace planned, formal, recorded, one to one sessions.

3.3 Group Supervision should not replace individual supervision but can complement it, This will involve a group of staff, all involved in the same task, meeting with a supervisor to discuss issues as a team. This may be done in the context of a regular team meeting or as a separate session to look as specific issues. The outcomes of these sessions, if recorded appropriately, can contribute to an individuals supervision file. Group supervision can replace no more than 4 individual sessions per year.

3.4 Unplanned supervision takes place due to the pace of work and change and the frequency of planned supervision. Staff often have to ‘check something out’ with a supervisor. Staff who work closely with their supervisor will be communicating daily about work issues, problems arising, changes in policies or procedures. As with group

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. supervision, the outcomes of these sessions, if recorded appropriately, can contribute to an individual’s supervision file.

3.5 Provision and allocation of supervisors is monitored by the HR manager. Realistically each supervisor will have between 5 and 15 supervisees depending on the regulatory requirement for each area.

3.6 Every member of staff receives regular supervision throughout the year followed by an annual appraisal.

4 Frequency

4.1 The frequency and length sessions for supervision will reflect

The minimum requirements of the associated regulatory body The supervisee’s level of experience and competence Any particular circumstances that may require more regular supervision eg during a

probationary period Contract hours on a pro-rata basis.

Schedule for new staff

Supervision 30mins -1hr Appraisal 1hrSchool Month 1 and Month 3 Month 5

Care - no experience Every 2 weeks for 3-5 months Month 5

Care – experienced Every 2 weeks for 1-3 months Month 5

Schedule for existing staff

Supervision of 1-1.5hrs Appraisal 1-1.5hsSchool – Ofsted 6 monthly Annually

Care – Ofsted 1 monthly[ inc group supervisions]

Annually

Care – CQC 3 monthly Annually

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. 5 Preparation and format.

5.1 A supervision or appraisal session is a dialogue between the member of staff and their supervisor. As a result of regular feedback both parties will have a clear idea of what will be covered and there should be no surprises for either one.

5.2 Standardised preparation material for each staff group has been developed and will be completed and sent to the supervisor at least one week before the agreed meeting date.

6 Recording Supervision and Appraisal

6.1 Recording completed supervision or appraisal outcomes is the responsibility of the supervisor using the appropriate template.

6.2 In general the record should be detailed enough so the issue can be revisited if necessary at a later date. A short summary of the discussion and the decision or action points arising should be sufficient in most cases.

6.3 Where possible records should be word processed which can then be stored following encryption, hard copies MUST be taken.

6.4 Records will be completed within 2 weeks of the meeting.

6.5 Records will be signed and dated by both parties.

7 Confidentiality and access

7.1 Supervision and appraisal is a private but not confidential process. This means that the records are the property of the organisation, not the individual.

7.2 From time to time supervisors will need to discuss the content of supervision sessions with others and this will always be with the knowledge of the supervisee.

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. 7.3 Access to records is controlled and are locked away so that others who do not have a

legitimate right to see them cannot access them. Supervisees should be aware other than themselves and their supervisor others may from time to time access these records particularly in relation to disciplinary and safeguarding incidents. This may include

Senior managers Investigating officers Regulatory body inspectors Performance staff

8 Storage and Retention

8.1 All records pertaining to supervision will be kept in the supervisees file held by the supervisor in a locked cabinet. Associate documentation may also include sickness records and performance related correspondence related to the compilation of an effective annual appraisal.

8.2 Annual appraisals will be signed and scanned electronically then saved in the Electronic Staff Record with paper copies retained by the staff member for their own use.

9 Disagreements and Complaints

9.1 Staff should be clear about whom they should contact if they are in disagreement with any aspect of their supervision or appraisal process.

9.2 Supervisees should always discuss any complaints or dissatisfaction in the first instance with their supervisor and endeavour to reach an agreement within the normal supervision process.

9.3 If the agreement cannot be reached with discussion with the supervisor the member of staff should raise the issue with the supervisor’s line manager.

January 2015

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Appendix 1

Supervision AgreementBetweenSupervisee

AndSupervisor

Frequency Duration

Agenda and structure

Formal supervision will be structured with preparation work having been carried out by both the supervisor and supervisee which will be made available prior to the meeting. Formal supervision will ordinarily last for about and probably no more than 1-1.5 hours.

Content

Supervision will cover discussions around the identified topics, learning and development and a negotiated outcome to be taken forward

Record Keeping

All sessions will be recorded by the supervisor including areas covered, discussion points, agreed actions and time scales. Copies will be available to both parties and will be stored in accordance with the organisations supervision and appraisal policy.

Confidentiality

Supervision is a private process however in instances involving safeguarding or disciplinary matters will be shared in accordance with policy.

