08 Fall

PERFORMANCE AND

DEVELOPMENT POLICY (incorporating the former Capability

and New Employee Policies)

Version 2

Final

Lead HR Business Partner

Policy Review Alignment Group – 1 February 2017

2

Contents

PREFACE ........................................................................................................................... 3

1. PURPOSE ....................................................................................................................... 3

2. AIMS ............................................................................................................................... 3

3. DUTIES AND RESPONSIBILITIES ................................................................................ 4

4. SCOPE ............................................................................................................................ 5

5. RECRUITMENT AND SELECTION ................................................................................ 5

6. NEW EMPLOYEES AND INTERNAL POSITION MOVES ............................................. 6

7. INFORMAL PERFORMANCE MANAGEMENT ............................................................. 9

8. CAREER CONVERSATION ........................................................................................... 9

9. ASPIRE AND TALENT MANAGEMENT ...................................................................... 10

10.PERFORMANCE CONCERNS .................................................................................... 11

11. APPEALS …………………………………………………………………………………… 12

APPENDIX A :PROCEDURE FOR FORMAL PERFORMANCE AND PROBATION HEARINGS…………………………………………………………………………………….13

APPENDIX B: INDUCTION AND PROBATION CHECKLIST .......................................... 15

APPENDIX C: CONSIDERATION OF SUSPENSION/RESTRICTION OF PRACTICE PROCEDURE ............................................................................................................... 20

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Preface

South Western Ambulance Service NHS Foundation Trust is committed to providing a suite of employment policies designed to give staff a clear and consistent framework through which they are supported to carry out their roles and responsibilities safely and effectively. All policies are developed in consultation with Staff Side Representatives and are approved through the recognised Joint Negotiating and Consultative Committee and Directors group.

1. Purpose 1.1 South Western Ambulance Service NHS Foundation Trust is committed to providing

responses, treatment and care of high quality in emergency, urgent and routine situations. The Trust recognizes that education, training, supervision and clear standards are essential if all employees are to perform satisfactorily and possess the appropriate skills and qualifications relevant to the requirements of their post.

1.2 The Trust has a responsibility for setting realistic and measurable standards of

performance and for explaining these standards to employees. Individuals have a contractual responsibility to perform their role to a satisfactory level and should be given help and encouragement to do so.

2. Aims 2.1 Performance Management is a holistic process that ensures employees’ performance

contributes to business objectives. This means that performance management contributes to the effective management of individuals and teams in order to achieve high levels of organisational performance. 1

2.2 Individual performance is defined as an individual’s ability to successfully carry out the

requirements of the job through the application of a skill, aptitude, physical or mental quality and/or relevant qualification.

2.3 Performance management should be:

Strategic – it's about broad issues and long-term goals.

Integrated – it should link various aspects of the business, people management, individuals and teams.

2.4 Performance management should incorporate:

Performance improvement - throughout the organisation, in respect of individual, team and organisational effectiveness.

Development - unless there is continuous development of individuals and teams, performance will not improve.

Managing behaviour - ensuring that individuals are encouraged to behave in a way that allows and fosters better working relationships.

2.5 The success of providing high quality patient care depends on us all:

1 Chartered Institute of Personnel and Development (CIPD), www.cipd.co.uk

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having a clear understanding of our role and the part we play in our teams, station, department and within our organisation;

having an agreed set of priorities and objectives for our work;

possessing and applying the knowledge and skills we need to perform our role effectively and to achieve our objectives;

to demonstrate the right values and behaviours.

2.6 This policy provides a framework through which employee performance can be managed throughout their career journey in a fair and consistent manner.

2.7 This policy is not designed to address issues relating to:

Sickness and absence matters which are dealt with in separate policy documents;

Circumstances which imply that an employee has been deliberately negligent or has wilfully refused to work satisfactorily. Such conduct issues should be dealt with under the Trust’s Disciplinary Policy.

Trial periods under the Trust’s policy on organisational change.

Issues relating to ill health or substance misuse.

Performance or conduct concerns relating to doctors or dentists directly employed by the Trust. Such concerns will be managed under the national procedures for Maintaining High Professional Standards in the Modern NHS.

3. Duties and Responsibilities 3.1 Staff Commitment

To understand the organisations values and behaviours and the skills and knowledge required for your role

To understand your objectives and how they contribute to the Trust’s corporate objectives.

