Gateway Procedure. Version: 1. Ratified by (name of Committee): Date ratified: 25 March Date issued: 31 March 2009.

Transcription

1 Gateway Procedure Version: 1 Ratified by (name of Committee): JNCC Date ratified: 25 March 2009 Date issued: Expiry date: 31 December 2012 (Document is not valid after this date) Review date: 31 March 2011 Lead Executive/Director: Name of originator/author: Target audience: Human Resources Director Human Resources All PCT Staff

2 CONTRIBUTION LIST Key individuals involved in developing the document Name Human Resources JNCC Designation Human Resources Director Staff Side Chair Circulated to the following individuals for consultation Name Human Resources JNCC Designation Page 2 of 12

3 WORCESTERSHIRE PRIMARY CARE TRUST AGENDA FOR CHANGE KNOWLEDGE AND SKILLS FRAMEWORK GATEWAY POLICY CONTENTS Page No 1. INTRODUCTION 3 2. PAY GATEWAYS 3 3. ANNUAL STAFF APPRAISAL AND DEVELOPMENT REVIEW INCORPORATING KSF 5 4. DEALING WITH A PROBLEM AT A GATEWAY 6 5. APPEALS/DISAGREEMENTS 8 6. EXTENUATING CIRCUMSTANCES 8 7. MONITORING GATEWAYS MONITORING AND REVIEW OF POLICY 10 Appendices Appendix A TYPICAL QUESTIONS AND ANSWERS 11 Please cross-reference this policy with: Capability Procedure Policy and Guidelines on Staff Appraisal and Development Review Page 3 of 12

4 WORCESTERSHIRE PRIMARY CARE TRUST KNOWLEDGE AND SKILLS FRAMEWORK GATEWAY POLICY 1. INTRODUCTION This policy applies to all staff covered by the Knowledge and Skills Framework as laid out in the Agenda for Change Agreement (2004). An effective is essential to ensure that gateway reviews, and any issues arising relating to gateways are handled consistently within the Trust. This policy should be read in conjunction with: The Staff Appraisal and Development Review Policy and The Staff Appraisal and Development Review: Guidelines for Managers and Staff The Disciplinary Procedure The Capability Procedure The gateway system will become fully operational when the Trust has put in place arrangements to ensure that all staff have access to Staff Appraisal and Development Reviews, personal development plans and appropriate support for training and development to meet the applied knowledge and skills required at the gateway concerned. This must be done for all posts covered by the Agenda for Change agreement no later than October GATEWAYS There is a normal expectation of progression within each pay band and, in most years, pay progression will take the form of an annual increase (increment) in pay from one pay point to the next within the pay band. At defined points in a pay band known as gateways decisions are made during the Staff Appraisal and Development Review meeting about pay progression as well as development. There will be no national or local quotas for pay progression. All postholders who apply the necessary knowledge and skills to meet the KSF outline for their post will progress through the gateways. There are two gateways in each of the nine pay bands: The foundation gateway this is the first point where the KSF is linked to pay progression, this occurs no later than 12 months after appointment. (The exception to this is pay band 5. Paragraph 2.1 refers). The individual must meet the minimum knowledge and skills defined in the subset outline in order to proceed through the gateway to the next incremental point on their pay band. Page 4 of 12

