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{{org_field_name}}

Registration Number: {{org_field_registration_no}}

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Supervision and Appraisal Policy

1. Purpose

The purpose of this policy is to outline {{org_field_name}}’s approach to supervision and appraisal, ensuring that all employees receive structured, supportive, and developmental feedback to enhance their professional growth and maintain high-quality care standards. Supervision and appraisal are key elements in promoting staff well-being, accountability, and continuous improvement in service delivery.

Effective supervision and appraisal provide employees with a clear understanding of their roles and responsibilities while offering an opportunity to reflect on their practice, identify development needs, and set goals for continuous professional improvement. This policy aligns with Health and Social Care Standards (Scotland), Scottish Social Services Council (SSSC) Codes of Practice, and Care Inspectorate Scotland regulations to ensure a well-managed and motivated workforce.

Supervision and appraisal within {{org_field_name}} are intended not only to review performance, but also to promote reflective practice, safe and effective care, trauma-informed and rights-based practice, staff wellbeing, learning and development, and early identification of any issues that may affect competence, conduct, professional boundaries or fitness to practise. The organisation recognises that high-quality supervision is a core safeguard for people using the service and an essential element of good leadership and continuous improvement.

2. Scope

This policy applies to all employees within {{org_field_name}}, including care workers, support staff, supervisors, and management. This policy applies to all employees of {{org_field_name}}, including care workers, senior care staff, coordinators, supervisors, managers, relief and bank staff. It also applies, where relevant and proportionate, to agency staff, students, volunteers or other workers engaged in service delivery or oversight where {{org_field_name}} has responsibility for induction, supervision, practice oversight or performance management. All managers and supervisors are responsible for implementing this policy consistently and fairly. Supervisors and managers are responsible for ensuring this policy is effectively implemented.

3. Legal and Regulatory Framework

This policy is informed by, and should be read in conjunction with, the current Scottish legal, regulatory and best practice framework for care at home services, including:

• Public Services Reform (Scotland) Act 2010 – the principal legislation governing the regulation, inspection and enforcement of care services in Scotland.
• The Social Care and Social Work Improvement Scotland (Requirements for Care Services) Regulations 2011 – including duties relating to the welfare of people using the service, personal planning, fitness of providers, managers and employees, staffing, training, record keeping and complaints.
• Health and Social Care Standards: My support, my life – setting out what people should expect from health, social care and social work services in Scotland.
• Scottish Social Services Council (SSSC) Codes of Practice for Social Service Workers and Employers (2024 edition, in force from 1 May 2024) – setting out the standards of practice and behaviour expected of workers and employers, including requirements for effective and regular supervision, reflection, feedback, professional development, safe practice, professional boundaries and fitness to practise.
• Care Inspectorate Quality Framework for Support Services (Care at Home, including Supported Living Models of Support) – supporting self-evaluation, quality assurance and improvement, including expectations around leadership, staff support, learning and development, and assessment and personal planning.
• Protection of Vulnerable Groups (Scotland) Act 2007, as amended, and current PVG scheme requirements – including the legal requirement for PVG scheme membership where staff are carrying out a regulated role.
• Health (Tobacco, Nicotine etc. and Care) (Scotland) Act 2016 and The Duty of Candour Procedure (Scotland) Regulations 2018 – supporting openness, learning and organisational response where unintended or unexpected incidents result in, or could result in, harm.
• Equality Act 2010 – ensuring equality, diversity, inclusion and non-discrimination in employment and workplace practice.
• Data Protection Act 2018 and UK GDPR – governing the lawful, fair, proportionate and secure processing of supervision and appraisal records and other staff data.
• Employment Rights Act 1996 and relevant employment law principles – supporting fair process in capability, conduct and grievance matters.
• Public Interest Disclosure Act 1998 – protecting workers who raise genuine concerns about unsafe, unlawful or improper practice.

Where legislation, national standards, SSSC Codes, Disclosure Scotland requirements, Care Inspectorate guidance or official government guidance are updated, this policy will be read and applied in line with the most current version.

4. Definition of Supervision and Appraisal

Supervision

Supervision is a planned, recorded and reflective process of support, accountability and professional development between a worker and their line manager or supervisor. It provides protected time to review practice, values, conduct, workload, wellbeing, learning and development needs, outcomes for people using the service, adherence to policies and procedures, and any concerns about safety, quality, professional boundaries or fitness to practise. Supervision should support staff to reflect on their work, receive constructive feedback, identify strengths, agree actions, and improve practice through reflection and feedback.

Appraisal

Appraisal is a formal and documented review of an employee’s performance, contribution, development and future objectives, usually undertaken annually and informed by supervision, practice observations, learning records, feedback and organisational priorities. Appraisals review an employee’s achievements, address any performance concerns, and align personal goals with organisational objectives.

