I. INTRODUCTION TO SUPERVISION AND THE SUPERVISORY GUIDELINES

Supervision is defined as:

"A range of measures to ensure that personnel carry out their activities effectively through direct, personal supervisory contact on a regular basis to guide, support and assist designated staff to become more competent in their work"

Supervision is an essential management activity within Human Resource Management (HRM) and impacts both the performance of individual staff and the organization as a whole.  Supervision aids in planning or refining activities, organizing tasks, and monitoring performance.  It is necessary for staff to be aware of all standards, performance expectations and tasks in order to keep the organisation running efficiently.  Staff also need on-going support and feedback with regard to their work.  Supervision plays an essential role in the following areas:

• Communication and implementation of the organization’s goals and objectives
• Clarification of individual job description and work plans
• Resolution of problems
• Improving the quality of performance at all levels
• Staff support, direction and feedback
• Meeting performance goals and standards

The purpose of this supervision manual is to provide guidelines for all staff on how to engage in supervision.  It will address the concept of supportive supervision; outline the primary characteristics of an effective supervision system and the role of the supervisor within the system.

II. SUPPORTIVE SUPERVISION AND THE CHARACTERISTICS OF AN EFFECTIVE SUPERVISION SYSTEM

The purpose of supervision is to help the organization to:

• Meet needs of clients by delivering safe and quality services
• Support good provider performance, enabling them to meet the needs of clients

Supportive supervision consists of:

• A supervisory structure, supervisory activities, and systems that support and monitor performance
• An approach for supervisors to recognize their roles and responsibilities in creating conditions that support or facilitate the work of providers and other staff

A supportive supervision system guides supervisors in planning, directing and managing the performance of their employees.  The system supports employees in the careful planning and implementation of their designated work in order to achieve the organization's mission.

The primary characteristics of a good supportive supervision system are that:

• Supervision is valued and supported within the organization
• All staff has a clear idea of the objectives or purposes of supervision through their job descriptions, supervision training, supervision policy manual, new employee orientation and on-going staff meetings
• There are defined levels of authority and interaction in the organization
• Appropriate protocols exist, such as technical and administrative norms and procedures
• Staff functions are defined and communicated throughout the organization
• There are trained supervisors
• Adequate resources (financial and human resources) exist for planning, implementing and evaluating supervision
• Supervision helps staff work more effectively and efficiently to serve the clients
• There is a clear procedure for joint work planning and performance review

Supportive supervision advocates for the building of a relationship that fosters support and encouragement from the viewpoint and input of both the supervisor and employee but does not neglect performance.  It provides the opportunity to not only evaluate performance, but to also foster the professional development of an employee.

A system based on supportive supervision
SHOULD BE	SHOULD NOT BE
Thorough: goes beyond administrative supervision	Superficial
Supportive: facilitates improvements	Punitive and critical
Proactive: aims to close performance gaps and prevent future problems	Reactive and looking for mistakes
Focuses on work processes and support systems	Focusing only on the individual worker rather than on the work process and systems
Continuous	Sporadic

A strong supervision system, linked to improved quality, will allow the organization to:

• Develop work plans and performance objectives
• Evaluate the performance of its employees
• Provide further training, guidance and coaching
• Provide support and opportunities for development
• Address performance problems

III. COMPONENTS OF A SUPERVISION SYSTEM

1. Introduction

The following components are necessary for supervisors to carry out their supervisory role in the most efficient and effective manner:

• Organizational structure and reporting relationships
• Up-to-date job descriptions
• Work planning system
• Technical and administrative norms
• Training process and systems
• Budgetary process and system for supervision
• Frequency of supervision
• Personnel policy manual

Both supervisors and employees need all these resources at their fingertips to perform their roles.  The use of these resources should be the basis of the organization of all work within the organization.

2. Organizational structure and reporting relationships

Supervisory relationships are determined by the lines of authority in the organisation’s organizational chart.  .

3. Up-to-date job descriptions

Up-to-date job descriptions should exist for every member of staff.  Job descriptions should describe the overall responsibilities, specific duties, rights, job evaluation and reporting relationships for every category of staff.  They should be reviewed at least once a year to ensure that they are up-to-date.

