Training Statutory and Mandatory

Transcription

1 This is an official Northern Trust policy and should not be edited in any way Training Statutory and Mandatory Reference Number: NHSCT/11/444 Target audience: All Trust Staff Sources of advice in relation to this document: Carol Dodds, Head of Organisation and Workforce Development Jacinta Melaugh, Director of Human Resources Replaces (if appropriate): Legacy Trust policies on Statutory and Mandatory Training Type of Document: Trust Wide Approved by: Policy Committee Date Approved: 29 September 2011 Date Issued by Policy Unit: 12 October 2011 NHSCT Mission Statement To provide for all, the quality of service we expect for our families, and ourselves. 1

2 Statutory and Mandatory Training 2

3 1. POLICY STATEMENT 1.1 The Northern Health and Social Care Trust aims to provide the highest quality care to its service users and to minimise risk in all the services (clinical and non-clinical) it provides. The Trust has a duty to ensure that good governance is in place and that resources are used effectively and appropriately. In addition all staff should have a Personal Development Plan to ensure they are competent to fulfil the full range of duties required of them. Therefore, all staff must attend relevant statutory and mandatory training. The must be assured that this programme of training is being adhered to. 2. KEY PRINCIPLES 2.1 Statutory Training: is the training that the Trust is legally required to provide as defined in law (and consequently a legal paper can be referenced) or where a statutory body has instructed organisations to provide training on the basis of legislation. For examples fire safety training is required by statute i.e. Regulatory Reform Order (fire) Mandatory Training: is a training requirement that has been determined by the Trust (i.e. in policy). Mandatory training is concerned with minimising risk, providing assurance against policies, and ensuring the Trust meets external standards for example: Zero Tolerance Violence and Aggression training. 2.3 The statutory and mandatory training that must be completed will be dependant on and relevant to an individual s post. These definitions do not relate to the requirements of professional registration or staff s Knowledge and Skills Framework (KSF) outline-based development. It is recognised there will be additional Mandatory and Statutory training required for professional groups. All managers must ensure that staff have access to these, which will be monitored and controlled, so that needs are met at departmental level. There will be various levels of training needed. 2.4 Managers who are unable to meet the requirements to release staff etc must discuss the matter with their Assistant Director. Compliance with and learning from statutory and mandatory training will be reviewed as part of the annual Personal Review and Development Plan (PRDP) or appraisals. 3

4 2.5 Appendix 1 defines the generic statutory and mandatory training requirements defined in the Trust. This table shows the training required, who must attend, the format in which it is provided, any update attendance required and which bodies/committees require reports. This template could be further developed within departments to identify professional specific Mandatory and statutory Training. 2.6 These requirements have been collated on the basis of legislative requirements (statutory training) and external assurance frameworks that contribute to Trust policy documents (mandatory training). The Policy on Statutory and Mandatory Training requirements will be subject to change on the basis of internal and external developments and will be reviewed and reissued on a trust- wide basis as necessary and at least annually. 2.7 Changes to the requirements and subsequently to this Policy must be made using the template in Appendix 2 and submitted to the Training Providers Forum via the Head of Organisation and Workforce Development. The template forms a training needs analysis for the subject which is needed to assess the training requirement and as evidence for accreditation regimes such as RQIA. 3. SCOPE 3.1 This policy applies to all staff (permanent, temporary and bank) directly employed by NHSCT. Temporary staff employed via agencies and contractors must have had their statutory and mandatory training requirements met by their employer. 3.2 It will be a requirement that Agencies providing staff to the Trust will have ensured that all staff have appropriate up-to-date training to undertake duties required of the post. This will be reflected in the contract established with Agencies. Where staff are recruited from Agencies off contract it will be the responsibility of the approaching Trust Officer to ensure such training is in place. Where there are Trust specific training needs e.g. Trust Operational Procedures, these will be provided by the Trust to Agency supplied staff. 4. RESPONSIBILITIES 4.1 Responsibility of the The supported by the Governance Management Board, has overall responsibility for effective risk management within the Trust and to ensure that the Trust complies with its statutory obligations. The Board accepts that an essential part of this statutory obligation is the provision of suitable and sufficient training and instruction to ensure all staff can fulfil their role competently and safely. 4

