The Assessed & Supported Year in Employment (ASYE)

Policy

September 2012

Introduction

This policy sets out the conditions for the Assessed and Supported Year in Employment (ASYE) with Southend Borough Council. It should be read in conjunction withsupporting guidance for Assessors and NQSWs (Newly Qualified Social Workers) and templates for the recording of necessary evidence/information.

Whilst this policy and supporting guidance identify procedures for assessing NQSWs on the ASYE, including those conditions in which unsatisfactory progress would, ultimately, lead to dismissal, it should be understood that ASYE has been introduced in Southend to provide an excellent and comprehensive beginning to a newly qualified social worker’s career. Southend Borough Council offers NQSWs considerable support and development through the ASYE in order to help develop the individual’s practise and drive continued improvement across the service. This policy and supporting guidance should be read in this context.

  1. National Background

ASYE flows from the 15 Recommendations of the Social Work Task Force and the subsequent work of the Social Work Reform Board (SWRB). It has been designed ‘to help newly qualified social workers develop their skills, knowledge and capability and strengthen their professional confidence.’[1] ASYE replaces the NQSW scheme from September 2012. Unlike the NQSW scheme, ASYE is a single scheme across children and adult services. ASYE has been aligned with the Professional Capabilities Framework (PCF) and the HCPC’s Standards of Proficiency (SoPS), which form the basis for assessment of NQSWs. Employers will decide if their NQSWs have completed ASYE successfully, although certification will come from the College of Social Work.

  1. Legislative background and conditions of service

Employment Rights Act 1996

Employment Act 2002

Employment Act 2002 (Dispute Resolution) Regulations 2004

Equality Act 2010

  1. ASYE and links with other SBC Policies and Procedures

In formulating the ASYE policy for SBC, reference has been made to existing SBC policies, such as probation, capabilities policy and performance management. However, the ASYE policy stands alone and no reference to further policies is necessary in the assessment of NQSWs on the ASYE, except in the case of inappropriate behaviour or conduct where the disciplinary policy needs to be invoked.

  1. Contract of Employment with SBC

As part of the recruitment and retention of social workers to SBC, ASYE should be promoted as an excellent introduction to qualified social work.During the recruitment process, NQSWs should be informed that they will undertake ASYE if they join Southend Borough Council. On appointment, their contract will specify that successful completion of ASYE will be necessary for the continuation of their employment. This policy sets out how SBC will determine what constitutes satisfactory completion, the processes that NQSWs can expect to be followed and the support and development opportunities that will flow from ASYE.

  1. Eligibility

To participate in this programme as a NQSW you must:

  • Have recently qualified as a social worker by successfully completing either the social work BA or MA degree
  • Be employed in a full-time or part-time post
  • Be registered with the HCPC

The default position is that a NQSW will begin ASYE on their day of employment in a qualified social work post. However, in situations where a social worker within their first two years of their qualified career begins employment with SBC may be eligible for ASYE. This would be dependent upon the individual having not previously started ASYE with another employer and having no previous statutory social work employment. The decision to place individuals on ASYE in this situation will be at the discretion of the team manager in discussion with the social worker.

  1. Roles & Responsibilities

The following roles/areas have responsibilities within the ASYE:

  • NQSW
  • Team Manager
  • ASYE Assessor
  • ASYE Manager
  • Children’s Workforce Team

A full outline of what responsibilities each role/area has can be found in the Guidance that supports this policy.

  1. Equality Analysis

Consultation with a number of protected groups occurred in the formulation of this policy. The working group that established the Criteria for Assessment (see Annex 1) reflected a diversity of ages, gender and ethnicity. Representatives from across the social work workforce within SBC contributed to this policy, as did partners of SBC from regional local authorities and local providers of social work qualifying and post-qualifying training.

Whilst there is no evidence at this stage of this policy having an impact on protected groups as defined by the 2010 Equality Act, this will be reviewed following the first year of ASYE when Equality Analysis will be undertaken.

  1. Funding

Skills for Care provide £2,000 per NQSW on ASYE. The funding will be used as follows:

NQSW / Up to £1,000 – held centrally by the Children’s Workforce Team
ASYE Manager
ASYE Assessor / £500 per NQSW
£500 per NQSW
  1. Timetable for ASYE

Please see Annex 1.

  1. Support for NQSWs

ASYE is designed as a highly supportive first year in practise. ASYE entitles a NQSW to:

  • 10% development time across the year – approximately 23 days in total. SBC is entitled to direct the use of some of that 10% development time in order to fulfil the requirements of supervision, observation and Masters Level study. NQSWs may also be directed to undertake particular training or development activity. All remaining time can be used at the discretion of the NQSW in liaison with the employing team manager
  • A 90% caseload, with a student caseload in the first month (8-10 cases)
  • Additional supervision – fortnightly until the end of 6 months, and monthly until the end of ASYE.
  • Professional Development Plan (PDP)
  • Learning Agreement
  • Induction – within the first week of employment commencing

It is important that Team Managers and ASYE Assessorsprotect these entitlements as erosion of this support might be grounds for overturning appeal, should a NQSW be dismissed for unsatisfactory performance.