5. Frequency and Format of Supervision

All staff will receive supervision at regular planned intervals appropriate to their role, experience and level of responsibility:

• New employees, including staff during induction and probation: at least monthly and more frequently where needed.
• Established care and support staff: at least every 8 to 12 weeks.
• Senior staff, supervisors and managers: at least every 8 to 12 weeks, unless a shorter interval is required because of service needs, leadership responsibilities, change, risk, performance issues or support needs.
• Additional supervision: will be arranged promptly where there are concerns about practice, conduct, attendance, wellbeing, training compliance, safeguarding, complaints, incidents, medication issues, lone working concerns, professional boundaries, digital recording practice, or any matter that may affect safe care or fitness to practise.

Each supervision session lasts between 30 and 60 minutes, depending on individual requirements. Sessions take place in a private, confidential setting, ensuring an open and supportive environment.

Structure of Supervision Sessions

Each supervision session should, as appropriate to the worker’s role, cover:

• review of actions agreed at the previous supervision;
• reflection on recent practice, achievements, challenges and learning;
• feedback from people using the service, carers, colleagues, observations, audits, complaints, compliments or incidents;
• review of personal plans, outcomes-focused practice and the extent to which care and support delivered is rights-based, person-centred and consistent with current assessed need;
• safeguarding, protection, medication, lone working, moving and assisting, infection prevention and control, digital recording and other relevant compliance matters;
• discussion of equality, diversity, inclusion, dignity, communication needs and any barriers to good outcomes;
• professional boundaries, conflicts of interest, gifts, use of money, confidentiality and social media/digital professionalism where relevant;
• wellbeing, stress, trauma impacts, workplace support needs and any adjustments required;
• training, supervision, registration, continuous professional learning and development needs;
• any concern relating to conduct, competence, health, capability or fitness to practise, including whether further action, support or referral is required; and
• a clear action plan with timescales, responsibilities and review date.

6. Frequency and Format of Appraisal

Appraisals are conducted annually for all employees. They provide an opportunity for a comprehensive review of performance over the previous year and set out clear objectives for the coming year. Unlike supervision, which focuses on short-term support and development, appraisals provide a long-term strategic review of an employee’s contributions and aspirations.

Appraisal does not replace regular supervision and must not be used as the sole mechanism for support, feedback or performance management. Concerns affecting safe practice, conduct or wellbeing must be addressed through normal supervision, support and formal procedures where necessary, rather than being left to the annual appraisal cycle.

For staff who are required to register with the SSSC, appraisal should include discussion of registration status, any conditions on registration, progress with continuous professional learning requirements, and any support required to maintain professional standards.

Structure of Appraisal Meetings

Each appraisal meeting should include:

• review of the previous year’s objectives and agreed actions;
• summary of performance, including quality of care, reliability, teamwork, communication, record keeping and values-based practice;
• review of feedback, audit findings, observations, complaints, compliments, incidents and learning from supervision over the appraisal period;
• discussion of training completed, learning transferred into practice, and development needs for the coming year;
• review of SSSC registration requirements, continuous professional learning and any professional obligations relevant to the role;
• discussion of wellbeing, support, reasonable adjustments and career aspirations where relevant; and
• agreement of clear objectives for the next period, including measurable development and quality improvement goals.

7. Responsibilities

Managers and Supervisors must:

• arrange, prepare for and conduct supervision and appraisal in a timely, planned and recorded manner;
• provide constructive feedback, challenge and support in a way that promotes reflective, kind, compassionate and safe practice;
• review practice in light of legislation, the Health and Social Care Standards, the SSSC Codes of Practice, Care Inspectorate guidance, organisational policies and the needs and outcomes of people using the service;
• identify and respond to learning, development, wellbeing and support needs, including where staff do not feel able or sufficiently prepared to undertake aspects of their role;
• take prompt action where concerns arise about conduct, competence, attendance, professional boundaries, health, behaviour, record keeping, safeguarding or fitness to practise;
• escalate concerns in line with organisational procedures, including safeguarding, whistleblowing, disciplinary, capability, absence management, duty of candour and referral processes to external bodies where required;
• make sure supervision and appraisal records are accurate, respectful, relevant, dated, signed and stored securely in accordance with data protection requirements and organisational retention arrangements; and
• monitor the completion and quality of supervision and appraisal across their area of responsibility and take action where this is not effective or up to date.

Employees must:

• attend supervision and appraisal meetings as required and engage with the process openly and professionally;
• prepare for supervision and appraisal, reflect on their practice and contribute to agreed actions and objectives;
• raise promptly any concerns affecting safe care, workload, wellbeing, learning needs, professional boundaries, conduct or fitness to practise, whether relating to themselves, the service or colleagues;
• complete agreed learning, development and improvement actions within agreed timescales where reasonably practicable; and
• work in line with the SSSC Codes of Practice, the Health and Social Care Standards and organisational policies and procedures.

8. Recording, Confidentiality and Data Protection

A written record must be made of each supervision and appraisal meeting. Records must be clear, factual, respectful, relevant and sufficient to evidence discussion, decisions, actions and review arrangements.

Records should normally include:

• date, time, format and participants;
• key discussion points;
• achievements, concerns, reflection and feedback;
• review of previous actions;
• agreed actions, support measures, objectives and timescales; and
• signatures or recorded confirmation from both the supervisor and the employee.