Cancellation

In the event that a scheduled session has to be cancelled it will be rescheduled to take place within 5 working days. In the event that a supervisor is absent from work for more than 2 weeks unplanned, it is the responsibility of the supervisee to report to the supervisor’s line manager for alternative arrangements to be made.

Disagreements

Areas of disagreement between supervisor and supervisee will be resolved through negotiation and recorded appropriately. Where agreement cannot be reached the supervisor’s line manager will be informed.

Signed

Date

Signed

Date

. Appendix 2

SUPERVISION NOTES [Education]

Name: Supervisor:

TOPICS FOR DISCUSSION DURING SUPERVISION TO BE HELD ON: ………………………(Date)

1. Response to and methods of working How are you finding your work, making positive relationships/managing behaviour/keeping boundaries?What methods/strategies do you find work?Are there any specific problems overall or with one particular young person?Do you need to discuss recent physical interventions or safeguarding incidents?

2. Any work undertaken as a Lead TutorAre you a lead tutor for anyone? Do you manage to have weekly sessions? Are the sessions fruitful? Do they bring up issues or do you have to suggest ideas? Do you address current issues? What sort of things do you bring up for discussion?Are you having any difficulties undertaking this task? If so what are they? Do you require further training on this subject?

3. Role in education and your part in fulfilling the schools policies and proceeduresYour Role, do you understand all that is required of you in education? Are there any areas that are unclear to you? Have you read the policies and procedures, do you feel the company and you are fulfilling the aims laid out.

Are there any issues around the schools daily routine and housekeeping, general education, spending group and one to one time with them, what sort of activities do you do? Making sure they are safe, that their personal hygiene is being addressed as well as their behaviour, helping with their life skills.

4. How you are working to fulfil the Young Persons planned outcomes.Have you read and understood Risk Assessments and Statements of Education. What do you think you are contributing to these? Do you think you have made any significant changes? What did you do to help fulfil the requirements of these?

5. Personal involvement, feelings, concerns and stress.Have you any concerns, feeling or stresses, do you find difficulty in not becoming personally involved, ? Do you understand the difference in empathy versus sympathy?

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6. Personal development or training required or discussions around how recent training can be used in practice

Is there any relevant training opportunity that you would find useful? How useful have you found any recent training and what opportunities/examples do you have of being able to use it in practice.

7. Help with current tasks and discussion and help with new tasks, including setting and maintaining standards. Are there any tasks that you find difficult? Is there anything that you feel would make your job more efficient or effective? Is there anything you need to maintain standards in the home, how can we help you achieve this?

8. Personal issues that may impinge on your ability to carry out your duties effectively. This maybe issues regarding your health or home life, personal or work related relationships.

9. New legislation or regulations that you need to discuss that will impact on your practice

Are you familiar with current legislation or changes in the law that will impact on your work?

10. Management or team concernsHow do you think the team and or your line management is working? What sort of things do you want to discuss that might improve or develop things?

Agreed by

Signed Staff Member: …………………………….... Date: ……………………

Signed Manager: ………………………. Date: ……………………..

Once completed file in House Supervision File

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.

STAFF SUPERVISION RECORD

NAME: DATE

DURATIONDETAILS

Specific areas to be addressed

Key issues

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Agreed Outcomes: Who is responsible to action this

Agreed date for action to be completed

Supervisee Comments

Date and time of next planned session

FOLLOW UP1. Copy kept in Managers Staff Supervision file in office.2. Copy to Staff Member

Appendix 35


. SUPERVISION NOTES [Care]

Name: Supervisor:

TOPICS FOR DISCUSSION DURING SUPERVISION TO BE HELD ON: …………………… (Date)

1. Response to and methods of working How are you finding your work, making positive relationships/managing behaviour/keeping boundaries?What methods/strategies do you find work?Are there any specific problems overall or with one particular young person?Do you need to discuss recent physical interventions or safeguarding incidents?

2. Any work undertaken as a key-workerAre you a key worker for anyone? Do you manage to have weekly sessions? Are the sessions fruitful? Do they bring up issues or do you have to suggest ideas? Do you address current issues? What sort of things do you bring up for discussion?Are you having any difficulties undertaking this task? If so what are they? Do you require further training on this subject?

3. Role as Residential Care Worker and your part in fulfilling houseStatement of Purpose.

Your Role, do you understand all that is required of you as an RCW? Are there any areas that are unclear to you? Have you read the Statement of purpose, do you feel the company and you are fulfilling the aims laid out.

Are there any issues around the daily routine and house keeping, general care, spending group and one to one time with them, what sort of activities do you do? Making sure they are safe, that their personal hygiene is being addressed as well as their behaviour, helping with their life skills.