5 The demonstration of knowledge and skills must be that specified for each dimension, level and indicators in the KSF subset. Newly appointed or promoted staff joining a pay band under the new system will serve an initial foundation period of up to twelve months. During this initial period all staff will have at least two discussions with their appraiser to review progress guided by the KSF foundation outline for the post. The first of these discussions should normally be during the induction period. The second should take place three months before the foundation gateway. The aim of these discussions and any resulting support and development will be to help staff make a success of the new job and confirm as quickly as possible that they are applying the basic knowledge and skills needed for the job and can pass through the foundation gateway and commence progression up their pay band. Under transitional arrangements, existing staff with at least twelve months experience in post at October 2006, will be assumed to have met the criteria for passing through the foundation gateway. However, they will be subject to the operation of the second gateway within their pay band. The second gateway this is set at a fixed point towards the top of each pay band as set out below: Pay Band Pay band 1 Pay bands 2-4 Pay bands 5-7 Pay band 8, ranges A-D Pay band 9 Position of Second Gateway Before final point Before first of last two points Before first of last three points Before final point Before final point The review at the second gateway will be based on the full KSF outline for the post. The demonstration of knowledge and skills must be that specified for each dimension, level and indicators in the full KSF outline for the post. The purpose of the second gateway is to confirm that individuals are applying their knowledge and skills consistently to meet the full demands of their post. Having gone through the second gateway, individuals will progress to the top of the pay band provided they continue to apply the knowledge and skills. The whole process is based on the principle of NO SURPRISES if there are problems with individuals developing towards the full KSF outline for the post, or there are performance or capability issues, these must have been addressed by the relevant manager before the gateway review. KSF outlines may be changed subsequently by local agreement between staff side and management within the work area concerned when changes apply to a number of posts, or between the relevant manager and individual when changes apply only to a single Page 5 of 12

6 post. They may also be changed when it is necessary to reflect a change in professional standards as agreed by the relevant professional body or authority. Any changes must be screened through the local KSF consistency checking arrangements. 2.1 Professional Development - Preceptorship Regulated healthcare professionals on pay band 5 are subject to a preceptorship period. This will operate as follows: Within the first 12 months the individual will have two development reviews: The first review after 6 months will seek to establish whether they are on track in their development towards the foundation gateway and if this is the case they will receive their incremental point. After 12 months the second development review will focus on the KSF foundation outline for the post and this will form the foundation gateway, leading to the second incremental point. When the individual passes through this foundation gateway, they will move up to the next point on the pay band. There will only be one foundation gateway and one foundation gateway review. 2.2 Deferment of pay progression Pay progression can only be deferred where there has been prior discussion between the individual and the person undertaking their review, about the knowledge and skills that need to be developed and applied. The individual must have been given the opportunity to achieve the necessary development. The discussion should be recorded. However there is provision in exceptional circumstances to defer normal incremental progression over performance issues. Please refer to the Capability Procedure for further detail. 2.3 Monitoring of Pay Progression Trust Management and staff representatives, acting in partnership, will monitor decisions on pay progression to ensure that there is no discrimination or bias in relation to race or ethnicity, gender, sexual orientation, disability, religion, age or trade union membership, or pattern of employment e.g. part-time, flexible and night workers. 3. THE ANNUAL STAFF APPRAISAL AND DEVELOPMENT REVIEW INCORPORATING KSF Refer also to the Policy and Guidelines on Staff Appraisal and Development Review An annual Staff Appraisal and Development Review must take place for each member of staff where evidence will be presented to determine progress towards achievement of the KSF outline for the post. The Staff Appraisal and Development Review takes the same format every year however at the gateways decisions are linked to pay Page 6 of 12

