Policy for Pay Progression Using Gateways

Policy for Pay Progression Using Gateways Policy HR 18 January 2008

Document Management Title of document Policy for Pay Progression Using Gateways Type of document Policy HR 18 Description This policy will impact on all staff employed under the Agenda 4 Change terms and conditions and will support their pay progression Target audience All staff Author Department Directorate Sandra Wright Training Corporate Services & HR Approved by Governance Committee Date of approval 3 March 2008 Version Number 2 Next review date 31 March 2010 Related documents Superseded documents Version 1.2 Internal distribution External distribution Availability Contact details (of main contact for this document) All staff n/a All ratified policies, strategies, procedures and protocols are published on the Trust Intranet and Public Website. Name: Sandra Wright Addres s: Room 248 Tel: 01604 615329 E-mail: sandra.wright@northants.nhs.uk HR 18 Policy for Pay Progression Using Gateways Page 2 of 20

This policy has been produced in consultation with staff and staff side representatives and has been approved by the Joint Consultative and Negotiating Committee (JCNC). The policy will be applied fairly and consistently and those responsible for its implementation towards individual staff or groups of staff will ensure that their behaviour and actions are non-discriminatory and are in line with the Dignity and Respect and the Elimination of Harassment, Bullying and/or Discrimination at Work Policy. As part of our Equality & Diversity Scheme, Northamptonshire Teaching Primary Care Trust (NtPCT) will have due regard for the need to eliminate unlawful racial discrimination and promote equal opportunities where there is potential discrimination from age, gender, sexual orientation, disability, ethnicity, religion and belief. HR 18 Policy for Pay Progression Using Gateways Page 3 of 20

Contents 1. Development Review Process 5 2. Gateways 5 3. Responsibilities 7 4. Pay Progression 9 5. Exceptional Grounds for Deferral of Pay Progression 12 6. Local Appeals Procedures 13 7. Monitoring 14 8. Integration with Other Trust Policies 15 Appendix 1 Flowchart for Pay Progression using Gateways Process 16 Appendix 2 Policy Impact Assessment 19 HR 18 Policy for Pay Progression Using Gateways Page 4 of 20

It should be noted that Doctors, Dentists and some Senior Directors are not employed under Agenda for Change terms and conditions therefore they will not be required to develop a Knowledge and Skills Framework (KSF) outline, progress through the Gateway process, or complete any of the KSF related appraisal paperwork. There is still a requirement for these individuals to undertake a Personal Development Review and complete relevant paperwork. 1. DEVELOPMENT REVIEW PROCESS 1.1 All staff who are employed under the Agenda for Change Terms and Conditions will have annual development reviews in line with the NHS Knowledge and Skills Framework (KSF), which will result in the production of a Personal Development Plan (PDP). Similar to current practice, development reviews will take place between an employee and their manager/senior team member or, where appropriate, their supervisor, a professional adviser or another appropriately trained senior team member. Management and staff representatives locally should jointly agree personal Development Review (PDR) procedures. 1.2 This policy should be considered in conjunction with the policies for Appraisal & Personal Development Policy incorporating The Knowledge & Skills Framework, Grievance Policy & Procedure, The National Agreement for Agenda for Change, Sickness Absence Management Policy and the Performance Management Policy. 2. GATEWAYS 2.1 Gateways are points on a pay band where assessment of the application of knowledge and skills necessary to progress will be made. There are two gateway points: the foundation gateway and the second gateway. 2.2 In most years pay progression will take the form of an annual increase in pay from one pay point within a pay band to the next as there is a normal expectation of progression. At defined points in a pay band known as gateways decisions are made about pay progression as well as development. 2.3 There are two gateways in each of the nine pay bands: HR 18 Policy for Pay Progression Using Gateways Page 5 of 20

2.4 The foundation gateway this takes place no later than twelve months after an individual is appointed to a payband regardless of the pay point to which the individual is appointed. (Staff newly appointed above the level of the second gateway will be considered against the full outline competences). The purpose of the foundation gateway is to check that individuals can meet the basic demands of their post on that payband the foundation gateway review is based on a subset of the full NHS KSF outline for a post. Its focus is the knowledge and skills that need to be applied from the outset in a post coupled with the provision of planned development in the foundation period of up to 12 months. 2.5 The second gateway this is set at a fixed point towards the top of a payband as set out in the National Agreement. 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 2.6 The purpose of the second gateway is to confirm that individuals are applying their knowledge and skills to consistently meet the full demands of their post as set out in the full NHS KSF outline for that 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 required to meet the NHS KSF outline for that post. There is an expectation that individuals will progress through the pay-points on a payband by applying the necessary knowledge and skills to the demands of the post. It is only at gateways, or if concerns have been raised about significant weaknesses (See Section 5 for further information) in undertaking the current role, that the outcome of a review might lead to deferment of pay progression. There is a normal expectation of progression through each incremental point on the pay scale irrespective of whether the incremental point falls on a gateway or not. HR 18 Policy for Pay Progression Using Gateways Page 6 of 20

