Induction, Development and Probationary

Induction, Development and Probationary Document Owner East and North Herts CCG Document Author Anne Ephgrave HR Business Manager Version FINAL Directorate Human Resources Authorised By Date of Approval Date of Review (Approval body/manager) Executive Team September 2013 September 2015 Change History Version Date Name Revision Description 0.1 Draft August 2013 Anne Ephgrave 0.2 August 2013 Anne Ephgrave 1.0 December 2013 Jennie McCollin Quality Assurance Page 1 of 17

Contents Section No. Section Name Page No. Executive Summary 4 1. Introduction 5 2. 3. Principles The Procedure 3.2 Milestone Review Meetings 3.6 1 ST Milestone Review 3.10 2 nd Milestone Review 5 7 7 8 8 4. Confirmation of Employment in established post 9 5. Terminating the Contract 9 6. Extending the Probationary Period 10 Appendix A Appendix B Appendix C Appendix D Appendix E Appendix F Appendix G Appendix H Milestone Review Meeting Letter Milestone Review Meeting Form Confirmation in Post Letter Termination of Contract Letter Extension of Probationary Period Letter Appeals Process Equality Impact Assessment Stage 1 Screening Privacy Impact Assessment Stage 1 Screening 11 12 13 14 15 16 17 18 Page 2 of 17

Executive Summary East and North Hertfordshire Clinical Commissioning Group (hereafter referred to as the CCG) is committed to providing an effective, productive and supportive work environment. It is committed to supporting and developing all employees with additional support for all new employees to the organisation. The purpose of a probationary period, together with other measures such as induction, is to provide a consistent means by which new employees can be supported to become effective as quickly as possible and to enable a manager to objectively assess the capability, attitude and potential of the new employee. This policy is part of the induction programme that the CCG undertake for all new employees. Should the required standards of the CCG not be met during the probationary period, employment may either be terminated or in exceptional circumstances extended. A review of this policy and procedure has taken place in order to keep pace with present legislation, reflect NHS Agenda for Change requirements and best employment practice, and to produce a comprehensive policy that is both fair and consistent with other employment policies. Most specific requirements arising from employees religious, ethnicity and/or cultural needs can be accommodated within this policy and procedure. The CCG can provide training for all managers and employees involved in implementing and applying this policy and procedure where required. Page 3 of 17

1. Introduction The initial period of service is a time in which new employees settle into their jobs by learning about the specific duties of the post and using their skills and competencies to learn to undertake those duties satisfactorily. This procedure in conjunction with the induction procedure is designed to facilitate this process in order to enable new employees to meet the standards required for successful completion of the probationary period in terms of performance, conduct and attendance. 2. Principles The main objectives of the probationary period are: to give assistance and encouragement in adapting to the new job (e.g. duties, responsibilities, working environment, targets, standards required); to take necessary supportive action at the earliest opportunity if the required standards of performance, conduct and attendance are not being achieved and to give a clear indication to the employee as to what support and guidance will be provided to enable the employee to meet the standards; To identify employees who do not meet the required standards after managers have exhausted all reasonable and practicable remedial action (e.g. closer supervision, training, counselling etc.), by applying fair and efficient procedures. By the end of the probationary period, the employee must demonstrate they have met the required standards. 2.1 The CCG has the right to terminate the contract of an employee at any time during the probationary period. Staff whose contracts are terminated during the probationary period will be entitled to notice. Employees with a 6-month probationary period in their contract will be entitled to 1 months notice and those with a probationary period of 3 months or less will be entitled to 1 weeks notice, which will normally be paid in lieu. During the probationary period the normal notice periods of an employees contract will not apply. (See below) Page 4 of 17