4. Work planning system

Each department or unit should have a work planning system which determines annual goals and objectives for that facility or unit.  These goals and objectives should then be reflected in the goals and objectives for each member of staff.

5. Technical and administrative norms

Technical and administrative norms should exist for all clinical and administrative activities.  These norms should be used to help supervisors and supervises monitor their performance on a continual basis.

6. Training process and system

An important role of supportive supervision is to identify the training and development needs of supervisees.  The supportive supervision process should be linked to training and development opportunities which are defined, managed and funded through an organizational training process and system.

7.   Budgetary process and system for supervision

Supportive supervision requires resources to implement.  These include time, transport, tools and training.  Every effort should be taken to capitalize on the use of existing resources, e.g., utilize existing scheduled transport and visits to clinics to pay salaries, replenish supplies, check statistics, etc.  Nevertheless, additional resources will be needed and these should be specifically described and managed as part of the annual budget process.

8.   Frequency of Supervision

Ongoing supervision meetings should be held at least once per month to monitor the work, resolve issues and provide support to the employee.

All supervisory meetings should include the following components:

• Preparing for the supervision visit or meeting
• Conducting the actual supervision visit or meeting
• On-going follow-up to the visit or meeting

In addition, formal planning and review meetings should occur three times a year.  In the first meeting, the supervisor and the supervisee develop the individual’s work plan for the coming year and agree on performance standards.  Mid-way through the year, supervisor and supervisee meet to assess progress on the overall work plan and make adjustments if necessary. In the third formal meeting, they jointly evaluate the individual’s performance.

9.  Personnel Policy Manual

An up to date personnel policy manual is an essential part of good supervision.  Supervisors and staff, both long term and new hires, must know what the ‘rules’ are.

Information about standard guidelines for hours of work, compensation, absenteeism, promotion, etc. should be available to all staff.   

GUIDELINES FOR CONDUCTING SUPERVISON

1. Sequence for Conducting Supervision Meeting
2. Do’s and Don’ts of Supervision
3. Supervisor Competencies
4. Tips on Delegation
5. Tips on Giving Feedback
6. Tips on Resolving Conflict
7. Tips on Conducting Difficult Conversations

A. Sequence for Conducting Supervision Meeting 

Preparation:

The preparation for a supervision visit is critical and involves:

a. Supervisor

1. Scheduling: Schedule a time that is convenient for both the supervisor and the employee.
2. Notification: Send out written notification to the employee or call
3. Previous Visit: Review the  notes and action plan from the previous visit
4. Job Description: Review the employee's current job description
5. Performance: Review the employee's performance during the designated period, including highlights of the period and think about ideas for future improvement, or possible training needs
6. Plan: Develop an agenda which may include:

• Identifying core tasks that must be observed because they are new, difficult or critical to success
• Identifying information to be collected
• Identifying selected tasks that are covered less frequently

b. Supervisee

1. Prepare: Take the time to review past performance in order to have a base for discussion, prepare questions, concerns, etc.
2. Plan: Develop a plan to enhance current work and possible new tasks.

Supervisory Meeting:

The supervisory meeting should involve the following:

1. Greeting
2. Review of the actual work and how it is being carried out.  This will include a two-way conversation between the supervisor and employee to ensure that both parties share their views
3. Discuss future plans, identify and address support needs, training needs and potential future challenges
4. Closing

• Review the actions identified
• Avoid making promises that cannot be fulfilled
• Schedule upcoming visit
• Deliverables- It is important to complete the supervision visit or meeting with products that document the meeting and the agreements reached between the supervisor and the employee 

Follow-Up:

Supervision visits are a central part to the supervision system, but it is also important to recognize that supervision includes ongoing, follow-up activities.  These include:

1. Sending a reminder for the next visit
2. Ongoing, indirect supervision such as reviewing a documents produced by the employee or reviewing data collection together as a team
3. Follow-up on any issues that were discussed and call for your attention to the matter, e.g. supplies or equipment is needed, or a corrective action is needed.