2.7 Review of individuals at the gateways is based on using the dimensions and levels of the NHS KSF that are relevant to that post. The national Agreement specifies that it is the NHS KSF, and it alone, that forms the basis of the second gateway. Qualifications and other competences, for example, may be used as evidence towards the achievement of the dimensions if this is agreed and applicable but they cannot replace the NHS KSF. 2.8 The whole system is based on the principle of NO SURPRISES if there are difficulties with individuals developing towards the full NHS KSF outline for the post, or there are disciplinary issues, these must have been addressed by reviewers before the gateway reviews. This mirrors good management practice and should be no different from good appraisal practice as it currently exists. It is expected that in the first year of employment each member of staff will have at a minimum two documented meetings with their appraiser, to ensure that objectives are set, that reflect the relevant outline for the post, and that objectives are on target to be met. 3. RESPONSIBILITIES 3.1 Managers have the responsibility for ensuring that: 3.1.1 Each member of their staff has a Performance Development Review (PDR) and informal reviews in line with this document and that Personal Development Plans (PDP) are produced with their staff. 3.1.2. Annual Personal Development Plans exist for each member of staff and that the information contained in these individual PDPs is used in formulating the PCT training plan. Personal Development Plans reflect service objectives and staff fully understand the nature of these service objectives. 3.1.3. The member of staff is given the opportunity to undertake activities identified on the PDP. 3.1.4. Individuals are given the opportunity to apply their learning in the workplace. 3.1.5. Protected time and space is set aside for the appraisal review and planning stages 3.1.6 They are fully prepared for the process including having the right materials available at he time such as the NHS KSF outline for the post and the gateway. HR 18 Policy for Pay Progression Using Gateways Page 7 of 20

3.1.7 There is an agreement with the employee about the level and type of evidence that the employee is required to produce in order to demonstrate competence within the role. This must be in line with the level of the role and the agreed applications of evidence within the KSF outline 3.1.8 The manager will review the individual s work against the KSF outline for the post using the evidence provided and working knowledge of the individual s performance 3.1.9 They will agree the time, location and venue of the review with the individual 3.1.10 Liaise with HR at any point where there is an issue that could effect pay progression to ensure the correct HR policies are utilised in a timely manner. The meeting of these responsibilities is primary evidence for the managers own PDR under the Dimensions: Core Dimension - Personal and People Development G6 People Management G7 capacity & Capability As these are core management dimensions, any manager failing to conduct PDRs will be unable to demonstrate competency within these dimensions, with the associated consequences. 3.2 Individuals have a responsibility to: 3.2.1 To gather evidence to prove competence in line with the KSF outline. 3.2.2 Attend activities identified in their PDP, where resource has been made available to do so. If resources are not available i.e. training/time this will not cause staff to be penalised. 3.2.3 Produce the PDP utilising e-ksf where possible. 3.2.4 Set aside protected time and space for the review and planning stages and work alongside management to ensure that adherence to the process for ensuring review meetings occurs. 3.2.5 Ensure that they are fully prepared for the process. HR 18 Policy for Pay Progression Using Gateways Page 8 of 20

3.3 The Organisation has a responsibility to: 3.3.1 Ensure that individuals conducting PDR are appropriately trained to do so. 3.3.2 Ensure that all staff are being given equal access to PDR. 3.3.3 Provide managers with the approved documentation for pay progression as provided within The NHS Knowledge and Skills Framework (NHS KSF) and the Development Review Process October 2004. 3.3.4 Meet it s statutory obligations by ensuring staff are fit for practice. 4. PAY PROGRESSION 4.1 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 manager (or the person acting as their reviewer) 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 discussion should commence no later than one month prior to the gateway. 4.2 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. 4.3 Once progression has been agreed, a member of staff will normally progress to the next point on their pay band twelve months after appointment and to subsequent points every twelve months thereafter subject to meeting the criteria for progression when they pass through the second gateway point. Therefore appraisal timescales will be matched to individual members of staff as dictated by the staff members pay incremental date. 4.4 Before moving through the second gateway, there will be an assessment as part of the process of development review, against the full KSF outline for the post. Staff will normally expect to move through the second gateway at this point, but subject to the safeguards set out in paragraph 4.7 progression may be deferred if the review indicates that they are not yet applying the full range of Knowledge and Skills required for the post. Once it is evidenced that the full range of Knowledge and Skills has HR 18 Policy for Pay Progression Using Gateways Page 9 of 20