To take time to prepare for your career conversation, and complete the self-assessment form.

To actively participate in the discussion, and give examples of your performance.

To be honest about your development needs.

3.2 Line Manager’s Commitment

To understand the organisations values and behaviours and the skills and knowledge required within your Team.

To prepare for the conversation, read the self-assessment and make notes.

To make time for the discussion and arrange an appropriate quiet room for the conversation to take place.

To analyse performance fairly and consistently and make a final assessment of performance.

To give feedback and provide support for development needs.

To set SMART objectives that contributes to the overall Trust objectives.

To be aware of sources of support available, for example Aspire.

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4. Scope 4.1 The Trust has developed this policy to provide a framework within which all employees are

required to show by their performance that they are suitable for the post to which they have been appointed.

4.2 The Policy also confirms the preceptorship arrangements of newly qualified paramedics. 4.3 This Policy applies to all levels and types of employees including those joining the

organisation and existing staff who change roles internally. 4.4 It does not apply to non-employees such as bank staff, agency workers, volunteers or

contractors. 4.5 Staff transferring into SWASFT under TUPE will not be subject to the probationary

provisions within this policy but will instead be subject to the contractual policies under the terms of the transfer. Where a specified level of performance is required for example to meet a technical requirement for delivery of the service, “measures” may be specified under the TUPE arrangements to determine how this will be addressed.

4.6 Where staff require additional support and are covered by the Equality Act (2010), the

Trust will work with the individual to understand these needs and make reasonable adjustments where possible. Staff requiring additional support are encouraged to be open with their line manager regarding their needs at the earliest opportunity to allow for reasonable adjustments to be made.

5. Recruitment and Selection 5.1 The Trust’s Recruitment and Selection Policy enables managers within the Trust to recruit

staff within a corporate framework, outlining the processes that need to be followed in order to achieve this.

5.2 All managers must consider ongoing performance management throughout their

recruitment and selection as this will form the basis for management of new staff as well as ongoing performance management.

5.3 Managers should specifically consider what the purpose of the role is and the objectives

that the post holder will be expected to achieve. 5.4 Managers should also consider the Trust’s values and behaviours and ensure that these

are included in any recruitment and selection process. 5.5 The Trust’s Values are:

Working better together for patients;

Improving Lives;

Compassion;

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Respect and Dignity;

Commitment;

Everyone Counts.

5.6 The Trust’s Behaviours are:

Professionalism;

Compassion;

Integrity.

5.7 The Trust’s Leadership Behaviours are:

Strategic Thinking;

Corporacy;

Ownership.

5.8 Definitions of these values and behaviours can be found on the Trust’s intranet.

6. New Employees and Internal Position Moves 6.1 Probation 6.1.1 The period of probation for new employees and staff moving positions internally will

normally last for six months, and will not last more than 12 months. Newly qualified paramedics completing the six month period of preceptorship (in practice), will be referred to as preceptee(s). For the purpose of this policy, the term new employee will encompass both probationer and preceptee.

6.1.2 The Trust has a legal obligation to ensure that risks are minimised and that neither staff

nor organisation are unnecessarily exposed to hazardous situations that may result in harmful litigation, and both human and financial costs. This policy supports this obligation by providing all new starters with the knowledge and skills to ensure a safe and informed working environment.

6.1.3 The following steps should be taken in order to effectively manage an individual’s

probation period:

Week 1 – Local induction and familiarisation with role/department.

Month 1 – Setting objectives, discussing any support that may be required to achieve.

Month 3 – First stage at which probation can be signed off. If probation is to continue to 6 months, the individual and line manager must agree a supportive action plan. This plan must be sent to HR Services for recording on the employee’s p-file.

Month 6 – Final probation review to take place. Decision to be made whether the probation period is successful, unsuccessful or an extension granted (up to a maximum of 3 months, and only in exceptional circumstances). A letter must be written by the line manager to the employee to confirm this outcome with a copy sent to HR Services for retention on the employee’s p-file.

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6.1.4 For staff on training contracts, pay progression will only be implemented where probation

has been successfully achieved and signed off by the line manager.

6.1.5 Where a manager considers the probation to be unsuccessful or requiring extension, this must be discussed with the relevant HR Business Partner before a final decision is made.

6.1.6 Timescales provided are indicative and can be altered depending on specific factors relating to a role, for instance, formal training periods, supervised practice etc.