B. Do’s and Don’ts of Supervision

1.   Five Key Rules of Fairness 

The person(s) you supervise must:

1. Know what is expected of them
2. Know how to do their job, or be willing to learn
3. Be given a supportive work environment
4. Receive appropriate consequences for the work they (don’t) do
5. Be given accurate and timely feedback about their job performance

2.   Do’s and Don’ts for Supervisors 

1. Do get to know your supervisee(s)
2. Don’t expect them to mind-read
3. Do explain why
4. Don’t blame others for your mistakes
5. Do praise when it is merited
6. Do criticize constructively and privately
7. Do supply feedback
8. Do share information
9. Do give credit
10. Do listen and support your staff
11. Don’t expect support to substitute for money and vice versa
12. Don’t promise rewards you can’t deliver
13. Do follow through on promises
14. Don’t constantly demonstrate that you are the boss
15. Do learn to delegate
16. Don’t rush to change things
17. Do set a good example
18. Don’t concentrate on popularity, concentrate on respect
19. Do seek to improve yourself
20. Do use your authority wisely

C. Supervisor Competencies

A good supervisor needs to effectively perform in the following areas:

1. Leadership

1. Grow and develop employees while getting things done. 
2. Help employees to learn from their mistakes. 
3. Allow employees to make their own commitments.
4. Be concerned about and look out for the welfare of the employees.
5. Adapt leadership style to employee and situation.
6. Set the example.

2. CommunicationFoster a welcoming environment for 2-way communication.

1. Effectively listen (show interest in what others have to say); seek to understand, then, to be understood.
2. Give specific, immediate, constructive feedback.
3. Effectively accept feedback and takes action.
4. Understand organization’s mission, goals and processes and communicates to staff.
5. Understand organization’s objectives as listed on the work plan, and be able to communicate them in order to achieve them.
6. Understand and communicate to staff the spirit of the government and/or donor’s intentions; ensure required procedures are observed.
7. Hold regular meetings to communicate big picture.
8. Maintain weekly contact with field staff (telephone, emails, reports, etc.).
9. Maintain effective open communication with employee’s technical leaders.
10. Conduct effective meetings.  (Keeps agenda; monitors time; achieves objectives; does not call a meeting without a reason).

3. Cultural Sensitivity/Managing Diversity

1. Demonstrate skill in handling diversity issues in general.
2. Work effectively with employees from different cultural backgrounds
3. Demonstrate respect for and understanding of different points of view in daily work
4. Be sensitive to cultural formal and informal nuances in the office and in the field.

4. Problem Solving and Decision Making

1. Identify problems early and be a resource to facilitate problem solving within and outside work group.
2. After analyzing a situation and consulting with peers if necessary, use good judgment to make sound and well-informed decisions.
3. Facilitate solutions to disagreements between staff on technical issues.

5. Administration/Human Resources Management

1. Be familiar with legal human resources management issues (harassment, discrimination, etc.), and understand legal implications of action/inaction.
2. Know and follow organization’s recruitment/interviewing concepts/process; know which questions can and cannot be legally asked; make positive impact on applicant.
3. Assign work for maximum utilization of resources (coordinates with other technical staff).
4. Along with employee, set and communicates clear goals and expectations during first two weeks after hiring.
5. Monitor employee’s performance; conduct Performance Planning and Review with input from technical leaders.   Hold employee accountable for behaviour /performance, and take action promptly even when difficult.
6. Demonstrate knowledge of/sensitivity to labour and employee relations issues.

6. Coaching and Empowerment

1. Share knowledge with employees.
2. Give honest recognition for good work.
3. Give credit for ideas/contributions in front of others.
4. Be supportive of employee’s technical work (available to answer questions; problem-solve; bounce ideas).
5. Provide resources for employees, removing roadblocks where necessary, and then moves out of the way.
6. Trust employee’s ability and expertise.
7. Delegate effectively; managing so that her/his group can run without her/him.

7. Motivating and Interpersonal Skills

1. Treat employees with respect.
2. Promote a participative vs. an authoritative work environment; welcome ideas and suggestions and put them in practice.
3. Inspire and guide others toward accomplishing goals.
4. Know and be able to use staff’s strengths and interests.
5. Be supportive
6. Understand a situation from the employee’s point of view.
7. Demonstrate an accessible, approachable demeanour.

