6.1 Staff Supervision, Performance Management, Training and Development |
Contents
- Introduction
- The Working Context
- Service Planning
- Work Planning
- Performance Management
- Training and Development
- Supervision
- Workloads
- Supervision Guidelines and Code of Practice
Appendix A: Supervision Record
Appendix B: Content of Supervision
Appendix C: Supervision Contract
Appendix D: Performance Management and Work Planning
1. Introduction
Social Services is committed to providing a comprehensive framework of managerial support and training to promote worker development and potential thereby improving the quality of service we provide for our clients.
Accordingly your supervisor is required to work with you to develop a supervision contract, a work plan and a learning and development plan.
2. The Working Context
The Social Services Department exists to provide the best possible service on behalf of the council, to its users. Work is allocated by line managers and is accountable to line managers; they in their turn are accountable to the Business Unit. There is an expectation on staff that they will structure their work in the most cost effective manner in providing a quality service.
Staff time is the most valuable and expensive commodity. Do not therefore be surprised when managers ask you to account for how productively your time is being used and in what way your actions and work made a difference in terms of service delivery. These are precisely the questions the community and the council as our employers expect answers to.
3. Service Planning
Each Business Unit is required by the Council to work within a Business Plan. All Business Units each have a Business Plan covering a three-year period. Staff can get access to the plan via their manager.
Each service area within each Business Unit has developed a Service Plan. This describes in more detail, the objectives that the service is aiming to achieve within the Business Plan. These objectives and the way of measuring them have a direct bearing on the work staff do.
4. Work Planning
The service objectives are the key things that each service is trying to achieve.
Whether they are achieved will be related to what members of staff do on a day-to-day basis. At the same time, members of staff are employed to fulfil a number of key functions/tasks, which may be broadly encompassed in job descriptions.
Individual Work Plans seek to identify what staff can do to achieve these two sets of objectives/tasks. The activities in an Individual Work Plan therefore may relate to a particular objective/task by describing, for example, what staff do, how they do it or how long it takes.
5. Performance Management
Everybody has a right to be given feedback by their line manager on how well they are doing. This applies to any specific tasks in a Work Plan and on the performance of their general day-to-day duties. This is incorporated into the Work Plan. This must be completed within 3 months of joining the Department and be agreed with your manager.
Feedback should not be a one-off event. As an integral part of supervision, it should be a continuing process. Within that context, feedback should also be structured into a 6 monthly formal cycle via the Work Plan. Staff are encouraged and expected to take an active part in this process.
6. Training and Development
Each Business Unit has a standard format for Learning and Development Plans consistent with the Department's approach. The standard forms should be completed within 3 months of joining the Department and agreed with your manager, and then completed on an annual basis. Within the identified competencies for the job, the Plan should identify key areas for development and how staff members, with managers' support, can make progress. Each team must complete its annual training plan in March each year and forward it to the Training Manager.
Some development activity may be best promoted through a training course. Managers will want to identify learning objectives with staff for any course and then jointly evaluate after the course, to see whether it has been successful in terms of improving service.
7. Supervision
Every member of staff is entitled to formal supervision. The frequency and duration will vary from person to person. The supervision should be based on a Supervision Contract, which should specify frequency and duration, as well as cover Learning and Development, Work Planning and Performance Management. It is helpful to identify when in an annual cycle reviews of these activities will take place.
Having said that, supervision is a work-focused activity that is meant to provide structure and feedback to the day-to-day work. Supervision provides an opportunity for managers to review workload, and to clarify expectations and offer guidance and support.
8. Workloads
Upon joining the Department, your workload will be set at a level in keeping with your experience, knowledge and qualifications. Social Services are committed to gradually building up a staff member's workload so as to give space for the induction process over the first few weeks.
Subsequent development of your workload will be managed in keeping with the priorities identified in your Work Plan and your team service specification.
9. Supervision Guidelines and Code of Practice
Introduction
Formal supervision is an integral part of the management process. These guidelines have been prepared through a consultation process with staff throughout the Department and aims to establish some basic principles of supervision and provide clear and consistent standards.
Purpose of Supervision
Supervision meetings should enable staff and supervisors to:
- Review their work and produce a Work Plan;
- Assess priorities and plan;
- Improve skills and knowledge in agreed areas;
- Identify training and professional development needs and produce an individual training profile and development plan; (see Training and Development Guidance);
- Develop a positive climate for good quality practice.