6.1.7 An induction and probation checklist can be found at Appendix B.

6.2 Failure to Meet Required Standards within Probation Period 6.2.1 In cases of significantly poor performance during the probation period, the manager should

ensure that a probation hearing takes place promptly. The hearing should take place and any decision implemented before the end the 6 month (or extended) probationary period.

6.2.2 Any notification that an employee is not meeting the required standards during their

standards before the end of the probation period may result in termination of employment. 6.2.3 If a formal case is to be considered, a manager of the appropriate seniority should conduct

the hearing. The list of appropriate chairs can be found in the Trust’s Disciplinary Policy. 6.2.4 At all stages of the formal procedure, the employee will have the right to be accompanied

by an ERA accredited union representative, or a fellow worker, not acting in a legal capacity. The employee is responsible for arranging the attendance of their representative.

6.2.5 5 calendar days’ notice must be given to a member of staff required to attend a formal probation hearing.

6.2.6 The purpose of the formal hearing will be to:

Examine the available evidence which indicates the failure to achieve the standards required.

Consider any explanation or mitigation put forward.

To consider all requirements for training and supervision, taking into account all circumstances of the case.

Decide what, if any, action is required.

6.2.7 The procedure for a formal hearing is outlined at Appendix A. 6.2.8 Possible outcomes of the formal probation hearing could be:

o An extension of the probation period (up to a maximum of 3 months);

o Written warning: failure to meet required standards - If the performance of the new employee is falling short of the required standard, the manager should inform the employee in writing of:

the areas still causing concern

the standard(s) to be met, and the assistance to be provided to support an improvement in performance

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the likely outcome of failing to meet these standards (this should include a warning that failure to meet and maintain required standards may result in termination of employment)

o Dismissal from employment with the Trust.

6.2.9 The outcome of this formal hearing must be followed up in writing within 7 days of the

hearing.

6.2.10 Attention is drawn to the Trusts terms and conditions of employment which state that ‘the Trust reserves the right to terminate your contract with one weeks’ notice under this policy without recourse to the formal disciplinary or sickness procedures.

6.3 Preceptorship 6.3.1 Preceptorship is a structured period of transition for the newly registered Paramedic when

they start employment. During this time, he or she should be supported by an experienced paramedic, or preceptor, to develop their confidence as an independent health care professional, and to refine their skills, values and behaviours.

6.3.2 An experienced paramedic or preceptor is defined as a Paramedic with a minimum of one

years-experience post registration either with, or be working towards a recognised mentoring qualification.

6.3.3 Preceptorship is not a reassessment of Paramedic skills; this has already occurred within

the University setting prior to registration with the HCPC. Preceptorship is a ‘support in transition’ as a new registrant into the workplace.

6.3.4 The table below presents the Trust’s Preceptorship arrangements:

6.3.5 Newly qualified paramedics will complete an initial 37.5 hours of supervised practice

before a Review. At the review, a decision will be made whether the individual is authorised for autonomous practice, or whether further supervised practice is required. This decision will be made jointly by the new employee and supervisor on a case-by case needs analysis basis. The OO/OM will be responsible for approving this decision.

6.3.6 Once the period of supervised practice has been completed and the newly qualified

paramedic has been authorised for autonomous practice, monthly reviews, preferably as part of an operational shift, will commence up to the 6-month probationary period sign-off.

Induction 37.5 hours supervised

practice

Review 37.5 hours supervised

practice

37.5 hours supervised

practice

Thereaftermonthly reviews

6 month - formal

sign-off by OO/OM

Review

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6.3.7 Newly qualified paramedics are required to operate from an ambulance for a minimum of 6 months before being considered to operate from an RRV (this requirement can be waived by exception should a newly qualified paramedic be competent before reaching 6 months). RRV familiarisation will be completed before a newly qualified paramedic will operate as a solo responder on an RRV.

7. Informal Performance Management 7.1 All employees should be clear on the performance standard required of them in their role. 7.2 All employees should have a set of objectives, linked to the Trust’s strategic objectives that

are Specific, Measurable, Achievable, Realistic, to be achieved within a specified Timeframe.

7.3 All employees should have regular, informal meetings (1-1s) with their line manager to

discuss their progress towards objectives and to understand if there is any support required for the employee to achieve these.