7 progression. Three months prior to each of the gateways, an assessment using the KSF outline for the post forms part of the overall appraisal process. At each review meeting the individual will need to display evidence of their application of the knowledge and skills described in the KSF outline for their post. The gateway reviews should take place in time for individuals to progress on their normal incremental date. Therefore, the Staff Appraisal and Development Review meeting should be scheduled no later than three months prior to the incremental date. If the relevant appraiser is not able to carry out a gateway review for any reason, e.g. because of illness, another appropriate appraiser must be identified in sufficient time for the review to be carried out to allow progression on the incremental date. Decisions at gateways need to be clearly recorded using the appropriate form. It is expected that people will go through gateways and progress between gateways on an annual basis. The appraiser will need to complete a change form in order to notify relevant personnel that a pay increment should be deferred. It is mandatory that Staff Appraisal and Development Review Meetings take place on an annual basis in order to identify any gaps in skills or knowledge and agree how to address them. However in line with the principle of no surprises, it is also recommended that appraisers use their discretion to hold interim reviews when the circumstances suggest it would be appropriate to do so. For example if through day to day observation, there appears to be a gap in skills, knowledge and/or application. 4. DEALING WITH A PROBLEM AT THE GATEWAY REVIEW In a few instances individuals may not be able to achieve their KSF Outline: 4.1 KSF Outline not achieved as Training/Development was not provided If the individual is unable to demonstrate the application of the necessary skills and knowledge for the appropriate gateway and this is due to an organisational issue, for example: Financial constraints. Inadequate managerial support as agreed in PDP e.g. manager cancelling 1-1 meetings or no opportunity for the employee to discuss their concerns with their manager. Not released from workplace. Lack of learning opportunities. The individual will progress through the gateway. 4.2 KSF Outline not achieved as Training/Development not attended Page 7 of 12

8 In some instances the KSF outline may not have been achieved due to the individual not pursuing or attending the necessary training and development where this was not as a result of the organisation or management inaction. In these circumstances pay progression to the next increment on the pay band will be deferred until such time that the individual can demonstrate achievement of the sub-set or full KSF outline as appropriate. The individual will not progress through their pay gateway at this stage. The following action should be taken for both 4.1 and 4.2 above: Complete a short-term action plan for gateway achievement: a. Arrange a formal meeting with the individual b. Jointly agree a short-term action plan The action plan should clearly identify: a. KSF dimension and levels still to achieve b. Identified training and development with consideration of provision of reasonable resources c. Review date (see below) In instances where a situation as outlined in 4.2 has arisen the action plan should also contain the reasons for the deferment. A further review date must be set which is realistic in relation to the work required. This would need to take place within a maximum of 3 months from the previous review. The review must be carried out on the agreed date and attended by both appraiser and appraisee. The individual will need to demonstrate application of the necessary knowledge and skills specified in the post KSF outline as per initial review meeting. Pay progression will resume from the date on which the review confirms that the individual is applying the level of knowledge and skills specified in the KSF outline for the post. The appraiser or manager will need to complete a gateway achievement form and return it to payroll. The annual incremental date will remain unchanged. A Personal Development Plan can then be agreed for the remaining period. Taking into consideration personal development using their KSF outline, individual, team and/or service objectives and corporate objectives. If reasonable time and resources have been provided and the individual is still unable to meet their KSF outline at the gateway, it is recommended that the appraiser seeks guidance from a Human Resources Adviser in order to instigate the Capability or Disciplinary Procedure where appropriate. 4.3 KSF Outline not achieved as the appraisee is unable to apply their learning and development. Page 8 of 12

9 On rare occasions the individual may be unable to apply their learning in order to achieve their full KSF Outline. Good management practices and effective use of the annual review process should ensure the individual has been informed of the performance issues as they occur. Therefore problems with performance should be dealt with well in advance of the second gateway or several months ahead of the foundation review, thus giving the individual adequate opportunity to achieve the required standard. Where the individual is still unable to apply their learning, appraisers should refer to the Capability Procedure for guidance, although it is emphasised that the Disciplinary policy should be used when appropriate and not delayed until gateway reviews. In these circumstances pay progression to the next increment on the pay band spine will be deferred at the appropriate gateway. Deferral will last until any issues are resolved. 5. DISAGREEMENTS AT A REVIEW Where the manager and individual disagree about the outcome of a Staff Appraisal and Development Review, the employee will have the right to request a review before a final decision is made. The review should be undertaken by the line manager of the person carrying out the appraisal, and a final decision given to the employee. Where disagreement exists the reviewing manager may request further information from both parties to substantiate their respective views. Any decision must be based on objective reasoning and be non-discriminatory. Where the employee still disagrees after the review, the employee may invoke the grievance procedure. If the grievance is upheld, pay will be backdated. If it is not upheld, an interim review must take place before the next Staff Appraisal and Development Review date is due. 6. EXTENUATING CIRCUMSTANCES: 6.1 Maternity Leave/Adoption Leave/Paternity Leave: During Maternity, Paternity and Adoption leave service is considered to be continuous. Therefore members of staff taking Maternity or Adoption Leave that coincides with pay gateways should not be penalised. Anyone taking Maternity Leave or Adoption Leave coinciding with their foundation gateway will return to their post after their maternity/adoption leave with the same amount of time remaining to achieve their subset. E.g. a member of staff taking maternity leave 6 months into the post would have a remaining 6 months to achieve their first gateway. However, their pay would be uplifted to the next increment to coincide with their annual incremental date. If a member of staff takes Maternity or Adoption Leave which spans their final gateway the manager and employee could agree to conduct the review ahead of any leave Page 9 of 12