5 4.2 Responsibilities of the HR Director The Director of Human Resources has responsibility for the implementation and monitoring of the effectiveness of this policy. The Trust s Executive Directors will assist the Director of HR by ensuring that managers are competent to identify the mandatory/statutory training needs of their staff. 4.3 Responsibilities of Managers Managers must ensure that staff are nominated and are able to attend relevant and appropriate statutory and mandatory training within the required timeframe. Managers will record attendance through the Corporate and Departmental Induction Checklists (new employees) and annual review (PRDP)/appraisal meetings (existing employees) If an employee does not attend booked statutory and mandatory training the manager must ascertain why and ensure that the employee attends the next available training Managers are responsible for identifying individual training needs and recording attendance at departmental or local level mandatory training. 4.4 Responsibilities of Employees All employees must identify training needs (with their line manager) and attend the statutory and mandatory training they need. Evidence of attending training should be kept by the employee and discussed at annual appraisal/prdp meeting and matched to KSF outline for the post Employees are responsible for arriving punctually to training and attending the full duration of the training. Failure to be punctual may result in the employee not undertaking the training on that occasion and this being reported as a non-attendance Where non-attendance is anticipated i.e. exceptional circumstances due notice must be given to the Training providers in order for the place to be filled. 5

6 4.5 Responsibilities of Training Providers Statutory and mandatory training is provided by a variety of training providers within the Trust to support compliance with relevant statute and policy requirements The training provider must ensure the learning outcomes of training meet the requirements of the relevant statute or policy Training providers are responsible for ensuring that attendance at training is recorded accurately using a unique identifier so that compliance against this policy can be measured. Training providers are also responsible for reporting on compliance to internal and external authorities against the specific policy their training is designed to support Training providers are responsible for providing advice to managers on applications for exemption (paragraph 5). 4.6 Responsibilities of the Organisation and Workforce Development Department Organisation and Workforce Development in consultation with thetraining Providers Forum is responsible for defining, maintaining and reviewing the Policy on Statutory and Mandatory Training and working with training providers to approve and ensure that training is provided in the most effective and efficient way Where Organisation and Workforce Development acts as a training provider for a statutory/mandatory training programme. It must meet the responsibilities outlined above in Para The Organisation and Workforce Development department will report on statutory/mandatory training to SMT/. 5. EXEMPTIONS 5.1 The Trust believes that its statutory and mandatory training is consistent with Health and Social Care policies and guidelines. In some cases a new employee will not be required to attend such training within their first 12 months of employment with this Trust if they are able to produce suitable and sufficient evidence demonstrating their previous attendance at equivalent training within Health and Social Care. (Statutory providers only) 6

7 5.2 Exemptions can only be agreed by the Line Manager or Professional Heads informed by the training provider if required. Details of exemption process are available at Appendix 3. The manager must complete and retain the Exemption Form with the staff member (Appendix 4). 6. LOCAL LEVEL STATUTORY OR MANDATORY TRAINING 6.1 Some professions or departments will need to define local requirements for statutory or mandatory training that are specific to that area and that do not affect other staff groups. Such training should be defined within departments and attendance recorded within the individual employee s appraisal/prdp meeting and recorded by the provider/commissioner. 7. REVIEW The responsibility for ensuring that this policy will be reviewed regularly rests with the Director HR/Head of Organisation and Workforce Development. 8. Equality, Human Rights and DDA This policy has been drawn up and reviewed in light of Section 75 of the Northern Ireland Act (1998) which requires the Trust to have due regard to the need to promote equality of opportunity. It has been screened to identify any adverse impact on the nine equality categories and no significant differential impacts were identified, therefore, an equality impact assessment is not required. 9. Alternative Formats This document can be made available on request on disc, larger font, Braille, audio-cassette and in other minority languages to meet the needs of those who are not fluent in English. 10. Sources of Advice The policy author, as detailed on the policy title page should be contacted with regard to any queries on the content of this policy. September