7.4 Objectives may also be added or amended throughout the year should circumstances

arise that necessitate any changes. 7.5 Managers should also provide individual employees with regular feedback on their

performance. 7.6 Managers are encouraged to use informal coaching techniques in order to help in setting

objectives and providing feedback. This could include the use of the GROW model:

Goal – this is the achievement of the objective or aim which the individual needs to achieve;

Reality – this is a consideration of the current situation, what are the current challenges, how far away is the goal?

Options – what are the options for a way forward in achieving the goal?

Way Forward – what are the action steps that the individual will now make towards achieving their goal?

8. Career Conversation 8.1 The annual appraisal is an in-depth conversation between a line manager and employee

which draws on the regular feedback and 1-1s that will have been held throughout the year as well as providing an opportunity for further reflection on an individual’s performance.

8.2 The Career Conversation is an opportunity for the individual and their line manager to

review the individual’s performance against the previous year’s objectives, identify and discuss their successes and achievements and set new objectives. Through this review the individual is able to identify any support, training or development they would benefit from in order to deliver their work objectives and achieve their professional goals.

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8.3 The appraisal process is really important, as it now interacts with the performance and talent management framework for the whole organisation and with its direct link to the Trust’s talent pools it can help to determine your career progression within the Trust.

8.4 Should an individual be considered not to be meeting their objectives and not performing

in their role, incremental pay progression will be halted until the individual achieves the required standard. It should also be noted that there should be ‘no surprises’ at a Career Conversation meeting and any performance concerns addressed with the individual through 1-1s prior to the annual appraisal.

9. Aspire and Talent Management 9.1 Aspire is the Trust’s career development framework and both staff and managers are

encouraged to use this to take control of their development and actively seek opportunities for learning new skills or taking on a new project.

9.2 The Trust also has two talent pools which allow the Trust to understand where the next

leaders of the organisation are coming from, where emerging talent is in specific skills sets, as well as understanding how the Trust is getting these individuals ready for the next opportunity that may emerge.

9.3 The talent pools have been designed to be open to anyone who demonstrates the values

and behaviours expected within our organisation, along with the drive, ability and impact in their day to day work.

9.4 The talent pools link directly from the ‘My Career Conversation’ and the Trust will also

open an application route to the talent pool so that anyone who has not had their appraisal or who did not achieve an ‘exceeding’ rating in their appraisal but feels they would meet the criteria of our talent pool can have an opportunity to apply direct.

9.5 Emerging Talent Pool

Our Emerging Talent Pool is designed for staff at bands 1-7. It is designed to identify those who may be at earlier stages of their career journey who are demonstrating excellence in their work, leading by example and living by the values and behaviours expected by the Trust.

9.6 Aspiring Top Talent Pool

Our Aspiring Top Leaders Talent Pool is designed for staff at band 8a or above. It is designed to support those who have already reached a senior level in the organisation who are demonstrating excellence in their work, leading by example and living the values and behaviours expected by the Trust.

9.7 Both Talent Pools will be reviewed twice a year to consider what opportunities may be

afforded the individuals within and how these individuals may be provided with experience and exposure through involvement in corporate projects and work of strategic importance.

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10. Performance Concerns 10.1 Before the formal procedure is used a manager must review the informal performance

management process that has been followed. If any of these steps have not been implemented without sufficient reason, the informal process must be used in the first instance.

10.2 Where an employee is considered to be incapable of carrying out their duties, the matter

will be thoroughly considered before any final decision is made.

10.3 Should an investigation need to be carried out the relevant Director or Head of Department is responsible for identifying and nominating a suitability experienced Investigating Officer who, wherever practicable, should be external to the area or function being investigated. Every practicable step should be taken in order that internal bias is avoided and independence is achieved throughout the investigation.

10.4 At all stages of the formal procedure, the employee will have the right to be accompanied

by an ERA accredited union representative, or a fellow worker, not acting in a legal capacity. The employee is responsible for arranging the attendance of their representative.

10.5 Where there is a requirement to consider the restriction of an individual’s scope of

practice, either because of issues arising out of operational performance or a failure to meet the required standards during a period of training or assessment, the Trust’s Consideration of Suspension/ Restriction of Practice procedure will be followed.

10.6 Where an essential qualification for the job is lost, the formal procedure will apply. 10.7 Consideration of Restriction of Practice or Suspension 10.7.1Where an immediate and significant concern arises regarding an individual’s

performance, the procedure for consideration of suspension or restriction of practice should be followed (Appendix C).

