Supervision, appraisal and staff support procedure checklist

Source anchors

How to use this checklist

Use this checklist to audit whether supervision and appraisal are happening, being recorded, producing actions and surfacing workforce risks. It can be used quarterly, after a supervision audit, after a staff-support concern, before governance review, or before an inspection-readiness review.

This checklist looks for a real support and assurance loop: scheduled sessions, meaningful records, competence follow-up, wellbeing support, concern escalation and governance oversight.

For each row, record:

Met: evidence is current and complete.
Part met: evidence exists but has a gap or needs follow-up.
Not met: evidence is absent or the control is not working.
Not applicable: the service does not carry out this activity.

Every Part met or Not met item should create an action with an owner and due date.

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Service details

Field	Local entry
Service name
Location
Date completed
Completed by
Registered Manager
Supervision Lead
Clinical Lead, where relevant
Period reviewed

1. Cadence, schedule and coverage

Check	Evidence to review	Status	Action owner	Due date
Supervision cadence is defined by role, risk and experience.	Supervision policy, role map.
Appraisal cadence is defined and visible.	Appraisal schedule.
New starters and probationary staff have planned supervision.	Induction plan, probation record.
Clinical or professional supervision arrangements are defined where relevant.	Clinical supervision plan, professional requirements.
Regular agency, bank or locum workers are included where needed.	Worker list, supervision schedule.
Overdue, cancelled and missed sessions are visible.	Supervision register, overdue report.

2. Session quality and records

Check	Evidence to review	Status	Action owner	Due date
Supervision records show date, type, supervisor and supervisee.	Supervision sample.
Records show meaningful discussion, not only tick-box completion.	Supervision sample, staff feedback.
Previous actions are reviewed in the next session.	Supervision records, action log.
Training, competence and confidence are discussed where relevant.	Supervision record, training matrix.
Wellbeing, workload and support needs are considered.	Supervision record, welfare note.
Records avoid unnecessary confidential detail.	Record sample, storage check.

3. Reflective and clinical supervision

Check	Evidence to review	Status	Action owner	Due date
Reflective supervision triggers are defined.	Procedure, incident process.
Serious incidents, safeguarding concerns or complaints lead to support review where relevant.	Incident sample, supervision note.
Clinical supervision covers scope, judgement, cases and professional standards where needed.	Clinical supervision sample.
Supervision does not replace investigation, safeguarding or HR action where needed.	Decision note, linked record.
Staff involved in distressing events receive timely support.	Support record, debrief note.
Learning from reflective sessions is captured without unnecessary personal detail.	Learning log, governance minutes.

4. Appraisal and development

Check	Evidence to review	Status	Action owner	Due date
Annual appraisals are completed or scheduled.	Appraisal tracker.
Appraisals review performance, values, conduct and role expectations.	Appraisal sample.
Appraisals review training, competence, CPD and professional requirements where relevant.	Appraisal sample, CPD record.
Development plans have actions, owners and review points.	Development plan.
Adjustments, wellbeing or support needs are recorded and followed up.	Appraisal record, support action.
Managers and senior staff also receive appraisal or oversight.	Manager appraisal record, provider review.

5. Concerns, restrictions and support actions

Check	Evidence to review	Status	Action owner	Due date
Competence, conduct, health or wellbeing concerns trigger appropriate action.	Supervision note, HR record.
Restricted duties are recorded and communicated where needed.	Restriction note, rota note.
Support actions have owners, due dates and review dates.	Action log.
Safeguarding, professional-regulator or HR escalation is considered where relevant.	Decision note, linked record.
Staff know how to raise concerns outside supervision.	Staff interview, whistleblowing route.
Repeated themes are escalated beyond individual supervision where needed.	Governance minutes, risk register.

6. Governance and assurance

Check	Evidence to review	Status	Action owner	Due date
Supervision and appraisal audits run at a stated cadence.	Audit schedule, completed audit.
Governance reviews overdue sessions, appraisal gaps and repeated cancellations.	Governance minutes, dashboard.
Themes from supervision link to training, staffing, risk and improvement actions.	Training matrix, risk register, action log.
Staff-support and wellbeing themes are reviewed proportionately.	Workforce report, governance minutes.
Overdue actions are followed up by the Registered Manager.	Action log, dashboard.
Provider or Nominated Individual reviews senior-manager support where needed.	Provider review, supervision record.

7. Summary judgement

Question	Answer
Which team or role has the weakest supervision coverage?
Which repeated support theme needs governance review?
Which supervision or appraisal action is overdue?
Which competence, conduct or wellbeing concern needs escalation?
What would a CQC inspector see if they asked for supervision evidence today?

8. Action log

Action	Source check	Owner	Due date	Completion evidence

9. Completion

Sign-off	Name	Date
Completed by
Reviewed by Registered Manager

This checklist is a working tool. It does not replace live regulator guidance, employment law advice, safeguarding advice, professional-regulator requirements, occupational-health advice, clinical judgement or local HR procedures.