been met the staff member will progress through the gateway incremental point with pay backdated to the date of the review with the manager at which the outline achievement is confirmed. This means that the incremental date is NOT backdated as during this period the employee was not demonstrating the skills required for their post. This will not affect their incremental date. If the employee disagrees with the process or the final outcome of the decision then a review may be requested the NtPCT Local Appeals procedure (section 6 below), and the NtPCT performance procedures should be considered. It would be considered unreasonable for a manager to hold an employee at a gateway point and then not to meet with them to review progress for more than three months. 4.5 The gateway system will become fully operational when an employer has put in place reasonable arrangements to ensure that staff has access to development reviews, personal development plans and appropriate support for training and development to meet the applied knowledge and skills required at the gateway concerned. 4.6 Existing staff with at least twelve months experience in post will be assumed to have met the criteria for passing through the foundation gateway. Where the gateway system is operational, they will however be subject to the normal operation of the new system at the second gateway. This will include meeting competencies assessed through the appraisal process. 4.7 The following safeguards will also apply: 4.7.1 There will be a normal expectation of progression and no national or local quotas will apply. All staff must have an equal opportunity to demonstrate the required standard of knowledge and skills to progress through the gateways and pay points. 4.7.2 The applied skills and knowledge required at the foundation and second gateways should be clearly stated during recruitment 4.7.3 The KSF outlines may be changed subsequently by local agreement within the work area concerned where changes apply to a number of posts, or with the individual where they apply only to a single post. The outlines may also be changed where that is necessary to reflect a change in professional standards as agreed by the relevant professional body or authority 4.7.4 The demonstration of knowledge and skills must be that used within each dimension, level and indicators in the KSF. HR 18 Policy for Pay Progression Using Gateways Page 10 of 20

4.7.5 Employers must ensure there is a robust jointly agreed process for checking managers' decisions and reviewing disagreements with an agreed timescale for re-review. 4.7.6 Pay progression cannot be deferred unless there has been prior recorded discussion between the individual and the person undertaking their review. This discussion should include the knowledge and skills that the individual needs to develop and apply, and the support mechanism and opportunity put in place to achieve this development. (See Policy and Procedure for Unsatisfactory Work Performance) 4.7.7 Employers 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, membership, or pattern of employment e.g. parttime, flexible and night workers. 4.8 If incremental progression is to be deferred operational managers must notify Human Resources in writing, providing reasons in order for Human Resources to notify payroll and postpone incremental progression. A Salaries and Wages form will have to be completed, stating reasons for deferment of incremental increase. 4.9 The gateway review should take place in time for staff to progress on their normal incremental date. Managers and staff should therefore ensure that they are aware of individual incremental dates and plan accordingly. 4.10 Guidance in respect of the effect of maternity leave, parental leave and adoption leave on meeting PDPs and progress through the KSF gateways: Each case should be considered individually as, for example, some staff will already have achieved the requirements of the second gateway, even before they are due to pass through it. It is also possible, in the case of pregnancy, for manager and employee to agree to conduct a gateway review ahead of any leave actually being taken, as this is often known and predictable. Thus the individual could proceed through the gateway whilst actually on leave, provided that the required level of competency had been established in advance. Either party might take responsibility to think ahead in this way, and the precise procedure could be agreed and written up into local policies. 4.11 Should an individual be on long term leave due to sickness at the time of a gateway review their incremental point shall be with held until they HR 18 Policy for Pay Progression Using Gateways Page 11 of 20