Band Notice Period 1 4 1 month 5 7 2 months 8a 8d 3 months 9 6 months. On successful completion of the probation period then the contractual notice periods as outlined in the individual s contract of employment will come into force. 2.2 The following CCG policies will not apply during the probationary period; Disciplinary Procedure, Absence Management Policy and Capability Policy. This does not affect any statutory rights. 2.3 The policy and procedure will be reviewed periodically by Human Resources and Trade Union(s) giving due consideration to legislative changes. 2.4 In accordance with the CCG s Equality and Diversity policy, this procedure will not discriminate, either directly or indirectly, on the grounds of gender, race, colour, ethnic or national origin, sexual orientation, marital status, religion or belief, age, trade union membership, disability, offending background or any other personal characteristic. 2.5 The length of probation periods for permanent positions will usually be as outlined below however the CCG reserves the right to vary the length of the probation period where appropriate. Details of the probation period will be outlined in both the appointment letter, and Contract of Employment. Pay Band Length of Probation 1-3 3 months 4 and above 6 months 2.6 Probationary periods will apply to all new entrants and re-entrants to the CCG but will not apply to internal appointments. 2.7 Where an employee is appointed on a fixed-term basis, the probationary period will be as follows: Length of FTC Length of Probation Period 6 months or less 1 month Over 6 months and under 12 months 3 months 12 months or more See 2.5 above Page 5 of 17

3. The Procedure 3.1 For those staff employed on contracts with a 1-month probationary period, weekly reviews will be held. 3.1.1 For those staff employed on contracts with a 3-month probationary period, bi-weekly reviews will be held during the initial 12-week period, with the exception of weeks 6 and 12 (or earlier see point 3.2). 3.1.2 For those staff employed on contracts with a 6-month probationary period, regular reviews should be held on not less than a monthly basis. Topics to be discussed at the meeting will include: Review of review of actual performance including statistical information where appropriate, i.e. accuracy and output; methods of improving this performance, i.e. training, coaching, mentoring etc.; any problem areas, including corrective action; any issues regarding attendance and conduct; performance targets will be set. 3.1.3 It is the responsibility of the employee and the Manager to contribute to these meetings. 3.1.4 Written notes will be taken, agreed and signed by the employee and manager and added to personal files from all 1:1 meetings. Milestone Review Meetings 3.2 The manager will provided clear objectives for the new employee, together with details of expected behaviours and performance in line and in keeping with the CCG s values and objectives. 3.3 There will be two Milestone Review Meetings during the probationary period except where the probationary period is of one month when there will be one Milestone Review Meeting, during week 4. This meeting will be conducted in line with the Second Milestone Review Meeting (see point 3.9 below). For those staff employed on contracts with a 3-month probationary period, these meetings should take place during weeks 6 and 12. For those staff employed on contracts with a 6-month probationary period these meetings should take place after 3 and 5 months. However either meeting may be brought forward by management if necessary. These review meetings will take place with the Line Manager who may be accompanied at this meeting by another manager, HR representative or more senior manager. Page 6 of 17

Any regular 1:1 meeting that is due at the same time as a Milestone review meeting, will automatically be considered as the Milestone meeting. 3.4 It is the managers responsibility to ensure that the employee is given 2 working days notice of the meeting in writing. The letter will also include information about the content of the meeting, if appropriate, and the employee will be invited to bring to that meeting any issues that they wish to raise (Appendix A). 3.5 Employees are entitled to be accompanied by a Trade Union Representative or work colleague at either or both of the Milestone Review Meetings. These review meetings will build upon the regular one to one meetings between the employee and Manager, therefore it is expected that any discussions at the review meetings will hold no surprises for either parties. First Milestone Review Meeting 3.6 Job performance, including attendance and conduct issues, and progress towards standards will be closely reviewed and managers will seek to establish whether the employee is making satisfactory progress in assuming the responsibilities of the job. Employees will be made aware of progress made, of any discrepancy between actual and expected performance and what improvement is expected. Standards, target/review dates and areas for improvement will be agreed, and where necessary the training plan will be amended. If necessary, employees should be advised that failure to improve performance within the required time scale will result in dismissal. 3.7 Employees will be given the opportunity to discuss openly any difficulties they are experiencing, either on a work or personal level. Managers will offer advice, support and counselling where appropriate. 3.8 Managers should use Milestone Review Meeting form (Appendix B) to keep a written confidential record of each meeting. The managers and employee should all have their comments recorded. The employee should receive a copy of this form. 3.9 This first meeting is also an ideal opportunity for managers to praise the individual s progress - it is important to stress the positive aspects as much as possible throughout the interview. 3.10 This first meeting is also the opportunity for the employee to raise any further issues that have not been addressed during the 1:1 meetings. Page 7 of 17