Principles of Supervision
- The best interest of the service user must always come first
- Supervision is mandated by departmental policy
- All members of staff require supervision
- Supervision is a shared responsibility, based on a negotiated agreement
- Supervision is regular and uninterrupted
- Supervision promotes competent, accountable and empowered practice
- Supervision promotes anti-discriminatory practice
Process of Supervision
Whether undertaken individually or in a group, supervision meetings should be:
PLANNED: Supervision meetings are a two-way planned process and not to be used only when there is a 'problem'. Both the staff member and the line manager should actively seek supervision. Both should ensure that they are adequately prepared for supervision meetings. Supervision requires a trusting relationship with commitment and involvement on both sides
REGULAR: Supervision meetings need to happen regularly. Agreement on frequency should be established at the outset, given priority and booked in the diary well in advance. If an emergency necessitates the postponement of a supervision meeting, a further time to meet must be arranged with minimum delay.
RECORDED: Notes need to be taken to record decisions made, who agreed to 'do' what, items for future discussions and training needs. The supervision record needs to be objective, legible and should also record disagreements. Some suggested formats are attached at Appendix A: Supervision Record.
Only the supervisor and staff member should keep the notes; a copy should be given to the supervisee and a copy retained by the supervisor. They may be subject to scrutiny by line management in the case of an enquiry.
SENSITIVE: A supervisor needs to be sensitive, constructive and challenging. Both parties need to have respect for each other and an acceptance of differing value bases. Any information shared during supervision would only be communicated to others on a need to know basis.
STRUCTURED: Supervision meetings need to be structured and planned in advance with an agenda.
Content of Supervision
Whatever the process, supervision should include:
- A management function
- An educational function
- A supportive function
- A mediation function
(See Appendix B: Content of Supervision)
Equal Opportunities
Supervision should be conducted in accordance with the Department's Equal Opportunities Policy.
All staff, whether part-time, full-time, shift workers or night staff will receive supervision. Similarly, irrespective of the responsibility they hold, all staff should have access to supervision on a planned basis.
Recognition needs to be given to the power imbalance that may exist between supervisor and staff member and the possible barriers to understanding, which can arise. Different life experiences should be valued and attention paid to issues of race, gender, sexual orientation, age and disability.
Training
To aid effective implementation of this Code of Practice, a programme of training will be offered to managers and supervisors. The training, which will be linked to the Code of Practice, will identify the skills required to apply the principles of supervision, integrating the equal opportunities dimension throughout. See Appendix F: Training and Development Policy and Procedure below.
Appendix A: Supervision Record
It is very important that supervision is recorded in a structured way. The following example can be adapted to meet local needs and managers are advised to use them as models when designing their record-keeping system.
Record of supervision meeting between ............................................... and ............................................................. on ............................................
| Topic | Discussion | Decision | For action by: | |
| Who | When | |||
Appendix B: Content of Supervision
The following may be useful when planning and evaluating supervision:
The Management Element
The aims of the management function are to ensure:
- The overall quality of the staff member's performance
- Departmental policies and procedures are understood and followed
- The worker understands her/his role and responsibilities
- Work is reviewed regularly in accordance with departmental and legal requirements
- The basis of decisions are clear to the supervisee and made explicit in agency records
- Records are maintained according to departmental policies
- The staff member knows when the supervisor expects to be consulted
- The staff member is given an appropriate workload
- The staff member acts as a positive member of the team
- Recognition of the staff member's achievements
- Clarity with regard to the relationship between supervision and other formal departmental procedures
The Educational Element
The aims of the educational function are to develop:
- Competence in the workplace
- The supervisee's understanding of the theoretical base, skills, knowledge and individual contribution to the organisation
- An understanding of the supervisee's value base in relation to race, gender, etc. and its impact on their work
- An assessment of the supervisee's training and development needs and how they can best be met
- Access to consultation and development opportunities in areas outside the supervisor's knowledge/experience
- The supervisee's ability to reflect on their work and interaction with service users, colleagues and other agencies
- Regular and constructive feedback to the staff member, on all aspects of their performance
- The supervisee's capacity for self appraisal
- A relationship in which the staff member provides constructive feedback to the supervisor.