return to work at their normal hours. A gateway review should be arranged as soon after their return to work as possible. If it is agreed at this review that an individual has achieved the requirements of the KSF outline, the incremental point will be awarded and backdated to the individuals incremental date. If the individual is unable to demonstrate the requirements of the KSF outline a personal development plan will be put in place to support the development of the required skills. The incremental point will be awarded when the individual and line manager are in agreement that competence has been demonstrated in line with the KSF outline. 4.12 Staff joining pay band 5 who are subject to a preceptorship year will have two development reviews within the first 12 months of employment. 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 an incremental point. After 12 months the second development review will form the Foundation Gateway. When they pass through this gateway, they will move up to the next point on the pay band ie. an accelerated progression through the first two points in pay band 5. 5. EXCEPTIONAL GROUNDS FOR DEFERRAL OF PAY PROGRESSION 5.1 Where significant weaknesses in performance in the current post have been identified and discussed and documented with the staff member concerned and have not been resolved despite opportunities for appropriate training/development and support, exceptionally pay progression may be deferred at any pay point until the problems are resolved. 5.2 Significant weaknesses have been defined within the Agenda for Change NHS Terms and conditions of service handbook (January 2005, 6.26) weakness in performance in the current post have been identified, discussed and documented with the staff member concerned and have not been resolved despite opportunities for appropriate training/development and support. HR 18 Policy for Pay Progression Using Gateways Page 12 of 20

5.3 Significant weaknesses are, therefore, those which prevent a staff member from continuing to apply consistently, across a recognised normal workload, the knowledge and skills specified under the KSF foundation post outline for the foundation gateway or, for staff above the second gateway, the full range of knowledge and skills specified under the full KSF post outline, without continued supervision and support inappropriate to the post. 5.4 If an employee feels that their manager has acted unfairly or unreasonably, in holding their incremental progression at a gateway point then they can appeal using the Trust Grievance Policy and Procedure. If following this appeal the manager was found to have acted unreasonably in withholding the employees increment the progression will be backdated. 6. LOCAL APPEALS PROCEDURES 6.1 Disagreements may arise at a number of stages during this process. The reviewer should make every effort to come to an agreement with the employee about their assessment of their current competence and the required development plan. 6.2 If the individual member of staff and their reviewer cannot agree, either one initially has the right to seek support on an informal local basis from a third party, such as the line manager of the reviewer, their human resources or staff development advisor, or a trade union representative. This third person should, where possible, be agreed by both the member of staff and the reviewer. 6.3 This third person may seek further information from either the reviewer and/or the individual member of staff. They will look at the information from both and come to an objective decision. 6.4 If during the informal stage it is agreed, after having considered the issues that the matter can be resolved without recourse to the appeal procedure then the reviewer should confirm the agreement in writing. This agreement may include a recommendation that the case should be linked with a number of similar cases and dealt with by local review rather than by individual appeal. 6.5 The informal review should establish in particular whether: 6.5.1 The issue of concern is not based on incorrect information, 6.5.2 The issue of concern is not based solely on opposition to the clear terms of the agreement, HR 18 Policy for Pay Progression Using Gateways Page 13 of 20

6.5.3 The issue of concern has already been determined (or is already under consideration) either by the NHS Staff Council, or on local review or in a preceding appeal in similar circumstances, 6.5.3 Reasonable attempts have been made to first resolve the issue without recourse to an appeal. 6.6 If the informal process cannot address the problem, then the individual member of staff can take their case through the NtPCT Grievance Policy and Procedure. 6.7 Appeals may not be lodged more than six months after the employee was notified or could otherwise have reasonably been expected to be aware of the decision giving rise to the appeal. 6.8 Where an appeal proceeds it should commence with a statement in writing from the appellant. 6.9 The decision of the local appeal procedure is final and there will be no further levels of appeal. 6.10 The local appeal panel may need to consult the NHS Staff Council on the interpretation of this agreement before reaching a decision, and should do so where an issue of interpretation is material to the case and has not already been clarified by the Council. 6.11 If pay has been withheld, then if the individual's case is upheld pay will be back-dated to the point at which pay progression should have occurred. 7. MONITORING 7.1 A national framework will be agreed by the NHS Staff Council for national roll out, supported by the learning gathered during early implementation, to ensure that consistent information will be collected on the progression of staff through payband gateways. 7.2 This information will be gathered locally via the ESR route in such a way as to enable analysis by occupational group, age, pay band, ethnicity, disability and gender including both full-time and part-time staff and to ensure consistency and equality. 7.3 Employers and staff representatives, in partnership, will use the results of the monitoring exercise to ensure best practice is being followed. The information will also be used by the NHS Staff Council to ensure equity of the system and provide support to employers and local staff representatives. HR 18 Policy for Pay Progression Using Gateways Page 14 of 20

8. Integration with Other Trust Policies This policy links with the following Trust policies and procedures Grievance Policy and Procedure Appraisal & Personal Development Policy incorporating The NHS Knowledge & Skills Framework Sickness Absence Management Policy HR 18 Policy for Pay Progression Using Gateways Page 15 of 20