10.7.2 Restriction of practice and suspension are non-punitive and designed to both support

and protect the individual and the organisation while an investigation is carried out into the issues raised.

10.8 Formal Performance Hearing 10.8.1If a formal case is to be considered, a manager of the appropriate seniority should

conduct the hearing. The list of appropriate chairs can be found in the Trust’s Disciplinary Policy.

10.8.210 calendar days’ notice must be given to a member of staff required to attend a formal hearing.

10.8.3The purpose of the formal hearing will be to:

Examine the available evidence which indicates the failure to achieve the standards required.

Consider any explanation or mitigation put forward.

To consider all requirements for training and supervision, taking into account all circumstances of the case.

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Decide what, if any, action is required.

10.8.4The procedure for a formal hearing is outlined at Appendix A. 10.8.5 At any stage in this policy where individual performance has become an on-going

concern, and where attempts to improve performance have been unsuccessful, an employee should be encouraged to seek alternative employment which may be of a lower grade. Staff can choose to fill in a redeployment pro-forma to assist them in seeking an alternative role which should be completed in conjunction with the local HR Business Partner.

10.8.6 There is no guarantee that an individual will be redeployed as this is dependent on the

availability of alternative employment as well as the individual’s suitability for any identified role.

10.8.7 Only where considerations need to be made under the Equality Act (2010), will an

individual be afforded a priority interview where they meet the essential criteria for any role they have applied for.

11. Appeals 11.1 All employees have the right of appeal against the outcome of any performance action

taken against them. 11.2 An appeal must be made in writing to the Executive Director of HR. The written appeal

must be made within 7 calendar days of receipt of written confirmation of the outcome of the hearing. The reason for the appeal must be clearly stated.

11.3 The appeal hearing should take place at the earliest opportunity, and should be chaired

by an appropriate Manager / Director / Board Member. The panel should consist of 1 other senior manager who may be the panel’s professional or technical expert. In cases of dismissal, the panel will be chaired by a Board Member. None of the panel members should have been involved in the case prior to that appeal.

11.4 The employee should be given at least 10 calendar days written notice of the appeal

hearing detailing the date, time and venue, with their right to be accompanied by a colleague or Trade Union representative clearly specified. If the employee wishes to present any documentary evidence at the appeal hearing, a copy of this must be submitted to HR at least 5 calendar days before the appeal hearing.

11.5 The employee will receive written confirmation of the outcome of the hearing within 7

calendar days of the decision being made. 11.5 The conclusion of the appeal hearing will be final. Employment will not be extended to

facilitate an appeal.

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Appendix A

Procedure for Formal Performance and Probation Hearings

1. Under the Performance Management Policy the manager hearing the case may be assisted by a member of the HR department or another manager.

2. The role of the HR Business Partner at hearings includes the following:-

Examine the available evidence which indicates the failure to achieve the standards required.

Consider any explanation or mitigation put forward.

To consider all requirements for training and supervision, taking into account all circumstances of the case.

Decide what, if any, action is required.

Circulation of case papers to the panel in good time for preparation.

Escorting management side representatives, employees, Trade Union representative / companion; witnesses etc. in and out of hearings.

Obtaining any additional documentation needed and agreed as admissible by the panel.

Providing impartial procedural advice (proactively or on request) to the panel and to any other party during the course of the hearing (such as suggesting that the employee and representative take a brief adjournment for discussion).

Ensuring that neither party is in the hearing room alone with the panel at any time (i.e. both parties together or none).

Raising any concerns about appropriate issues (such as used of pejorative language) where panel does not do so.

Asking questions of clarification during the hearing as a panel member.

Advising the panel at the end of the hearing of the options open to them and the associated risks; on procedure and employment law; on wording of the final decision (but not the decision itself).

Advising the panel on consistency and transparency of decisions.

3. In hearing a case, the chair or members of the panel, including any advisers present, may ask questions at any time for the purposes of clarification and to ensure a full and thorough investigation of the issue.

4. The hearing should normally move through the following stages:-

a) The chair should remind the employee of the outcome of all previous informal

discussions and, where appropriate, formal discussions. The Investigating Officer should highlight the findings of the case and state as clearly as possible how the employee is still failing to reach the required standards. Documentary evidence should be highlighted and witnesses asked to present evidence, as appropriate.

c) The employee or their representative will be given the opportunity to question the

evidence presented, including witnesses, followed by the hearing panel conducting, if applicable.