10 actually being taken. Thus the individual could proceed through the gateway whilst on leave, provided that it had been established in advance that the individual has applied the required knowledge and skills. If the appraisee is being performance-managed at the time of their maternity leave commencing, it may be possible to withhold the pay increment until the appraisee returns to work. The Trusts Capability Procedure will give further guidance on this matter. 6.2 Parental Leave/Carers Leave As this period of leave is relatively short, managers are encouraged to ascertain whether a gateway may occur during the absence and plan ahead to undertake the gateway review before the leave of absence occurs. 6.3 Career Break Sabbaticals are by definition the choice of the individual; therefore if a member of staff chooses to take a sabbatical at any stage during their career their pay progression would be frozen at the pay point they have achieved at their last working day. The member of staff therefore returns to work at the same pay point they left on. A KSF review would need to be undertaken within a few weeks of returning to identify their training and development needs in line with their KSF outline. 6.4 Long Term Sickness Where a period of long term sickness stretches across either a foundation gateway or a final gateway the appraisee will pass through the gateway and their pay will be uplifted accordingly. Either immediately before or at the time of returning to work it is essential that a supportive interview is conducted in light of Occupational Health advice as to the timescale for undertaking the KSF gateway review. In instances where: The individual is confident that they are performing to the required KSF level the gateway review can be held as soon as practical. In instances where the individual does not feel ready and/or able to perform to the required standard a KSF review should take place to identify what support and/or development they require to assist them in achieving their competence. In these circumstance, despite the pay increment being made, the individual must be given a reasonable length of time to reach the required standard which does not place them under undue stress or pressure. These reviews must be treated with the utmost sensitivity and support in order to aid the appraisee as opposed to pressurise them. This will be applicable irrespective of whether the individual is returning to full time work immediately or over a staged period of time. If, prior to the absence, the member of staff is being actively performance managed and there are clear concerns that the KSF Outline may not be achieved, the pay increase may be withheld. Page 10 of 12

11 7. MONITORING OF GATEWAYS 7.1 National Reviews SHAs will be responsible for the implementation of a national framework, which is currently being agreed by the NHS Staff Council to ensure that consistent information will be collected on: the use of the KSF and development reviews; the provision of support for training/development (including funding and protected time); the progression of staff through pay band gateways. Information will be gathered locally, enabling analysis by occupational group, age, pay band, ethnicity, disability, gender including both full-time and part-time staff. Employers and staff side representatives, in partnership, will use the results of the monitoring exercise to ensure best practice is being followed. The information is also used by the NHS Staff Council to ensure the equity of the system and provide support to employers and local staff representatives. 7.2 Local Reviews Information gathered in the process above will also be used locally to monitor the effectiveness of the process and identify and improve any problems arising. Where common problems arise for a group of staff in an organisation, the employer and staff representatives, working in partnership, should review the problem in order to try to identify a common solution which can be applied to as many of the cases as possible. Where the issue appears to have implications beyond the organisation concerned, and, in particular, where the issue is the interpretation of the National Agreement, the matter should be referred to the NHS Staff Council and may be so referred at the request of either party. The results of a review and the reasons for them will be made available to all those concerned. Where a matter has been dealt with by review, and remedial action instituted, no further right of appeal will exist, unless the staff member concerned can show a material difference in their case which was not considered by the review. 8 MONITORING AND REVIEW This policy is subject to joint review and shall be reviewed by the Joint Negotiating and Consultative Committee upon request. Page 11 of 12