The Support Element
The aims of the supportive function are:
- To create a safe climate for the supervisee to reflect on her/his work and its impact on them as a person
- To debrief the staff member and give them permission to talk about feelings, especially fear, anger, sadness, repulsion or helplessness, arising from work
- To help the supervisee to explore emotional blocks to their work
- To explore in a safe setting issues about discrimination
- To support staff who are subject to any form of abuse either from service users or from colleagues, whether this be physical, psychological or discriminatory
- To monitor the overall health and emotional functioning of the staff member, especially with regard to the effects of stress
- To help the supervisee reflect on difficulties in colleague relationships, to assist the worker in resolving conflict
- To clarify when the supervisee should be advised to seek external counselling
- To provide positive feedback
The Mediation Element
The aims of the mediation function are to:
- Brief higher management about resource deficits or implications
- Allocate resources in the most efficient way
- Represent staff needs to higher management
- Negotiate and clarify the team's remit
- Initiate, clarify or contribute to policy formulation
- Consult and brief staff about organisational developments or information
- Advocate between worker, or team, and other parts of the agency or with outside agencies
- Represent or accompany staff in work with other agencies
- Involve staff in decision making
- Deal sensitively, but clearly, with complaints about staff
- Assist and coach staff, where appropriate, through complaints procedures
Appendix C: Supervision Contract
| Between ............................................ |
and............................................... |
| Frequency |
Location |
| Duration of session |
All information between supervisor and supervisee will be treated with respect and in a professional manner.
Unless an exemption has been agreed supervision will be offered on an individual one to one basis.
Agenda and Structure
Formal supervision sessions should be structured with preparation work having been carried out by both the supervisor and the supervisee and where possible an agenda set before the supervision session. Any major issues requiring detailed discussion should be put in writing and distributed a few days before the supervision session. Both parties should prioritise the agenda items at the beginning of the session in order to make the most effective use of time.
Content
Supervision will cover:
- Management functions
- Educational and development functions
- Supportive functions and mediation functions
Equalities Issues
Supervision should be based on anti-discriminatory principles and should be sensitive to differences between people's experience. There should be an option of involving an independent person in some supervision sessions if there are difficulties arising from issues of inequality. Both parties may involve an independent person if any issue falls outside the competency of the supervisor.
Record Keeping
All supervision sessions should be recorded on a pro-forma (see Appendix A, Supervision Record); the record being available to both the supervisor and the supervisee and can be accessed by the supervisor's manager.
Disagreements
Areas of disagreement between supervisor and supervisee will be recorded on the supervision records. Areas of disagreement that cannot be resolved will be referred to the supervisor's line manager.
Review of Supervision
Supervision session process, content, length, frequency, format and style should be reviewed by the supervision and the supervisee on a six monthly basis.
Absence of Supervision
Departmental policy requires that supervision be provided. In the absence of supervision, either due to sickness/holiday, or failure to adhere to the supervision timetable, then either party can refer this to the supervisor's line manager. The supervisee will approach the line manager if she/he received no supervision for (Time to be agreed between supervisor and supervisee)
| Signed | Supervisor ________________________ | Date _________ |
| Supervisee ________________________ | Date _________ |
Appendix D: Performance Management and Work Planning
Work planning is the key tool for translating Business Plan objectives into the individual objectives of each member of staff. This process is usually managed through individual supervision. Its main advantages are:
- Clarifying each person's role and targets for the period in question (usually one year)
- Informing the individual's awareness of where their role fits into the overall scheme of things
- Providing a framework for supervision - allowing for progress to be assessed, support and development needs to be identified.
As well as providing a framework against which personal performance can be monitored the process of work planning is an effective system for informing business planning.
The format for producing work plans and recording process are on the Council's website, under Personnel Policy and Procedures. The work plan needs to summarise:
- What the person's overall objectives are
- Objectives and key milestones of important projects
- Targets and performance indicators
- Clear timescales
- Space to identify training and support needs
- Space to identify constraints that might reasonably impact on achievement of
- Work plan objectives
- A reasonable timetable for review of progress on the work plan.
The forms are below and reproduced separately for you to use - see the Intranet public folders under Departmental, Social Services, Children's Training.
