Please go to the HR page on Staff Zone of KCCG website

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1 Title: Document author: Document type: Online Location: Approved by: Can this document be published to the internet (publicly available) Brief summary of document This document replaces (exact title of previous document or NA) Approved Equality Impact Assessment attached Cross referenced to: External Learning and Study Leave Policy Nikki Pryke Policy & Procedure KCCG Website / staffzone/folder names Joint Partnership Committee YES Proposed policy for funding external learning and/or qualifications. Policy also includes study leave and expenses guidance. n/a Please go to the HR page on Staff Zone of KCCG website Anti- fraud and bribery policy Disciplinary policy Travel & Subsistence Expenses Policy Governance and Assurance Committee Ratified by: Date of ratification Review date 3 years from date of ratification 1. Aim: To have a clear and transparent policy for all staff Fair process that ensures external learning is available to all. To capture and measure the return on investment once learning completed. 2. Introduction: The purpose of this policy is to ensure there is a consistent and coordinated approach to external learning for all staff employed by NHS Kernow CCG. The policy covers any situation that could be identified as a formal learning and/or development opportunity and includes guidance on study leave and expenses incurred whilst undertaking any Training and Development. The policy also highlights the responsibilities for the Line Manager and employee. It also highlights the potential risks in relation to work-based projects or coursework. 3. Scope: The policy applies to all staff undertaking external developmental or training activities whether they are employed on a full or part-time contract. Joint Partner and Clinical lead requests will be reviewed on an individual basis. Contractors, Third Parties and any non-employees are out of scope for this policy. 4. Policy Statement (if not a separate document or sign-post to policy): 4.1 Identification and Prioritisation of Learning and Development Needs All staff have access to an annual Appraisal and Personal Development Review. The Personal Development Plan will identify the learning and development needs for the subsequent twelve 1

2 month period. These will be supported by the Job Description for the role which outlines the post and any longer-term development aims of the staff member and Directorate as well as any policy, process or Clinical Commissioning Group changes. Learning and development needs will be met through discussion between the Line Manager and the member of staff at the Performance Review and where training cannot be provided internally or via our external learning partners suitable training providers will be sourced. The opportunity and availability to undertake further education to meet individual development/learning need cannot be guaranteed. However, where reasonably practicable, and where financial budgets allow, all members of staff will have access to training and development that will enhance their own performance potential and improve services and patient care. 4.2 Prioritisation When undertaking Personal Development Reviews, Managers will prioritise the identified learning using the following criteria: Level of Category of Learning or Development Priority 1 Statutory and Mandatory These are required to meet legal requirements, safe systems of work, governance requirements and any other areas identified as mandatory within NHS Kernow CCG. 2 Skills Essential to Role & Professional Requirements This category encompasses the learning required to achieve, maintain or improve a satisfactory level of role performance and will include the training necessary to meet professional registration requirements, the Job Description post outline, role specific mandatory training and essential skills and knowledge within the service area. Principally, this ensures safe, competent and effective service delivery and therefore benefits the organisation and the individual. Organisation/Service Related The areas of learning identified in this category meet the needs of the service and will ensure service improvement and facilitate succession planning. It may also support the personal career development of staff. This category principally meets organisational need but is also likely to benefit the individual in their career development and possible progression. 4 Individual Priorities This will include those areas which staff identifies as being of interest to them and will support their personal 2

3 career development aspirations. Principally this will be for the benefit of the individual with some direct or indirect benefit to the organisation. 4.3 Entitlement to Learning Activities All staff will be supported to undertake the learning activities necessary to meet the essential requirements of their role, as identified in their outline for their post, and to meet any statutory and/or mandatory training requirements. NHS Kernow will ensure that staff on part-time contracts do not suffer detriment and are offered access to learning, training and development opportunities in line with their full-time counterparts. In addition, staff may be supported, where applicable, to undertake learning that will support any appropriate personal and professional development. All learning and development activity must be mutually agreed between the Manager and the staff member and would usually be identified during the Personal Development Review (PDR) process. Priority for funding requests will be given to Learning Categories within Levels New Members of Staff Where a new member of staff is currently undertaking a sponsored/funded training programme, they are not automatically entitled to transfer the costs of existing learning and development programmes to NHS Kernow when commencing in post. This must be discussed and agreed during the recruitment process, with Managers ensuring there are adequate resources available. 4.5 Application Process for External Learning activity All applications for external study activity must be agreed, having been discussed during a PDR by the member of staff s Line Manager. It is the responsibility of the member of staff, supported by the Line Manager, to source a suitable study activity to meet the training and developmental need of the individual. A Learning Agreement document (see Appendix 2) will be required for all funded external courses (whether fully or partially funded) of 100 or more. Should a member of staff leave the organisation before the expiry of the Learning Agreement, or fail to attend or complete a course, they will be required to reimburse the organisation any outstanding monies. Under no circumstances should an external course be booked by the applicant or Line Manager without the prior signed approval of the T&D lead. An External Learning Agreement form must be signed by all parties (employee, Line Manager and Training and Development lead) prior to any external learning being booked or undertaken. Any study activity that carries a direct cost or a prolonged period of time out of the workplace will require the completion of an External Learning Agreement. The Learning Agreement is a document that defines the NHS Kernow commitment to, and sets out its expectations of the member of staff when undertaking the learning activity and includes agreement for the payment of course costs, either by the CCG or the member of staff. The start date of the Learning Agreement will be the date of commencement of the study activity. The end date of the Learning Agreement should be 12 months after the conclusion of any study/training. 3