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d) The Investigating Officer or hearing panel may re-examine witnesses as

appropriate, on any matters referred to in their examination by the employee or their representative.

e) The employee or their representative should state their case which may involve the attendance of witnesses.

f) The hearing panel and, as appropriate, the Investigating Officer will have the

opportunity to question the employee and any witnesses that may have been called. The Investigating Officer will go first.

h) The hearing panel may, at their discretion, adjourn the meeting in order that further

evidence is acquired by either party or for any other reason. i) The hearing panel will consider the case in private. Individuals attending the hearing

will only be recalled to clear points of uncertainty. Witnesses may also be recalled where further evidence is required.

j) When the hearing panel is satisfied that no further information is essential, a

decision will be made.

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Appendix B

Induction and Probation Checklist

Employee

Job Role

Department

Date

Induction Standards

Induction Standard 1: Values and Behaviours

Week 1 Does the individual understand what the Trust Values and Behaviours are?

YES / NO

Month 1 Can the individual advise you of what the Trust Values and Behaviours are and how these can be applied within their day-to-day working life?

YES / NO

Month 3 Is there evidence that the individual demonstrates the Trust Values and Behaviours in their day-to-day working life?

YES / NO

Month 6 Is there evidence that the individual demonstrates the Trust Values and Behaviours in their day-to-day working life?

YES / NO

Induction Standard 2: The Trust and the Department

2.1 The Trust

Week 1 Does the individual understand the Trust’s Mission Statement & Vision

YES / NO

Month 1 Can the individual advise you of what the Trust’s Mission Statement & Vision is

YES / NO

Month 3 Is there evidence that the individual demonstrates the Trust’s Mission Statement and Vision

YES / NO

Month 6 Is there evidence that the individual demonstrates the Trust’s Mission Statement and Vision

YES / NO

2.2 The Department

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Week 1 Workplace Tour YES / NO

Introduction to Colleagues YES / NO

Trust Intranet YES / NO

Car Parking YES / NO

Lunch Breaks and Facilities YES / NO

Induction Standard 3: The Job Role

Week 1 Does the individual have access to the tools to carry out their role

YES / NO

Does the individual understand the need to meet the requirements of their conditional offer i.e. references, DBS etc

YES / NO

Does the individual understand their associated Terms and Conditions

YES / NO

Week 1 Does the individual understand the role and responsibilities of the role

YES / NO

Month 1 Can the individual advise you of what the role and responsibilities are

YES / NO

Month 3 Is there evidence that the individual demonstrates the role and responsibilities

YES / NO

Month 6 Is there evidence that the individual demonstrates the role and responsibilities

YES / NO

Induction Standard 4: Knowledge and Skills

4.1 Communication

Week 1 Does the individual understand the level of communication required to carry out their role

YES / NO

Month 1 Can the individual advise you what level of communication is required to carry out their role

YES / NO

Month 3 Is there evidence that the individual communicates effectively in line with the requirements of their role

YES / NO

Month 6 Is there evidence that the individual communicates effectively in line with the requirements of their role

YES / NO

4.2 Health and Safety

Week 1 Does the individual understand the YES /

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requirement to promote health safety and security of patients, clients, the public, colleagues and themselves.

NO

Week 1 Has the individual been shown how to conduct a dynamic risk assessment where this is applicable to their role?

YES / NO

Month 1 Can the individual advise you of the requirement to promote health safety and security of patients, clients, the public, colleagues and themselves

YES / NO

Month 3 Is there evidence that the individual demonstrates the promotion health safety and security of patients, clients, the public, colleagues and themselves

YES / NO

Month 6 Is there evidence that the individual demonstrates the promotion health safety and security of patients, clients, the public, colleagues and themselves

YES / NO

4.3 Service Improvement

Week 1 Does the individual understand how they can implement policies and strategies and improve services for users and the public

YES / NO

Month 1 Can the individual advise you of how they can implement policies and strategies and improve services for users and the public

YES / NO

Month 3 Is there evidence that the individual implements policies and strategies and improve services for users and the public

YES / NO

Month 6 Is there evidence that the individual implements policies and strategies and improve services for users and the public

YES / NO

4.4 Equality and Diversity

Week 1 Does the individual understand what Equality and Diversity is?