Second Milestone Review Meeting 3.10 This meeting will again discuss job performance and, if the employee s performance is satisfactory in all respects, the manager should communicate this fact. Any shortfalls in performance will have been highlighted before now and there should be no surprises at this review meeting. 3.11 This meeting will be another opportunity for the employee to express any further concerns that have not been addressed following previous 1:1 or the first milestone review meeting. 3.12 This meeting will have one of three outcomes: Make arrangements for employee to be confirmed in the established post; Terminate the contract; (this must be discussed with HR before the decision to terminate is taken). Exceptionally, extend the probationary period.(this must be discussed with HR prior to the meeting) 4. Confirm Employee in Established Post If at the Second Milestone Review Meeting the employee s performance is satisfactory the manager will send a letter to the employee confirming them in the post. (Appendix C). 5 Terminating the Contract 5.1 Where termination of contract is a possible outcome, a manager who is authorised to dismiss must be present at the second review meeting. In certain circumstances the dismissing manager may also be the Line Manager and a second manager is not required. 5.2 Where the employee has failed to meet the required performance standards, and management have exhausted all reasonable and practical remedial action, the employee will be informed their contract of employment will be terminated. The employee will be paid in lieu of notice and for any untaken accrued annual leave entitlement. The employee will receive written confirmation of the decision along with the reasons. The employee will also be informed of their right to appeal against the decision (Appendix D). The appeal will be heard subsequent to the dismissal taking effect. Page 8 of 17

5.3 Appeals against termination must be lodged in writing to the Human Resource Manager within 10 working days of the receipt of the written notice of dismissal. 5.4 Appeals will be heard within five weeks of the receipt of the appeal but either party may, with the consent of the other and in exceptional circumstances, be entitled to extend this period. 5.5 The employee must be given at least 10 working days notice of the date of the appeal hearing and has the right to be accompanied by a Trade Union representative or work colleague. All paperwork will be issued to the employee and panel members two days prior to the appeal hearing. 5.6 The Appeals Procedure (Appendix F) must be followed. 5.7 The next manager in seniority to the manager who dismissed will normally hear appeals. The decision of the appeal panel is final. 6. Extend the Probationary Period 6.1 It may be appropriate to consider an extension to the probationary period to allow every opportunity for the employee to reach the required job performance. If this option is being considered, it should be discussed with your Human Resources Adviser prior to the employee being informed. It is likely that, other than in exceptional circumstances, the probationary period would not be extended for more than 1 month. 6.2 The extension should be confirmed in writing to the employee (Appendix E). Page 9 of 17

APPENDIX A Private & Confidential Name Postcode Dear MILESTONE REVIEW MEETING With reference to your current probationary period, you are required to attend a Milestone Review Meeting on (date time venue). The meeting will be conducted by (XXX, Manager) and XXX, will also be present. The purpose of the meeting is to discuss your progress in relation to performance and development in your role and will also be the opportunity for you to highlight any issues that you have in relation to your post. In line with the CCG Probation Policy, you are reminded that you may be accompanied by your union representative or a work colleague if you so wish. I look forward to seeing you at the time and date stated above. Yours sincerely (Manager) Page 10 of 17

APPENDIX B Milestone Review Meeting One / Two (delete as applicable) Review Date Areas Covered Comments of Manager Comments of Employee Action Agreed Signature Line Manager Employee Print Name Date Page 11 of 17

APPENDIX C Private & Confidential Name Postcode Dear CONFIRMATION IN POST Following our second milestone review meeting I am writing to confirm that you have now successfully completed your probationary period and are therefore confirmed into your post on a substantive basis. (or a fixed term basis) May I congratulate you and wish you every success in your new role. Yours sincerely (Manager) Page 12 of 17