12 APPENDIX A TYPICAL QUESTIONS What if.? a member of staff has developed extra skills which are not required in that post? The second gateway focuses on the NHS KSF outline for the specific post in which the person is employed and the pay band on which that post is placed. Additional skills above that required of the post will not mean the individual will receive enhanced pay. It is possible however that the job may need to be re-evaluated it if has changed significantly. But if not, the individual will have a record for career development purposes of their additional skills. an appraisee has not yet provided sufficient evidence of applying their knowledge and skills against the demands of the post as detailed in the relevant NHS KSF post outline? If there is a joint decision that the individual has not yet provided sufficient evidence because s/he needs to undertake further development, the reasons for deferral should be clearly identified together with those aspects of the NHS KSF outline still to be achieved. A date for reviewing this position should be set. Once there is agreement that the individual can meet the NHS KSF post outline then pay progression resumes from that date. an individual has been unable to develop and apply the knowledge and skills required in the NHS KSF post outline due to organisational issues? If there is a decision that the individual has not yet provided sufficient evidence because the organisation has not been able to meet its responsibilities for supporting development, then such development should be arranged as soon as is possible. The individual will automatically progress through the gateway. This situation, like others, should be clearly recorded. the NHS KSF post outline has been modified in response to an individual s disability to be consistent with the requirements of the Disability Discrimination Act? This should have been agreed in partnership within the organisation and the modified outline at the foundation and second gateway should be used for this individual. the organisation wishes to restrict the number of individuals who can progress through a gateway at any one time? Organisations are not allowed to do this and it is fundamentally against the letter and the spirit of the National Agreement. Organisations will be monitored to ensure that all staff have the opportunity to progress through gateways at the time they should. there is a disciplinary problem? Page 12 of 12

13 Disciplinary problems must be dealt with separately from the KSF and the development review process. The Terms and Conditions handbook states the exceptional grounds for deferral of pay progression. The Capability Procedure should be used to address performance issues. a member of staff moves to another job in the NHS? If individuals move to another post on the same pay band then they will be expected to apply the necessary knowledge and skills for that post as described in the NHS KSF post outline. A foundation gateway will not be applicable as the person is within the same pay band. If the individual moves to another post in a different pay band then a foundation gateway for that post will apply after 12 months in post. an individual agrees to retrain or re-locate due to a capability issue? If an individual is re-located due to a capability issue progression through the pay band for new role would be under the normal KSF Development Review Process. a member of staff has passed successfully through their final gateway and their performance begins to drop? Staff must continue to develop and perform to the standards of the KSF outline even though they have passed through the final gateway. Any drop in performance should be dealt with in line with the Capability Procedure. an appraisee does not feel they have been given a fair appraisal or offered fair opportunities to develop? It is the appraiser and appraisee s joint responsibility to ensure that creative ways are identified to meet the needs of the individual against their KSF outline and that this is recorded on the personal development plan. If a appraisee feels that they have been treated unfairly they should refer to the appeals procedure and ultimately the Grievance Procedure. a member of staff has taken maternity leave before their foundation gateway and when they return to work they are unable to achieve the foundation gateway? Staff taking maternity leave will receive their foundation increment whilst they are on maternity leave. When they return to work they will be given a pro rata period of time to achieve their Subset. See para. 7.1 of the. If, after this pro rata period of time has elapsed they are unable to fulfil the requirements of the sub-set then the Disciplinary Policy should be referred to. The pay increment cannot be withheld or withdrawn under these circumstances. Page 13 of 12