8. Self Management

1. Prioritize simultaneous responsibilities/requests (is able to determine and complete what needs to be done first).
2. Demonstrate patience with changing priorities.
3. Find effective ways to limit or manage interruptions that impede ability to be productive
4. Effectively balance work and personal life.

Supervisors need to be trained or exposed to a set of skills in order to be effective as supervisors.  These include interpersonal communication, especially the skill of giving both positive and negative feedback.  Other useful skills for supervisors include delegation, conflict resolution, and being able to have difficult conversations with staff.

It is very useful for supervisors and supervisees to all have the opportunity to be trained in these skills. It is not necessary, or even suggested that they participate in this training together.  The important point is that if everyone is expected to be responsible for the success of supervision, then everyone should have the opportunity to develop appropriate skills.

D. Tips on Delegation: Steps to Take

A supervisor who learns to delegate effectively achieves two goals at the same time.  First, more time is available to plan, organize and maintain relationships with other employees and co-workers.  Second, employees become more versatile and valuable as they learn new tasks.

Below are ten typical steps in delegating process.  As you check the list, assume you have been working extra hours and need to turn over tasks you have been doing.

1. Analyze your tasks and identify one you feel will provide you with additional freedom as well as benefiting the employee to whom you assign the responsibility.
2. Select the most logical individual for the task you identify and delegate it.  Be careful not to overload one employee.
3. Instruct the individual selected how to perform the task.  Do this in detail by explaining and demonstrating. Explain why the task is important to the total operation.
4. Solicit feedback to insure the employee is prepared to assume the new responsibility.  Provide opportunities for the employee to ask questions.
5. Allow the employee you selected the freedom to practice the new assignment for a few days.  Over-supervising can kill motivation.
6. Follow up in a positive manner.  When deserved, compliment the employee.  If improvements are required, go through the instructional process a second time.
7. Consider the rotation of tasks.  Done properly, employees learn more and boredom is less likely.  Also, an objective productivity comparison is possible among employees.
8. Delegate those assignments that prepare employees to take over in the absence of others – including yourself.
9. Give everyone an opportunity to contribute. Solicit employee ideas.  Utilize their special talents and abilities.
10. Discuss new assignments and rotation plans with the entire group to obtain feedback and generate enthusiasm.

E. Tips for Giving Feedback

• Be clear about what you want to say.
• Emphasize the positive.  By making feedback constructive you will be helping the person to find out what needs to be done rather than just telling them what they are not doing right. Always look for areas of improvement rather than concentrating on what went wrong.
• Be specific. Avoid general comments and clarify pronouns such as “it,” “that,” etc.
• Focus on behaviour rather than the person.  Refer to behaviour that can be changed.
• Be descriptive rather than evaluative.  Emphasize what you see and hear. Describe your own observations without making judgments as to whether you see the facts as good or bad, and leave the person to make up their own assessment.
• Own the feedback. Use ‘I’ statements.
• Avoid generalizations -- Notice “all,” “never,” “always,” etc., and ask to get more specificity -- often these words are arbitrary limits on behaviour.  Concentrate on particular points. Make feedback specific rather than general. It is easier for someone to react to this than to general statements.
• Be very careful with advice – People rarely struggle with an issue because of some specific piece of information; often the best help is helping the person to come to a better understanding of their issue, how it developed, and how they can identify actions to address the issue more effectively.
• Encourage self-criticism. People are more willing to accept the criticism when they have recognized their own strengths and weaknesses. Start by encouraging them to appraise themselves and then build on their own insights
• Indicate what can be and should be done. Make your feedback practical so the person can do something about it. It should be specific ways the person can improve. Don't say their behaviour was good or bad, it gives no direction for improvements over which the employee has control.
• Build on what people want. Try to give feedback that is asked for rather than imposed. If this is not possible and you must bring things to the employee’s attention, tell them that you are giving feedback.
• ·         Find the right time and place. Take time to explain things to the employee properly. This way the employee can understand what you have said and can discuss it with you. Avoid a few rushed moments in the corridor to talk to someone about their performance.