YES / NO

Month 1 Can the individual advise you of what Equality and Diversity is and how these can be applied within their day-to-day working life?

YES / NO

Month 3 Is there evidence that the individual demonstrates Equality and Diversity in their day-to-day working life?

YES / NO

Month 6 Is there evidence that the individual demonstrates Equality and Diversity in their day-to-day working life?

YES / NO

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4.5 Effective Leadership

Week 1 Does the individual understand what Effective Leadership is?

YES / NO

Month 1 Can the individual advise you of what Effective Leadership is and how this is relevant to their role?

YES / NO

Month 3 Is there evidence that the individual demonstrates effective leadership in their role?

YES / NO

Month 3 Is there evidence that the individual demonstrates effective leadership in their role?

YES / NO

Induction Standard 5 - Compliance

5.1 Mandatory Training

Week 1 Has the individual completed all mandatory training in order to carry out their role?

YES / NO

5.2 Policy and Procedure

Week 1 Has the individual been shown the Policies and Procedures that are relevant to their role?

YES / NO

Month 1 Has the individual advised you what Policies and Procedures are relevant and have they signed to states that they have read and understood them.

YES / NO

Month 3 Has the individual worked in accordance with the relevant Policies and Procedures

YES / NO

Month 6 Has the individual worked in accordance with the relevant Policies and Procedures

YES / NO

Sign, Return and Date

We confirm that we have met the standards within the probation from Week 1 to Month 3

Signed (Manager)

Signed (Employee)

Dated: Dated:

We confirm that we have met the standards within the probation from Month 3 to

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Month 6

Signed (Manager)

Signed (Employee)

Dated: Dated:

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Appendix C

Consideration of Suspension/Restriction of Practice Procedure 1 Purpose 1.1 The purpose of this procedure is to provide a mechanism to consider suspension

and restriction of practice and to enable those involved in these discussions to

make appropriate decisions in relation to suspension and restriction of practice.

2 Inclusion Criteria 2.1 Suspension or restriction of practice should be considered when there is a

reasonable belief that:

A individual’s skill (clinical or non-clinical) has been inappropriately applied; or

An individual’s competence to perform their role, or an aspect of their role, is inadequate; or

A clinical skill has not been applied in circumstances where it normally would have been applied and could have positively affected a patient outcome; or

A potential or actual adverse patient outcome has occurred due to failure to apply Trust guidelines and procedures; or

It is considered that the individual’s continued presence at work could cause difficulty to self or others or impede the investigating process; or

It is considered that the individual’s continued presence could put the public or organisation’s interests at risk; or

The seriousness of the incident or allegation is considered to warrant a formal review.

Where concerns are raised about an individual through the Trust’s Allegations Policy or through the Prevent Agenda.

3 Process

3.1 The member of staff involved in the potential incident must report the incident to the

Bronze Commander, or line manager, as soon as possible, unless the incident

involves a Bronze Commander; in which case it should be reported to the Silver

Commander or more senior manager.

3.2 An Incident Report must be submitted as soon as is reasonably practicable and in

any event within 24 hours of the incident. In cases where this has not occurred, the

member of staff identifying or first becoming aware of the incident is responsible for

completing these actions.

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3.3 Either the Bronze Commander or line manager must have a fact finding meeting or

telephone conference with the member(s) of staff concerned in order to ascertain

the basic facts.

3.4 If after the fact finding meeting there is cause for concern, then the Bronze

Commander or line manager must report the incident to the relevant local manager

(in hours) or the Silver Commander (out of hours) and identify that restriction of

practice may be appropriate for consideration.

3.5 The relevant local manager (in hours) or Silver Commander (out of hours) will

arrange for an immediate teleconference to consider the facts. The teleconference

will be chaired by an HR Business Partner (in hours) or Silver Commander or

Senior Clinical Advisor (out of hours) with the following in attendance:

Bronze Commander or local manager to whom the incident or allegation was

reported.

Senior Clinical Advisor on-call (where clinical practice is of concern)

Line Manager (or relevant service line representative with the authority to suspend

where this is an outcome)

Silver Commander (out of hours only)

Clinical Training Manager (where individual performance is of concern)

Patient Safety Representative (should there be any patient safety concerns)

Investigating Officer (if appointed)

3.6 The outcome of the call and decision making process will be democratic and is the

responsibility of all attendees on the call.