Performance - Work Plan and Review for February/March (Annual Review Meeting)
| Division: | Manager: |
| Name: | Date: |
Objectives - (What needs to be done) |
Action - (What needs to be done to achieve the objectives) |
Performance Indicators - (To measure how well the individual is achieving the Objectives) |
Deadline for achievement - (What date the objective should be met) |
| 1. | |||
| 2. | |||
| 3. | |||
| 4. | |||
| 5. | |||
| 6. | |||
| 7. | |||
| Evidence of Achievement - (Have the objectives been met?) | |||
| 1. | |||
| 2. | |||
| 3. | |||
| 4. | |||
| 5. | |||
| 6. | |||
| 7. | |||
| Number of sick days in the last rolling year: ? | |
| 1st Increment approved - Yes ? No ? | 2nd Increment approved - Yes ? No ? |
| Appraisee's Signature: | Date: |
| Appraiser's Signature: | Date: |
Appendix E: Learning and Development Needs Plan
Objective - |
Learning and Development Required e.g. Customer care Method e.g. course, guided reading | Date - (Planned/ Undertaking) | Key Learning and development Objectives | Expected Outcomes (service delivery improvements) | Learning and Development Outcomes |
| 1. | |||||
| 2. | |||||
| 3. |
Appendix F: Training and Development Policy and Procedure
This part of the section contains the Departmental Training and Development Policy and Procedure. It is integral to ensuring you get access to the skills and knowledge you need to do your job and is part of our commitment to Investing in People.
It is in two parts:
- Training and Development Policy and Procedure
- Training and Development Guidance and Training Forms
(These will link with your work plan and the annual performance management system.)
The complete Policy and Procedure are reproduced separately for you to use - see the Intranet public folders under Departmental Information, Social Services, Children, and Training.
Click here for Diagrammatic Overview of Training Policy.
TRAINING GUIDANCE
1. Introduction
The Training Sections work on a contracting basis and commission all training events and materials from external training agencies and freelance trainers. These are selected from the Department's Approved List of Trainers and other Approved Agencies such as the Greater London Employers' Association or the Learning Agency (formerly LBTC: Training for Care). The Section also commissions work through the Council's Client Agency for Training and Development at Cator Street. In addition each section accesses a range of external short courses and qualification programmes, particularly management courses and post qualifying awards.
2. Purpose and scope of guidance
This guidance describes the process of obtaining appropriate training and development for new and existing staff.
3. Levels of responsibility
3.1 Individual staff members are expected to:
- Explore and identify their training and development needs and discuss these with their line manager as part of the process of supervision and work planning.
- Participate in training and development so as to achieve the knowledge and skills required for their post.
- Evaluate outcomes of training provision, and assess its effectiveness, with their manager.
3.2 It is the line manager's responsibility to:
- Discuss with staff their individual training and development needs as part of the process of supervision
- Determine, in conjunction with their senior manager and/or business unit manager, the minimum levels of competence, knowledge and skills required for each post and the overall training and development needs consistent with the business plan
- Seek advice from the relevant Training Manager/Officer as to the relevance of any programme chosen
- Recommend to the senior manager and/or business unit manager suitable training and development proposals and approaches
- Maintain individual training records for each member of staff within their team, reviewing progress and monitoring expenditure
- Evaluate outcomes of training provision, assessing the effectiveness of training and development activity of staff and, in conjunction with their senior manager and/or their business unit manager, reviewing and evaluating the training plan, and recommending any changes required.
3.3 It is the section/team manager's responsibility to:
- Collate training and development needs for the group
- Collate the evaluation of training provision and the assessment of the effectiveness of training and development activity of staff
- Ensure the storage of data on training and development needs and evaluation, for reporting purposes.
3.4 It is the business unit manager's responsibility to:
- Set the objectives for the business unit and link the overall training and development needs for the business unit to those objectives
- Consider the training and development proposals from each manager
- Formulate a business unit training and development programme
- Direct the business unit's management team to implement the programme
- Consider the reports on the evaluation of training and development provision and activity, in preparation for the following year's programme.
3.5 It is the training section's responsibility to:
- Oversee the identification of training and development needs, the development of the annual training plan and the implementation of the programme
- Develop and maintain approved lists of trainers
- Commission training provision and agree contracts
- Advise managers and staff on the relevance and suitability of any programme chosen
- Book the trainers and venue requirements and make payments as agreed in the contracts
- Publish calendars for the year and publicity for each training event, and compile training handbooks
- Provide evaluation from trainers on the quality and outcome of provision
- Provide overall statistical and financial reports
- Process financial claims and grant money.
4. Training methods
4.1 Development and training ranges from off site planned courses to on site coaching, but where appropriate, links are made to NVQ and other qualifications.