8 Statutory / Mandatory Training Appendix 1 Admin and Clerical Estates Services Support Services Nursing and Midwifery Social Services Professional and Technical Medical and Dental Reported to Statutory Req./Legislation/Reg. Best Practice by DHSS Best Practice by Trust/Board Available Forms of Learning and Development Delivery Link(s) to KSF Equality and Diversity N.I. Act 1998 Human Rights Act 1998 Disability Discrimination Act 1995 Equality Scheme KSF Handbook 2004 Corporate Induction Trust L&D Programme Relevant Trust Literature (e.g. Dignity in the Workplace) Intranet Core 1 Core 6 Governance Risk Management Strategy Controls Assurance Duty of Care Corporate/Local Induction Relevant Trust Literature Intranet Code of Practice/consent SMT Data Protection Act 1998 Caldicott Committee Report 1997 KSF Handbook 2004 Local Induction Relevant Trust Literature Intranet Core 1 IK1 - IK3 Confidentiality/Data Protection/Freedom of Information Data Protection Act 1998 Caldicott Committee Report 1997 KSF Handbook 2004 Corporate/Local Induction Relevant Trust Literature Intranet Core 1 IK1 - IK3 Records Management / Recording and Reporting ICT Security Data Protection Act 1998 Human Rights Act 1998 Local Induction Relevant Trust Literature Intranet Trust Policy Trust L& D Programmes Frequency of attendance as agreed with manager in line with responsibilities of role & within codes of professional conduct. Also referenced in relevant training directories. Core 1 IK1 C3 G6 IK1 8

9 Health and Safety Admin and Clerical Estates Services Support Services Nursing and Midwifery Social Services Professional and Technical Medical and Dental Reported to Trust Board Statutory Req./Legislation/Reg. Best Practice by DHSS Best Practice by Trust/Board Health and Safety at Work NI Order 1978 Available Forms of Learning and Development Delivery Corporate induction Trust L&D Programmes Trust L&D Programmes Link(s) to KSF COSHH Awareness SMT Trust Board COSHH Regulations Corporate induction Trust L&D Programmes Trust L&D Programmes DSE Awareness Trust Board DSE Regulations Corporate induction Trust L&D Programmes Trust L&D Programmes Fire Safety Trust Board Fire and Rescue Services NI 2006 & Fire Safety Regulations NI 2010 Corporate induction Trust L&D Programmes Trust L&D Programmes Particular groups e.g. managers/supervisors or profession specific. Frequency of attendance as agreed with manager in line with responsibilities of role & within codes of professional conduct. Also referenced in relevant training directories. 9

10 Admin and Clerical Estates Services Support Services Nursing and Midwifery Social Services Professional and Technical Medical and Dental Reported to Statutory Req./Legislation/Reg. Best Practice by DHSS Best Practice by Trust/Board Available Forms of Learning and Development Delivery Link(s) to KSF Infection Prevention and Control Control Standards Priorities for Action Corporate Induction e-learning Intranet Safeguarding Vulnerable Adults from Abuse and Exploitation RQIA SMT Trust Board Protection of Children and Vulnerable Adults (NI) Order 2003 Safeguarding Vulnerable Adults Choosing to Protect: A guide to using the protection of vulnerable adults (POC(NI) service (April 2005, Revised September 2005) Local Induction Relevant Trust Literature On the job learning Trust L&D programmes Core 5 HWB2 - HWB6 Safeguarding Children from Abuse and Exploitation Haemovigilance RQIA SMT Trust Board RQIA Trust Board Protection of Children and Vulnerable Adults (NI) Order 2003 ACPC Regional Policy and Procedures for Child Protection (2005) Choosing to Protect: A Guide to using the Protection of Children (POC(NI) Service (April 2005, Revised September 2005) Better Blood Transfusion DH Local Induction Relevant Trust literature On the job learning Trust L&D programmes Local Induction Trust L&D programmes and e learning Particular groups eg managers/supervisors or profession specific. Frequency of attendance as agreed with manager in line with responsibilities of role & within codes of professional conduct. Also referenced in relevant directories Core 5 HWB2 - HWB6 10