10 Principles for Giving Good Feedback

1. For simple negative feedback use a "formula"

If you find it difficult to give negative feedback try this simple 4 step formula:

1. "When you do this …………" [Specify behaviour]
2. "It is a problem because …………" [Specify the impact, including how it makes you feel]
3. "I would like to discuss this issue with you …………" [to agree that a problem exists]
4. "I have some ideas …………" [Specify your solution/s and ask for others]

2. Be specific rather than general

Providing specific examples helps the recipient understand exactly what the issue is. You can then agree on the details and work on targeted solutions.

Don't say:	"Your performance is below what I expect"
Say:	"Your project reports are too long and your contribution to team discussions have been very negative"

3. Focus on behaviour rather than personality

Don't try to guess why a person did something - concentrate on what they did. Deal with the behavioural manifestation - it is all you can be absolutely sure about. Anything else is guesswork.

Don't say:	"You are not taking things seriously enough"
Say:	"You have been arriving late for work often over the past month and you have not implemented any of your personal development plan"

4. Immediate rather than delayed

Feedback must be well timed. It should be given as soon after the event as feasible. Don't save it up for the formal performance review. But also don't give feedback if you are angry or upset. Wait until you have cooled off and can be calm and objective about the issue.

5. Balanced rather than negative only

Tell people what they did well in addition to what they did not do well. People see balanced feedback as constructive rather than punitive. It is less likely to cause resentfulness and defensiveness.  But don't make the positive feedback trivial in relation to the negative.

Don't say:	"I like your outfit, but you have made an awful mess of this project"
Say:	"Your project leadership skills have been very good this year, but I don't think you have been able to carry them across to your current project. Can we talk about this?"

6. Criticize in private, praise in public

Avoid giving negative feedback in public. Broadcast good feedback more widely - but check with the person first (they might prefer to keep it to themselves or within their immediate team).

7. Avoid excessive emotion

Don't lose your cool - over reacting will produce defensiveness. Talk when you are calm and objective

8. Avoid communication overload

On every occasion that you are giving feedback focus on one or two behaviours or issues, not on a whole raft of them. Be sure you don't "save up" all the things you want to say for the formal performance review and then "dump" on the person concerned. Feedback should be focused and given frequently rather than overwhelming.

9. Avoid amateur psychoanalysis

Stick to the facts and offer job related solutions. Do not offer therapeutic remedies. Psychoanalysis should be left to the experts:

Don't say:	"You seem distracted and depressed lately, is your home life OK?"
Say:	"You have been staying late at the office just lately, do you need more help from one of your team?"

10. Avoid threats

If the behaviour merits discipline, take it promptly. But do not threaten anyone, even by implication.

Don't say:	"Your behavior has been unacceptable. Remember, I can influence your progress in this organization".
Say:	"The way you handled this issue is unacceptable for the following reasons (specify). I am now going to implement the company's disciplinary process."

Guidelines for Giving and Receiving Feedback
Feedback is most useful when it is...	Feedback is least useful when it is...
Specific	Global
Positive	Negative
Useful	Impossible to change the situation
Supportive	Judgmental
Given privately	Given in front of others
Based on first hand information	Hearsay and speculative
Fair	Based on one incident
Honest	Used to protect feelings/egos
Immediate	Delayed
Focused on behaviour	A personality attack

F. Tips on Resolving Conflict

Resolving Conflict:  A Step-by-Step Plan

1. Establish ground rules
2. Clearly define one issue area at a time
3. Generate alternatives; options
4. Evaluate options
5. Agree on a solution equal to the problem
6. Enact solution
7. Measure outcomes, adjust as needed.

Ground Rules for Conflict Resolution

1. Stick to the subject, make brief points
2. No interrupting.
3. No past or peripheral arguments
4. No judgmental questions/comments.
5. Avoid name calling!
6. No voting/ use consensus or agreement

Resolving Conflict: A Basic Strategy

1. Put yourself in his/her shoes; try looking at the conflict from their point of view. When in doubt, ask!
2. Always let the data/information resolve the conflict if at all possible.  Don’t say: “you were wrong”, instead say, ‘the data you had was inaccurate, I can see why you came to that conclusion.
3. Always begin the discussion with the workplace issue, and then gently pursue the personal feelings involved.
4. Exercise “win-win” policy, as an effective tool of conflict resolution