Appendix 1 Flowchart for Pay Progression using Gateways process Line Manager / appraiser role Staff member / appraisee role Ensure staff member has a current job description, copies of outcomes of the previous years review & KSF outline Record and collect evidence of achievement of objectives, of activities linked to their PDP competence in line with KSF outline Agree 6 months in advance if appraisal is a Gateway Appraisal. NB: Gateway Appraisal must be held 8 weeks before incremental date. If it is a gateway review, a documented discussion should be held to ensure the individual is being supported to fulfil the expectations of the full or foundation outline (which ever is the appropriate) Agree 6 months in advance if appraisal is a Gateway Appraisal. NB: Gateway Appraisal must be held 8 weeks before incremental date. If it is a gateway review, a documented discussion should be held to ensure the individual is being supported to fulfil the expectations of the full or foundation outline (which ever is the appropriate) Set date for Annual Appraisal and Personal Development Review meeting. Agreement is recorded that there sufficient evidence for the Appraisal to take place and the appraisee will proceed through appropriate gateway. If appraisee is unable to provide sufficient evidence a personal development plan will be put in place to support the development of required skills. If issues are related to underperformance need to use performance management process. Supported by Line Manager and personal development plan collect evidence of achievement to allow progression through appropriate gateway. HR 18 Policy for Pay Progression Using Gateways Page 16 of 20

Appraisal Procedure as per policy. Complete paperwork and Personal Development Plan. Copies of all forms to be kept by staff member and line manager in personal file. Complete Part F and send a copy to the Training Department. Input Appraisal result into the e-ksf electronic tool. Set review date(s) as required e.g. due to deferral at gateway. Set date for review meeting for assessment and evaluation of required evidence to allow appraisee to proceed through appropriate gateway. Continue with annual appraisal process. HR 18 Policy for Pay Progression Using Gateways Page 17 of 20

Appendix 2 Policy Impact Assessment Screening Tool Name of Directorate Corporate Services & HR Date of Assessment: January 2008 Policy being assessed Pay Progression using Gateways Assessment Carried out by Sandra Wright, Training Manager Policy Title Who is affected Statutory requirements Full Assessment Needed Yes / No Priority High / Medium / Low Policy for Pay Progression Using Gateways All staff within Northamptonshire Teaching PCT Statutory requirements required. At operational level process requires ongoing review of employment practices and policy development to promote equality, avoid discrimination and fully recognise the diverse needs circumstances and concerns of the people affected by HR Policy and Practice Yes. This is based on the potential impact that any gateway review may have on the individual if not treated in accordance with the Race Relations Amendment Act (2000) and the Equality & Diversity process. High HR 18 Policy for Pay Progression Using Gateways Page 18 of 20

Policy Impact Assessment Full Assessment Tool Name of Directorate Corporate Services & HR Date of Assessment: January 2008 Policy being assessed: Pay Progression using Gateways Assessment Carried out by: Sandra Wright, Training Manager 1. What consultation process will be undertaken? 2. Where will records of this consultation be kept? Discussed and amended through the KSF Lead for the Trust. Policy disseminated and discussed through JCNC Minutes of the JCNC meetings will record discussions 1. What existing monitoring arrangements are in place? 2. Are these sufficient? 3. Are any additional arrangements required 1. How will the results of the assessment be published? Six monthly review as requested by JCNC. Yes No Intranet/Internet which will allow both staff and public access HR 18 Policy for Pay Progression Using Gateways Page 19 of 20

Policy aims and outcomes Evidence for assessment Difference in Outcomes Assessing Impact Proposed action 1. To ensure the integrity of the KSF gateway system 2. To minimize the risks to the organisation when gateway reviews are undertaken 3. To support managers in the implementation of the gateway system 4. To ensure equity for staff throughout the gateway procedure 1. There is little evidence available at the current time to assess effectively, as the process is new. 2. The specific employment duties of the Race Discrimination Act and the Equality & Diversity process monitors HR data on an annual basis to assess if there are circumstances of potential discrimination. 1. There is no evidence available at the current time 1. The impact of discriminatory practice whilst implementing Agenda for Change processes would have an adverse impact on staff morale, relationships with managers, and would affect service delivery. 1. Effective data collection through HR procedures to inform uptake of gateway procedures 2. Training and education for staff and managers alike to ensure an understanding of KSF procedures 3. Investigate any reports of discriminatory practice by managers, colleagues or staff who are responsible for the implementation of the gateway reviews for staff HR 18 Policy for Pay Progression Using Gateways Page 20 of 20