11 Admin and Clerical Estates Services Support Services Nursing and Midwifery Social Services Professional and Technical Medical and Dental Reported to Statutory Req./Legislation/Reg. Best Practice by DHSS Best Practice by Trust/Board Available Forms of Learning and Development Delivery Link(s) to KSF First Aid Provision (Managers must ensure appropriate number of staff within their departments are trained). H&S (First Aid) regulations (NI) 1982 H&S at Work (NI) Order 1978 H&S (First Aid) Regulations (NI) 1982 Trust L&D programmes Manual Handling (See H&S) Health and Safety at Work NI Order 1978 The Management of H&S at Work Regulation (NI) 2000 MH Operations Regulations 1992 RQIA requirements Trust L&D programmes Basic Life Support SMT Resuscitation Policy Trust L&D Programmes Clinical Waste SMT Health and Safety at Work NI Order 1978 The Management of H&S at Work Regulation (NI) 2000 Specific Training Management of Health and Safety SMT Health and Safety at Work NI Order 1978 The Management of H&S at Work Regulation (NI) 2000 Trust L&D programmes Recruitment and Selection NI Act 1998 Discrimination Legislation Recruitment and selection Guidelines Trust L&D programmes Core 6 G6 Particular groups eg managers/supervisors or profession specific. Frequency of attendance as agreed with manager in line with responsibilities of role & within codes of professional conduct. Also referenced in relevant training directories 11

12 Admin and Clerical Estates Services Support Services Nursing and Midwifery Social Services Professional and Technical Medical and Dental Reported to Statutory Req./Legislation/Reg. Best Practice by DHSS Best Practice by Trust/Board Available Forms of Learning and Development Delivery Link(s) to KSF Corporate Induction /Trust Board Controls Assurance Standards IiP RQIA, OD Strategy Trust L & D Programmes Core 1 Handling Complaints RQIA KSF Handbook 2004 Local induction On the job learning Core 1 Core 4 Managing Absence Sickness Absence Policy 2005 Local induction Relevant Trust literature On the job learning Core 5 Managing Disciplinary Procedure Disciplinary Policy 2007 Trust L & D Programmes G6 KSF Development Review Process SMT AfC Terms and Conditions Trust Policy KSF Handbook 2004 Trust L&D programmes Core 2 The Capability Policy Trust Policy Trust L& D Programmes G6 Particular groups eg managers/supervisors or profession specific. Frequency of attendance as agreed with manager in line with responsibilities of role & within codes of professional conduct. Also referenced in relevant training directories 12

13 Statutory and Mandatory Training Policy Appendix 2 Changes to Trust Statutory/Mandatory training Manager Identifying Need Department Address Telephone No. STATUTORY or MANDATORY What Is The Requirement i.e. Subject For Training Where Is The Requirement Defined? (Quote Appropriate Legislation Circular Or Policy) When Does This Need To Be Applied By Other Related Policies Training Provider e.g. NEDC, Professional Body, OD Dept Target Group KSF Dimensions Who Will Administer Agreed By Director/Assistant Director Approved by SMT/ Date Updates Required, Who For, How Often? Forward to Organisation and Workforce Development HR Directorate 13

14 *FINANCIAL ASSESSMENT FOR PROVIDER USE ONLY Costs Of Set-Up Running Costs Where Funded From Cost Attendance Aims/Objectives/Outcomes Evaluation * Optional section 14

15 STATUTORY AND MANDATORY TRAINING EXEMPTION PROCESS GUIDANCE Appendix 3 WHAT IS MEANT BY AN EXEMPTION PROCESS? Staff may be eligible for exemption from some courses or elements of courses from the Trust s table of statutory and mandatory training in appendix 1. A new start would not be required to attend such training within their first 12 months of employment with Northern Trust if they are able to produce suitable and sufficient evidence demonstrating their previous attendance on similar training elsewhere in Health and Social Care. This means that this Trust believes that the content requirements for these areas would be consistent across a number of Trusts, as national guidelines often require a consistent and standardised approach. Additionally these types of training may not carry such a stringent legal requirement for attendance if attendance had taken place elsewhere within a 12 month period but the provider was non Health and Social Care. Then this would still allow us to recognise that the individual is fit to practice. HOW WILL THE EXEMPTION PROCESS WORK? The following describes the process and requirements for claiming exemption from attendance at statutory and mandatory training courses within the Trust STAGE 1- COURSES WITH POTENTIAL FOR EXEMPTION? If you are seeking exemption please check the Trust s mandatory and statutory training table to ensure that the course for which you seek exemption is listed as one for which exemption is possible. STAGE 2- DISCUSSION WITH MANAGER Discuss with your manager whether in their opinion exemption from attendance would be applicable in light of your role, responsibilities and your own current level of competency, without this agreement, applications will be refused. STAGE 3 - SUPPORTING INFORMATION? Complete and print off the exemption form attached ensuring that you have provided sufficient details to support your application for discussion with your manager. Supporting details would include copies of the last course you have attended on the topic including: Course title and date Course content/ objectives/ learning outcomes Course duration The name of the training provider Attendance certificate or similar evidence Details from Job Description/KSF outline 15