APPENDIX D Private & Confidential Name Postcode Dear Termination of Contract Following the Milestone Review Meeting held on XXXX, I am writing to confirm the decision to terminate your contract with effect from the date of the hearing. This is due to a failure to meet the required standards of the post in terms of XXXX. You are entitled to receive 1 week/month (delete as appropriate) pay in lieu of notice. This will be paid at full pay together with payment for any untaken accrued annual leave. You have the right of appeal against this decision. If you wish to exercise this right, you should write to the, HR Manager, Charter House, Parkway, Welwyn Garden City, Herts. AL7 6JL, detailing the grounds of your appeal within 10 days of receipt of this letter. The Payroll Section will now make the necessary arrangements to pay any outstanding monies and will forward you the relevant documentation. Yours sincerely (Manager) Page 13 of 17

APPENDIX E Private & Confidential Name Postcode Dear EXTENSION OF PROBATIONARY PERIOD Following the Milestone Review Meeting held on XXXX, I am writing to confirm that your probationary period has been extended by 1 month to XXXX because of XXXX. Regular reviews will take place during the extension period to assess your progress and a further Milestone Review Meeting will take place on XXXX when a final decision on your continued employment will be made. Yours sincerely (Manager) Page 14 of 17

APPENDIX F APPEALS PROCEDURE Appeals will normally be heard by a more senior manager to the person who terminated the contract. All appeals will include a representative of the Human Resources Department, in an advisory capacity, wherever possible. The procedure for an appeal hearing is as follows: 1. The management side will present their case first, explaining the reasons for the action they have taken. 2. The employee side will then be able to ask any questions about the case management side have presented. 3. The manager hearing the appeal will also have an opportunity to ask any questions. 4. The employee side will then be asked to present their case to the manager. 5. The management side may then wish to ask the appellant any questions about their case. 6. The manager hearing the appeal will also have the opportunity to ask any questions. 7. There will then be an adjournment when both sides will be asked to leave the room while the manager hearing the appeal considers the information they have heard and reaches their decision. 8. The decision of the manager will be communicated to the both sides verbally, following the adjournment wherever possible, and in any case will be confirmed later in writing (again to each party), no later than 5 working days after the Appeal Hearing. Page 15 of 17

Appendix G Equality Impact Assessment Stage 1 Screening 1. Policy EIA Completion Details Title: Proposed Existing Date of Completion: Review Date: 2. Details of the Policy. Who is likely to be affected by this policy? Staff Patients Public 3. Impact on Groups with Protected Characteristics Probable impact on group? Age Being married or in a civil partnership Disability, inc. learning difficulties, physical disability, sensory impairment etc. Having just had a baby or being pregnant Race, ethnicity, nationality, language etc. Religion or belief Positive Adverse Names & Titles of staff involved in completing the EIA: Anne Ephgrave HR Business Manager None High, Medium or Low Please explain your answers Sex (inc. being a transsexual person) Sexual Orientation Other: No impact on any of the groups above. Please explain and provide evidence 4. Which equality legislative Act applies to the policy? Human Rights Act 1998 Equality Act 2010 Health & Safety Regulations Mental Health Act 1983 Mental Capacity Act 2005 5. How could the identified adverse effects be minimised or eradicated? 6. How is the effect of the policy on different Impact Groups going to be monitored? Page 16 of 17

Appendix H Privacy Impact Assessment Stage 1 Screening 1. Policy PIA Completion Details Title: Proposed Existing Date of Completion: Names & Titles of staff involved in completing the PIA: Review Date: 2. Details of the Policy. Who is likely to be affected by this policy? Staff Patients Public Yes No Please explain your answers Technology Does the policy apply new or additional information technologies that have the potential for privacy intrusion? (Example: use of smartcards) Identity By adhering to the policy content does it involve the use or re-use of existing identifiers, intrusive identification or authentication? (Example: digital signatures, presentation of identity documents, biometrics etc.) By adhering to the policy content is there a risk of denying anonymity and de-identification or converting previously anonymous or de-identified data into identifiable formats? Multiple Organisations Does the policy affect multiple organisations? (Example: joint working initiatives with other government departments or private sector organisations) Data By adhering to the policy is there likelihood that the data handling processes are changed? (Example: this would include a more intensive processing of data than that which was originally expected) If Yes to any of the above have the risks been assessed, can they be evidenced, has the policy content and its implications been understood and approved by the department? Page 17 of 17