4 Example: Staff member is booked on a course costing 2,600, commencing 5 October 2014 and ending 3 September The Learning Agreement ends 3 September 2016 First time examination fees will be funded by the NHS Kernow training and development budget, where agreed, and documented in the Learning Agreement. Should a staff member fail, the cost of re-sitting the exams must be met by the staff member. Expense claims for an exam re-sit will not be approved. If any member of staff leaves the employment of the NHS Kernow before the end date of the Agreement, they will be required to repay any outstanding monies due as a result of the Learning Agreement at the same ratio. Repayment of costs will be calculated in whole months and will be rounded down. Example 2. Staff member has completed a course in November 2013 costing 600. Their Learning Agreement is in place until November The staff member has resigned and will be leaving on 4 October The staff member will be required to repay 600. In the event of failure to complete a learning programme or course owing to exceptional circumstances, guidance for Managers will be available from the Human Resources Department on an individual basis. 4.6 Recovery of Costs in accordance with the Learning Agreement In the event of a member of staff leaving the employment of NHS Kernow before the expiry of their Learning Agreement, the amount outstanding, according to the Learning Agreement must be detailed on the Resignation Form. A copy of the Learning Agreement must also be attached for clarification at the Payroll Department, in order to agree a payment plan with the Finance Department. In the event of an employee moving to employment with another NHS employer NHS Kernow will seek to come to an arrangement regarding repayment with the new employer. If the member of staff remains in employment but has failed to complete the study activity, the total amount to be recovered according to the Learning Agreement must be detailed on a Contract Amendment Form. A copy of the Learning Agreement must be included for clarification at the Payroll Department, in order to implement a payment plan from the member of staff s wages. 4.7 External Study Leave Where approval has been made for a member of staff to complete external study activity, the following allowances must be used as guidance only for the approval of paid study leave days: Up to 7.5 hours per week to attend classes/lectures during normal working hours; Up to 2 weeks per calendar year to attend residential study activity; Up to 0.5 day for each final exam. There is an expectation that staff should make every effort to complete their contracted hours of work and approval for study leave is at the Line Managers discretion. As an example if a member of staff commenced study at a College at 3pm 8pm they would be expected to work from 9am until they needed to travel to College. 4.8 Study Leave during a Non Working Day Where applicable, if a staff member is required to attend a training activity which is held on a day(s) that is not normally worked by the staff member if they are unable to swap their day, paid time off in lieu will be approved by the Line Manager. Any time off in lieu that has been accrued 4