16 STAGE 4 COMPLETED EXEMPTION APPLICATIONS Your Manager will send the completed form and supporting information to your Director who is responsible for approving the exemption for the course. This may require the Director to take professional advice or seek clarity from the training provider or the department responsible for the policy in question e.g. Complaints Department STAGE 5-HOW IS THE EXEMPTION APPLICATION AGREED? When the exemption form is received, the Director will make their decision based on the information supplied. They may seek supplementary information by contacting the applicant directly should they feel the initial information is insufficient upon which to make a judgement. Once a decision is made, the Director will indicate the outcome within the required box on the form (Appendix 4). Where the exemption has not been approved, the reasons for this decision should be identified and the applicant informed and a copy retained. STAGE 6- NOTIFICATION OF THE DECISION If the exemption is approved the relevant manager is responsible for sending the approved form Appendix 4 to the relevant Training provider who is delivering the training:- Organisation and Workforce Development Department, Beech House, Antrim Area Hospital, Bush Road, Antrim Bt 41 2RL NEDC, Fern House, Antrim Area Hospital, Bush Road BT 41 2 RL Social Services Training Centre, 34 Station Road Antrim BT41 4AB The relevant department will make the necessary amendments to the individual s centrally held training record and the manager should retain a copy of the exemption and the staff member also retains a copy in their Personal Development Folder for future reference. 16

17 Appendix 4 APPLICATION FORM FOR EXEMPTION FROM MANDATORY AND STATUTORY TRAINING COURSE ATTENDANCE Once completed, please return this form to your manager responsible for agreeing exemption for your particular course. Please complete one form for each course exemption sought. (See attached guidance) Personal details (All these fields are mandatory and must be completed. Incomplete forms will be returned.) Full Name :(as printed on payslip) Miss Ms Mrs Mr Dr (please circle) National Insurance No. Job Title: Directorate Work place: Contact no: Course for which exemption is sought: Course Provider As supplementary information to support my application for exemption, I attach the following: (Please tick below which apply) Course title and date Course content/ objectives/ learning outcomes Course duration The name of the training provider Attendance certificate or similar evidence Details from Job Description/KSF outline (Please note for exemptions to be considered, course date must be within 12 calendar months of the date of this exemption application) 17

18 Managers Agreement Name of Manager agreeing exemption Title of Manager As Manager, I confirm that I support this application for exemption: Manager s Signature Applicant s Signature Date: Date: Director s Approval Professional advice sought from Exemption approved: yes/no Director s signature Date If not supported, form to be copied to applicant with reasons listed below for benefit of the applicant and retained by manager. Not required by Organisation and Workforce Development department. Reasons for non approval of exemption: 18

19 Appendix 5 FLOW CHART APPROVAL PROCESS for EXEMPTION from ATTENDANCE at a MANDATORY and STATUTORY TRAINING COURSE Stage 1 Staff member checks course against Trusts mandatory & statutory training table for potential exemption. Stage 2 Stage 3 Discussion of exemption with Manager Stage 4 Provided Manager agrees to exemption, Appendix 4 forwarded to Director for approval. Staff member completes exemption form - Appendix 4 in preparation for discussion with Stage 6 Stage 5 Supplementary information may be sought by Director prior to approval. Director completes documentation authorising/refusing exemption and returns to manager. Manager informs staff member of outcome. Manager forwards approved exemption-appendix Stage 4 to relevant 6 training provider. Manager retains copy and staff member copies to Personal Development Folder. Relevant Training Providers: -Organisation & Workforce Development Team.-NEDC -Social Services Training Records exemption in individuals training record 19