As part of the ASYE, SBC will support NQSWs to undertake a 30 credit Masters Module through Anglia Ruskin University. This will comprise a 4,000 word reflective written assignment and accreditation of the ASYE profile, which NQSWs will be gathering throughout the year as a matter of course.The academic Module is a compulsory part of the ASYE with SBC although successful completion of it is not a pre-requisite for successfully completing ASYE as a whole. However, the academic element will form part of the holistic assessment in determining overall judgement of a NQSW on ASYE.

  1. Support for Assessors

As part of the transition from the NQSW pilot scheme to ASYE, Skills for Care have provided funding for local partnerships in the preparation for ASYE. SBC is in partnership with Thurrock Council and the University of Essex in the creation of a new Postgraduate Certificate in Supporting & Assessing Professional Practice for experienced social workers (2 years+ post qualifying experience and approval of their team manager) who will be assuming the role of Assessor.

The PG Certificate will be formed of two 30 credit modules (full details are provided within the Guidance document). All ASYE Assessors will be expected to undertake this as part of their own professional development, to ensure consistency of assessment of NQSWs on ASYE, and in order to disseminate the principles of ASYE, the PCF and reflective supervision/practise across the organisation. To assist with this, ASYE Assessors will be entitled to undertake the 13 taught sessions during working hours.Any duties undertaken in discharging the role of ASYE Assessor/ASYE Manager will either be within the normal working week or reclaimed in flexi hours, agreed in advance by the Line Manager.

  1. Assessment

Assessment of the NQSW on ASYE should be according to principles of fairness and transparency. Each NQSW is ultimately assessed against the 9 domains within the Professional Capabilities Framework (PCF) that relate to ASYEand the HCPC’s Standards of Proficiency (SoPS). Outcomes and evidence have been developed within SBC to provide clear criteria on which to base judgements (see Annex 1). The process should be based on qualitative principles i.e. the sound judgement of a practising, qualified social worker appointed to undertake the assessment. The assessment should not be led by the completion of paperwork, and all paperwork completed as part of the process should be to the benefit of all parties involved.

It is essential to remember that holistic assessment is based on the qualitative judgement of a competent professional; it is not about the quantity of gathered evidence. In line with guidance from the SWRB, assessment should be holistic, taking into account each of the domains whilst formulating an overall assessment of the NQSW’s progress. At the beginning of each review, and as part of the final assessment undertaken on the NQSW, Assessors should provide an holistic, overall judgement of the NQSW’s progress. Only after this judgement has been formed should Assessors begin to look at each domain in detail. At that point, it is legitimate to use individual domains to set targets, identify strengths and focus on areas for development. ASYE Assessors and the ASYE Manager will be required to undertake training on holistic assessment.This development will be in the form of a Postgraduate Certificate in Supervision and Assessment through the University of Essex (details can be found in the supporting Guidance).

The employing team is ultimately responsible for making the decision on whether or not the NQSW has successfully completed ASYE or not. This responsibility is the Team Manager’s, although this can be delegated to the ASYE Assessor. The ASYE Assessor will undertake reviews at 3 and 6 months, completing the final assessment report at the end of ASYE at 12 months. However, the Assessor will be expected to consult with the ASYE Manager, who will also be present at the final assessment meeting, and to liaise with colleagues in forming a complete picture of the NQSW during ASYE. A review can be undertaken at 9 months if the ASYE Assessor considers this to be beneficial to the NQSW.

At no stage during the assessment process should there be surprise judgements for the NQSW, especially at review meetings and at the final, summative assessment meeting. The Assessor should be discussing progress during supervision and supporting the NQSW to improve their practise where necessary, as well as identify strengths for future career direction.

If a NQSW feels that they are not receiving the entitlements ASYE affords them, or if they have concerns over the performance of their Assessor, they can refer the issue(s) to the Team Manager (if not the ASYE Assessor), the ASYE Manager or the Learning & Development Manager within Children’s Workforce Development. They also have recourse to senior management within their service area, as any social worker has.

  1. Deferral

There is no scope for extension on ASYE. A final decision on progress should be made at the summative assessment at 12 months. In circumstances where a NQSW has had more than 30 days absent due to sickness or accident, maternity or paternity leave or any other legitimate reason, final assessment will be deferred until the NQSW has had the chance to undertake the days missed. However, deferral is not an option in the case of unsatisfactory progress and the process outlined below should be followed in these circumstances.

  1. Transferring employment whilst on ASYE

It is hoped that it will be possible for a NQSW to transfer between employers offering ASYE during the ASYE, where necessary. Where we wish to appoint a NQSW from another employer and ASYE has already begun, it will be necessary for the employing team to seek information on the prospective employee’s progress against ASYE before employment is offered. Providing progress has been satisfactory, the NQSW can simply begin ASYE in Southend at the point at which they left their previous employer.