5 due to a training activity must be agreed with the Line Manager before it is taken and taken within three months of accruing it. Absence from time in lieu that has not been approved will be treated as unauthorised absence. 4.9 Travel and Expenses Any travel or subsistence expenses likely to be incurred must be agreed in advance with the budget holder, usually the Line Manager, and will not be reimbursed from the Training and Development budget. Categories 1 and 2 will be funded from departmental travel budgets. Category 3 will need to be negotiated locally and funding agreed. Category 4 priority will not be supported for travel and subsistence allowance by NHS Kernow. Staff are expected to use the most cost-effective means of transport and any expenses will be paid in accordance with NHS Kernow s Travel & Subsistence Expenses Policy Course Materials All course materials, including study guides and text books that are not supplied within the cost of the training course, will not be funded by NHS Kernow. Generally, it is the staff member s responsibility to meet the costs of these items but where specific courses are required by the NHS Kernow, any funding of course materials should be agreed in advance Cancellations and Non-Attendance Staff are expected to attend all agreed study dates published for the learning activity; should staff fail to attend or comply with the Agreement, this may result in disciplinary action or the matter being referred to the Local Counter Fraud Specialist in accordance with NHS Kernow s Anti-Fraud and Bribery Policy If any member of staff fails to complete the study they will be required to repay the total amount stipulated on the Learning Agreement. If the reason for noncompletion of the course is outside of the employees control then circumstances will be considered on an individual basis Work based Projects/Coursework (Compliance and Data Protection) Where as part of the course or learning activity there is a requirement for the individual to produce work based projects or coursework this must not include any sensitive information that could potentially breach the Data Protection Act Before submitting any projects/coursework that needs to include sensitive information guidance must be sought from the Information Governance lead or HR Monitoring and Evaluation All in-house learning activities are evaluated to ensure learning objectives are achieved and action taken should issues arise. Further details are provided in 6.1 Responsibilities. 5. Procedure: See Appendix Responsibilities: 6.1 Board Members/Senior Managers: Sign off policy Encourage and support a learning and development culture within NHS KernowEnsuring the overall implementation of the policy and monitoring its use and effectiveness. 5

6 6.2 Managers: Ensure their teams are aware of the policy Encourage and support any learning and development requests Undertake regular personal development reviews with individuals in their teams Feedback to staff the outcome or an external learning request Ensure the correct process is followed and external learning agreement forms are completed Complete all pre and post learning event reviews and measure the return on invest at post individual and organisation level. All learning activity must be communicated to the Training and Development Lead or HR for recording on the ESR system All evidence of learning, including copies of certificates, must also be sent to HR to ensure that accurate records are maintained. 6.3 Human Resources /Training and Development Lead: Ensure all staff learning and development activity is recorded on the ESR-NLMS system within the external learning section. Maintain accurate records and evidence of learning, including copies of certificates, ensuring copies are placed within P files. Review and make a decision on all External learning agreement forms that are received within 5 working days. Commission any training required Provide a report on learning and development activity on an annual basis Monitor the results of the Training and Development questions within the annual staff survey which will also provide insight into the effectiveness of the Policy 6.4 Individual Staff: Report to their Line Manager on the outcomes of any learning and development activity Identifying the impact the activity will have on the delivery of their role and also the organisation Report back/disseminate to colleague s activity that is relevant to the whole team. Ensure they attend the training or learning activity and make their line manager aware if they are unable to attend giving their reasons why Ensure any work based projects or course work are discussed and signed off by your Line Manager. Ensure any work based projects or course work content is signed off by your Line Manager or Information Governance Lead prior to submitting to the learning provider. 7. Monitoring and Review Arrangements: This Policy will be subject to regular monitoring, co-ordinated by the Human Resources Department, to ensure systems and processes are fit for purpose and being adhered to. On the commencement of study it is the Line Managers responsibility to regularly monitor and evaluate the individual s progress ensuring the individual s Personal Development Plan is regularly updated and that the learning objectives and return on investment measures have been achieved. The individual and Line Manager must also be able to articulate the return on investment measures of the learning when requested. 6

7 Appendix 1 - Flow chart Please also consider using Coaching, Mentoring, Job Shadowing and Secondments as another alternative to formal training courses. 7

8 Appendix 2 External Learning Agreement Form EXTERNAL LEARNING AGREEMENT EMPLOYEE DETAILS: Name Job Role Directorate COURSE DETAILS: Course Title: Course Provider: Commencement Date Conclusion Date Course Provider/Venue Duration including exams Attendance Requirements (Hours per week) Course Fees Examination Fees Registration Fees Other Total Investment by Organisation Start Date of Learning Agreement (Course Commencement Date) End date of Learning Agreement (End date of course plus 12 months or for costs in excess of 2400 one month per 200 of direct cost). I confirm that I have read and fully understand NHS Kernows policy on External Learning and I understand that should I leave the organisation before the end date of this agreement, I will need to repay any outstanding amount. This will be deducted from my final salary payment, or, if my salary has been processed, I will be invoiced for the outstanding costs as appropriate, which I agree to pay at an agreed rate. I understand that there is an expectation that I will attend the agreed learning programme and, where appropriate, cascade my learning knowledge and skills to my colleagues. Member of Staff s Signature:. Date Member of Staff s Name (Print): Manager/Director Signature:. Date Manager/Director Name (Print). T&D Lead Signature:. Date T&D Lead Name (Print) 8