4. How as a RCW you worked to fulfill the Young Persons care plans.Have you read and understood the Care/Placement plans and Risk assessments. What do you think you are contributing to the placement plans etc? Do you think you have made any significant changes? What did you do to help fulfil the requirements of these?

5. Personal involvement, feelings, concerns and stress.

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. Have you any concerns, feeling or stresses, do you find difficulty in not becoming personally involved, ? Do you understand the difference in empathy versus sympathy?

6. Personal development or training required or discussions around how recent training can be used in practice

Is there any relevant training opportunity that you would find useful? How useful have you found any recent training and what opportunities/examples do you have of being able to use it in practice.

7. Help with current tasks and discussion and help with new tasks, including setting and maintaining standards. Are there any tasks that you find difficult? Is there anything that you feel would make your job more efficient or effective? Is there anything you need to maintain standards in the home, how can we help you achieve this?

8. Personal issues that may impinge on your ability to carry out your duties effectively.

This maybe issues regarding your health or home life, personal or work related relationships. Are you taking leave appropriately?

9. New legislation or regulations that you need to discuss that will impact on your practice

Are you familiar with current legislation or changes in the law that will impact on your work?

10. Management or team concernsHow do you think the team and or your line management is working? What sort of things do you want to discuss that might improve or devlop things?

Agreed by

Signed Staff Member: …………………………….... Date: ……………………

Signed Manager: ………………………. Date: ……………………..

Once completed file in House Supervision FileSTAFF SUPERVISION RECORD

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.

NAME: DATE

DURATIONDETAILS

Specific areas to be addressed

Key issues


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Agreed Outcomes: Who is responsible to action this

Agreed date for action to be completed

Supervisee Comments

Date and time of next planned session

FOLLOW UP3. Copy kept in Managers Staff Supervision file in office.4. Copy to Staff Member

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. Appraisal Form Appendix 4

Name Location/base

Job role Time in present position

Length of service Date of last appraisal

Appraiser Date

Part A – Personal appraisal

1. What has gone well for you in the last year?

2. What do you consider to be your most important achievements of the past year?

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. 3. What do you like and dislike about working for this organisation?

4. What elements of your job do you find most difficult and why?

5. What elements of your job interest you the most and least?

6. What do you consider to be your most important aims and tasks in the next year?

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7. What action could be taken to improve your performance by you and your manager?

8. Where do you see yourself in the next year?

9. Do you have any training outstanding and what sort of training/experiences would benefit you in the next year ?

Part B - Last years objectives

Objective Met? Comment

1

2

3

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Part C – Performance

Comments

Communication & RelationshipsWith everyone inc Managers and members of your team. Mutual respect, understanding, professional and personal boundaries, gaining and maintaining these. Promotion of Positive Contact.

Record Keeping, Monitoring, Privacy and ConfidentialityYour understanding of the recording process and why the records are kept. How you maintain Confidentiality including other Staff Members and the Company. Your responsibility to check that others are completing records and maintain confidentiality correctly?

Prevention & ManagementOf Challenging Behaviour and Individual developmentYour ability and consistency in the use of given strategies, keeping boundaries. Your understanding of the cause of behaviour past and present issues, Risk assessments & Placement Plans

Day to day Routine TasksWelfare, Health and Safety, promotion of good health & wellbeing, including healthy eating and personal hygiene. Preparation of meals, household cleaning and laundry if applicable Managing your role and completing tasks efficiently

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. Activities / Education & LeisureYour Input and participation in activities and education.

Ability to Work as Part of a Team/FlexibilityAre you an effective team player, in your team and within the whole 3D team, is your team efficient.Ability to follow direction and accept constructive observation to improve performance. Address issues and deal with confrontation.Flexibility to meet needs of team and company

Taking Responsibility, Assertiveness Initiative & Decision MakingAbility to make assessments, make decisions and take responsibility for actions and outcomes.

Policies / ProceduresStatement of PurposeUnderstanding of the Aims and requirements of 3D and your role and commitment to follow company policies to maintain Quality.

Staff ProfessionalismConduct within the Company and in public is professional on and off duty.Complaints, Grievance and Disciplinary Procedure is understood, any issues.

Absences / Punctuality Sickness Record

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. How many absences within the year, general health and ability to continue in role.

Part D – What do you see as priorities for you in the coming year?

Areas of performance that could be improved

Tasks or Responsibilities you could begin to contribute to

1.

2.

3.

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Learning opportunities that would help you do these things

Appraiser _______________________________________________________

Appraisee _______________________________________________________

Date ___________________________________

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Documents

Introduction - 3dimensions.org.uk · Web viewSupervision and Appraisal are an integral part of our organisations development plan and contribute to