SBC teams are discouraged from appointing a social worker from another employer where progress on ASYE has been deemed unsatisfactory by that employer.

  1. Unsatisfactory Progress

Unsatisfactory progress can take many forms. This list is not exhaustive but merely intended to illustrate a few instances:

  • Persistent failure to meet agreed objectives including meeting deadlines
  • Persistent errors and/or omissions in completing necessary work
  • Failure to meet the requirements of the post as set out in the job description
  • Failure to adapt to changed working procedures.

Unsatisfactory progress should be identified and acted upon as early as possible. As soon as an Assessor feels that the NQSW is not making satisfactory progress they should initiate an Interim Review. This will trigger a new PDP and identify specific targets to address the areas of weakness. Revised targets, as with all targets, should be SMART, and the NQSW should be given clear guidance on where, how and by what time progress is expected.

As soon as an Interim Review is called, the Team Manager, when not acting as the ASYE Assessor, is required to assume joint responsibility for assessing the NQSW. An Interim Review should be conducted monthly following the initial Interim Review, along with at least one direct observation of practise a month.

Evidence Gathering

Additional evidence should be gathered from the point an Interim Review is conducted. Notes should be taken and targets set at the meeting, and both should be kept on the NQSW’s file. This is the responsibility of the ASYE Assessor. They must also let the ASYE Manager and Children’s Workforce Team know that an Interim Review has been called.

Until progress is deemed satisfactory, or until the point of failure and dismissal, evidence of unsatisfactory progress should be gathered from all the following areas in which performance is unsatisfactory:

  • Lack of progress against targets set at the beginning of ASYE
  • Comparison indicators (e.g. other NQSWs)
  • Individual supervision
  • Group supervision
  • Direct observation
  • Feedback from service users and colleagues
  • NQSW’s day to day professional conduct
  • Failure of the Masters Module

Additional support should also be offered to the NQSW following the Interim Review. At this point, the ASYE Manager will work more closely with the ASYE Assessor and Team Manager to determine which particular areas of support will be provided, such as:

  • Attendance on particular training
  • Additional direct observations
  • Additional supervision

At the Interim Review the ASYE Assessor should:

  • Explain the nature of the concerns
  • Allow the NQSW the opportunity to respond
  • Set out clear standards of performance that the employee must attain
  • Identify activities and support measures to effect the improvement
  • Agree an appropriate method of monitoring progress
  • Keep written records of the meetings and agreed actions, including revised PDP
  1. Completion of ASYE

At the final (summative) assessment meeting the NQSW will be formally notified whether they have successfully completed ASYE. At this meeting the following should occur:

  • Review of the ASYE to identify successes
  • Discussion about career progression and the PDPrevised
  • Targets set for year 2 and links with the Performance Management cycle

Following the meeting, the ASYE Assessor should notify the ASYE Manager and Children’s Workforce Team that the final review has taken place so that referral can be made to The College of Social Work for formal certification.

In the case of a NQSW failing ASYE, the outcome of the final assessment meeting should also be made known to the SBC Business Partner in HR so that they can arrange for a letter to be sent to the NQSW to formally notify them of their failure and to explain the process of appeal, should they wish to exercise this right.

  1. Certification from the College of Social Work

The decision that Southend Borough Council makes on all NQSWs who undertake ASYE will be forwarded to the College of Social Work so that formal certification may be issued. This will apply whether the NQSW passes or fails ASYE. In the case of failure, the decision will not be forwarded to TCSW until the NQSW has had the opportunity to appeal. If an appeal is heard, nothing will be passed to TSCW until its conclusion.

  1. Notification to HCPC

In the event of a NQSW failing the ASYE, a notification will be sent to the HCPC to advise them of this decision. The HCPC may then choose to investigate the candidate’s fitness to practice and continued registration as a social worker.

  1. Termination of employment during ASYE

This procedure does not prevent the employment of a NQSW on ASYE being terminated with due notice, in the case of serious unsatisfactory performance or conduct. The notice period for all social workers is one month unless the dismissalis on the grounds of gross misconduct when the dismissal would be without notice.

  1. Appeal

In the interests of natural justice and to comply with employment legislation in relation to dismissal, the employee has a right of appeal against dismissal.

The appeal by the employee should be registered within 7 working days of receipt of the written confirmation of the dismissal. The appeal should be sent to the relevant Designated Officer who authorised the dismissal.

Upon receipt of an appeal, HR Operational Services will arrange for another Designated Officer to hear the appeal. This would be the Director of Children & Learning or the Head of Specialist Services, when involving a children’s social worker, and theHeading of Adult Commissioning when involving a social worker in ACS. Where this is not possible, HR & Communications would arrange for a Designated Officer from another service group to hear the appeal. The employee remains dismissed pending the outcome of any appeal.

An appeal meeting will be arranged where the employee and the line manager (ASYE Assessor or Team Manager) each have the opportunity to state their case. The Designated Officer hearing the case will then inform both parties of their decision, which will be confirmed in writing. No further right of appeal exists.