Supervision and appraisal records are confidential employment records and will be stored securely with access restricted to authorised persons who need the information for legitimate employment, management, regulatory or legal purposes.

Confidentiality is not absolute. Information may be shared where necessary to protect people using the service, staff or the public, to investigate safeguarding or disciplinary matters, to comply with legal obligations, to respond to regulatory or professional body requirements, or where there is another lawful basis to do so.

All supervision and appraisal records will be processed in accordance with the Data Protection Act 2018 and UK GDPR, including requirements for lawful processing, data minimisation, accuracy, storage limitation, security and subject access rights. Records will be retained and securely destroyed in line with {{org_field_name}}’s records retention schedule.

8.1. Professional Boundaries, Conduct and Escalation

Supervision and appraisal must include consideration of professional conduct and boundaries where relevant to the worker’s role. This includes relationships with people using the service and carers, confidentiality, use of social media and digital communication, acceptance of gifts or money, conflicts of interest, use of service user property or finances, honesty in records, and behaviour inside and outside work that may affect suitability to work in social services.

Any concern that a worker may have crossed professional boundaries, acted dishonestly, behaved in a way that may place people at risk, or behaved in a way that could bring their suitability to work in care into question must be addressed promptly and escalated in line with organisational procedures.

8.2. Trauma-Informed Practice and Staff Wellbeing

{{org_field_name}} recognises that workers may support people who have experienced trauma and that staff themselves may also be affected by traumatic events, distressing situations, abuse, violence, bereavement or cumulative workplace stress. Supervision must provide space, where appropriate, to reflect on the impact of the work, identify support needs and agree reasonable supportive actions.

Managers and supervisors will promote trauma-informed, compassionate and psychologically safer supervision by listening respectfully, responding proportionately, signposting support where needed, and taking account of the impact that trauma may have on practice, wellbeing and working relationships.

8.3. SSSC Registration and Fitness to Practise

Where an employee is required to register with the Scottish Social Services Council, supervision and appraisal must include appropriate discussion of registration status, conditions of registration, continuous professional learning requirements and any matter that may affect fitness to practise.

Employees must inform {{org_field_name}} without delay of any issue that may affect their ability to practise safely, lawfully and effectively, including relevant criminal charges or convictions, health issues affecting safe practice, SSSC investigations, conditions on registration or other significant professional matters. Managers must take appropriate advice and action where a referral to the SSSC or another authority may be required.

9. Managing Performance, Conduct and Fitness to Practise Concerns

Where supervision, appraisal, audit, observation, incident review, complaint, safeguarding process or other management activity identifies a concern, {{org_field_name}} will respond promptly, fairly and proportionately.

The response will depend on the nature and seriousness of the concern and may include one or more of the following:

• reflective discussion and clarification of expectations;
• additional supervision, observation, mentoring or support;
• training, coaching or competency reassessment;
• a formal improvement or capability plan with review dates;
• risk assessment and temporary changes to duties or level of responsibility;
• use of disciplinary, absence management, grievance, safeguarding, whistleblowing or other formal procedures; and
• referral or notification to an appropriate external body where required, including the Care Inspectorate, local authority, Disclosure Scotland, police or the SSSC.

Where a concern may affect a worker’s fitness to practise, this must be considered explicitly and escalated without delay in line with organisational procedures and SSSC guidance. Staff will be supported appropriately during any investigation or process, but the safety, rights and wellbeing of people using the service will remain paramount.

10. Continuous Improvement and Staff Development

Supervision and appraisal are part of {{org_field_name}}’s quality assurance and improvement system. Themes arising from supervision and appraisal will be used, where appropriate, to inform:

• workforce development and training plans;
• induction content and competency sign-off;
• staff wellbeing and retention initiatives;
• policy review and practice guidance updates;
• service audits, observations and quality assurance activity;
• improvement planning following incidents, complaints, safeguarding concerns or inspection findings; and
• succession planning, leadership development and career progression.

{{org_field_name}} will also use supervision to support regular discussion of the SSSC Codes of Practice, reflection on values, and continuous improvement in day-to-day practice.

11. Related Policies

This policy should be read alongside:

• Induction and Probation Policy
• Staff Training and Development Policy
• Health and Safety Policy
• Safeguarding and Protection Policy
• Whistleblowing Policy

12. Policy Review

This policy will be reviewed at least annually and sooner where there is a change in legislation, Scottish Government guidance, the Health and Social Care Standards, SSSC Codes of Practice, Care Inspectorate guidance or quality frameworks, Disclosure Scotland/PVG requirements, organisational structure, inspection findings, or learning from incidents, complaints or workforce practice issues. Any amendments will be communicated to all staff and relevant stakeholders.

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Responsible Person: {{org_field_registered_manager_first_name}}{{org_field_registered_manager_last_name}}
Reviewed on: {{last_update_date}}
Next Review Date: {{next_review_date}}
Copyright © {{current_year}} – {{org_field_name}}. All rights reserved.