9 Please complete the questions below. 1. How does the learning/qualification link to your own personal learning objectives? (Please highlight why this is essential for your role) 2. How will the development benefit the organisation? (Return on Investment measures) 3. Are there any other options/alternative qualifications available? 9

10 TO BE COMPLETED AT THE PLANNING AND SCOPING STATGES OF THE INITIATIVE Appendix Two Equality Impact Assessment Proforma Initial Screening Section HR Officer responsible for the assessment Name of Policy to be assessed External Learning Agreement Date of Assessment Is this a new or existing policy? New 1. Briefly describe the aims, objectives and purpose of the policy. The purpose of this policy is to ensure there is a consistent and coordinated approach to external learning for all staff employed by NHS Kernow CCG. The policy covers any situation that could be identified as a formal learning and/or development opportunity and includes guidance on study leave and expenses incurred whilst undertaking any Training and Development. The policy also highlights the responsibilities for the Line Manager and employee. 2. Are there any associated objectives of the The policy will form part of the NHS KCCG Training and Development Policy policy? Please explain. 3. Who is intended to benefit from this policy, All NHS Kernow post-holders and line managers and in what way? 4. What outcomes are wanted from this policy? That all staff have a clear understanding of the process for funding any external learning. That every request is treated fairly and equally That training budget is spent wisely Business can justify any funded learning Process is clear and transparent to all 5. What factors/forces could contribute/detract Staff may be put off requesting funding due to the tie in periods and recovery of costs. 10

11 from the outcomes? 6. Who are the main stakeholders in relation to the policy? Line Managers Their direct reports HR Finance 8. What is the impact on people from Black and Minority Ethnic Groups (BME) (positive or negative)? 7. Who implements the policy, and who is responsible for the policy? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group. HR 9. What is the impact for male or female people (positive or negative)? The review affects all people/staff equally regardless of gender 10. What is the impact on disabled people, including those with learning disabilities (positive or negative)? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group 11. What is the impact on sexual orientation (lesbian, gay, bisexual)? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group 11

12 12. What is the impact on people of different ages (positive or negative)? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group 13. What impact will there be due religion or belief (positive or negative)? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group 14. What is the impact on marriage of civil partnership, this is particularly relevant for employment policies (positive or negative?. There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group How will any negative be mitigated? n/a 15. What is the impact on people who have gone through or are going through gender reassignment, or who identify as transgender? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group 12

13 16. What is the impact on people who are pregnant or breast feeding mothers? There is currently no information to indicate that this policy will disadvantage or have a negative impact on this group 17. How have the Core Human Rights Values of: Fairness; Respect; Equality; Dignity; Autonomy Been considered in the formulation of this policy/strategy If they haven t please reconsider the document and amend to incorporate these values. The following has been included in the Policy that will be used for all existing and new posts: NHS Kernow expects all employees to demonstrate our Values and the NHS Core Values as part of their day to day working lives: We believe in being honest We want to be innovative, agile and brave We are passionate about making a difference to people s lives We believe in strong relationships and supporting champions We will listen to people to understand their needs NHS Core values: Respect and dignity Commitment to quality of care Compassion Improving lives Working together for patients Everyone counts 13

14 18. Which of the Human Rights Articles does this document impact? What evidence do you have for making these statements? The right: To life; Not to be tortured or treated in an inhuman or degrading way; To be free from slavery or forced labour; To liberty and security; To a fair trial; To no punishment without law; To respect for home and family life, home and correspondence; To freedom of thought, conscience and religion; To freedom of expression; To freedom of assembly and association; To marry and found a family; Not to be discriminated against in relation to the enjoyment of any of the rights contained in the European Convention; To peaceful enjoyment of possessions and education; To free elections The policy is written in line with the NHS Kernow values Yes No 19. How will you ensure that those responsible for implementing the Policy are aware of the Human Rights implications and equipped to deal with them? 20. If the negative impacts identified have been unable to be mitigated through amendment to the policy, explain how you will conduct a full EIA n/a 14

15 21. If the differential impacts identified are positive, explain how this policy is legitimate positive action and will improve outcomes, services or the working environment for that group of people. n/a 22. If you do not need to proceed to a full EIA explain what amendments have been made to the policy as a result of this screening, and when they were made. Signed (completing officer) Nikki Pryke.. Date 3/11/2014 Signed (Head of Section) Emma Goudge.. Date Please ensure that a signed copy of this form is sent to both the Policies Officer and the Equality and Diversity lead to be placed on the website. 15