- Learning methods will be provided through one or more of the following means:
- On the job briefing and instruction
- Planned attendance at meetings, working parties, Committees, etc.
- Supervision meetings and counselling sessions
- Guided reading
- Special assignments or projects
- Temporary exchanges with/secondment's to other teams, etc.
- Planned work experience
- Attendance on short courses, seminars and conferences
- Sponsorship for professional, technical and management courses
- Self-development material, distance and open learning as well as day release, evening classes or other sponsorship facilities
- Action learning sets.
All learning is monitored and evaluated.
5. Making a short course application
| 5.1 | If you have not completed a training profile, complete one in draft and give it to your manager for agreement. Your profile can then be compared with the work plan and any potential skills gap can be identified and discussed. |
| 5.2 | Applications for short courses, organised in-house, should be completed on the Training Application Form with a copy of the Equal Opportunities Monitoring Form. |
| 5.3 | At the end of each short course you should complete an evaluation form and give one copy to the trainer, one to your manager and keep a copy yourself. |
| 5.4 | There is a separate Protocol and Criteria for extended courses, a copy of which is included at the end of this section. |
6. Organisational structure
The Social Services Training Sections comprise:
Click here to view The Social Services Training Sections Flowchart
7. Funding
The Department obtains its funds through Department of Health training grants. Additional resources are earmarked from the Children's Divisional and Community Care budgets. Full details are contained in the Annual Training Plan.
When a place has been booked on a training course, this will incur a cost on the Department's budget. Funds are limited, so please ensure that you attend courses. If, for any reason you cannot, please inform your Training Section immediately so that arrangements can be made for others to benefit.
Form TPF1 - Training and Development Profile
This form is to summarise your qualifications and learning already achieved, so that you can compare this with your work plan.
Please complete this profile prior to commencing work with Southwark Social Services. At your first meeting with your line manager you will be discussing the profile. Please take a copy to the meeting and keep a copy for yourself.
| STAFF MEMBER | JOB TITLE | ||
| SUPERVISOR | STARTING DATE |
| QUALIFICATIONS | |
| COURSE | DATE COMPLETED |
| SHORT COURSES AND OTHER RELEVANT ACHIEVEMENTS | |
| DATE COMPLETED | |
Training Form TP/F1, Working towards Investors in People, January 1997
Form TPF2 - Learning & Development Needs: Plan
The Learning & Development Needs Plan form is to record during supervision the outcome of any discussion on training and development activity. Guidance notes are overleaf.
| NAME: | LOCATION: | JOB TITLE: | YEAR: |
Objective |
L&D Required |
Date |
Key L&D Objectives | Expected Outcomes (service delivery improvements) | L&D Outcomes* |
* Were key L&D objectives met and Expected Outcomes achieved? If 'No', give reasons.
Learning & Development Needs Plan: Guidance Notes
Purpose
This form will allow you and your manager to follow a consistent approach, support both pre and post training and development discussions and ensure that details are recorded. Managers will be able to record expected outcomes and actual outcomes on any particular course, and the difference will indicate the quality of the learning event. Senior managers can then review the overall training and development programme. This will help to improve future training events and make sure that you receive high quality development opportunities. The actual outcome relates to the potential benefits in service delivery. You and your manager will have the opportunity to discuss whether there have been any improvements following any training and/or development interventions which will help to evaluate the overall benefit for our clients.
Using the form
In order to make sure any learning is linked to service delivery you should first identify the particular objective/s you have to carry out, and, feel you could improve with some additional skill development, knowledge, experience, etc. Identify the learning and development needed and the date it is planned for. Then add the key learning objectives, i.e. what do you want to be able to do following the training. Finally identify as expected outcomes how you think this will improve service delivery.
After a learning and/or development intervention, identify the actual outcome, were the key objectives achieved as agreed prior to the event? In particular, record if you think you have been able to put your new skills into practice, and they have improved service delivery as you expected and discussed prior to the event? Finally is any further action required? If the course did not meet its objectives you may wish to discuss further development opportunities. Even if the course was excellent you may wish to discuss with your manager how you can most effectively use your new skills.
Training Form TP/F2, Working towards Investors in People, January 1997
Form TP/F3: Training Application Form
Click here to view the Training Application Form
Form TP/F4: Monitoring of Southwark Council's Equal Opportunities Policy
Click here to view the Equal Opportunities Policy Form
Form TP/F5: Training Evaluation Form
Click here to view the Training Evaluation Form
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