3.7 The HR Business Partner will make notes of the call on the Suspension/Restriction

of Practice pro-forma. If the call is convened out of hours, notes will be taken by

either the Silver Commander or Senior Clinical Advisor.

3.8 The Bronze Commander, local manager, or Investigating Officer where one has

been appointed, will present an overview of the alleged incident. The group will then

consider the application of the following options, each of which will be raised and

discussed:

The risk to patients

The risk to colleagues

The risk to the organisation

The risk to the individual

The risk to any investigation (if applicable)

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3.10 Each of the above should be discussed, taking into consideration the facts

presented and mitigating actions that could be taken to minimise the risk. 3.11 Based on consideration of the above factors a decision should then be made by the

group on the following basis:

Continuation of full scope of practice - to be considered when the group decide that there are no reasonable grounds to implement a restriction of practice or suspension and that there is no increased risk.

Restriction of practice, ie. working under direct paramedic supervision (preferably a Mentor or OO), and/or restriction of practice to a different role (this could be of a lower grade). Where practice is restricted, the group must confirm the parameters of the restriction and in the case of clinical staff, the exact skills which have been restricted. Restriction could also be made to work with a ‘named paramedic’.

Where a restriction cannot be accommodated, the group must consider:

Suspension – where the group are not satisfied that the individual is safe to remain in the workplace.

3.13 If the incident is dealt with out of hours, the Silver Commander is responsible for

informing the relevant local manager of the member(s) of staff involved and HR Business Partner promptly on the next working day.

3.14 The local manager must inform the relevant Head of Operations of the decision and

rationale, should they not have been involved in the teleconference. 3.15 The line manager of the member of staff concerned must confirm the any

suspension or restriction of practice in writing within 7 days of the decision detailing measures put in place and agreed actions. It is the responsibility of the line manager to ensure any training plans agreed as necessary are put in place.

3.16 If the matter is likely to be investigated as a Serious Incident then the local manager

will liaise with the Patient Safety and Incident Manager in order to appoint an appropriate Investigating Officer as soon as is reasonably practicable.

4 Review and Lifting of Suspension/Restriction

4.1 Any suspension or restriction of practice must be reviewed regularly. 4.2 In cases where a training needs assessment has been carried out, and subsequent

action plan has been completed, the suspension or restriction may be reconsidered. 4.3 The appointed Investigating Officer or line manager will advise the HR Business

Partner and a further teleconference with those specified at 3.5 will be convened. 4.4 The group will discuss the original suspension or restriction using the Consideration

of Suspension/ Restriction of Practice proforma, taking into account actions that

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have been completed with regards to 4.2 or further evidence that may have been collated through the investigation.

4.5 The group may consider that:

The suspension/ restriction can now be fully lifted.

The suspension/ restriction may in part be lifted under specific circumstances.

The suspension/ restriction requires further extension. 4.6 The local manager must advise the staff member(s) who is subject to the

allegations of the outcome of the teleconference and this must be followed up in writing within 7 days of the teleconference.

4.7 A copy of the Consideration of Suspension/ Restriction of Practice form must be

completed and sent to HR Services for recording and filing.

5 Notifying the Professional Regulatory Body

5.1 The relevant professional regulatory body will normally be notified (if applicable) following the outcome of the investigation. If the incident is of a serious nature then the Investigating Officer (IO) must make a case for earlier professional regulatory body notification to the Deputy Director of HR and this will be considered on a case by case basis.

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Consideration of Restriction of Practice/Suspension To be completed in all instances of consideration of restriction of practice/suspension to record the decision making process. This form should be completed immediately and sent to HR Services for recording purposes. A record should also be made by the relevant HR Business Partner on the HR Case Management System.

Form completed By Date

Employee Name

Employee Role

Names/ Job Titles of people present on call

Summary of Issue

Questions Considered and Summary of Discussion

Is there a risk to patients and if so what is this risk? How can this be mitigated? Is there a risk to colleagues and if so what is this risk? How can this be mitigated? Is there a risk to the organisation and if so what is this risk?

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How can this be mitigated? Is there a risk to the individual and if so what is this risk? How can this be mitigated? Is there a risk to any investigation and if so what is this risk? How can this be mitigated?

Decision Made

Actions put in place I.e.) investigating officer assigned, welfare officer, training needs analysis, letter for suspension and who will be responsible for each

HOP or senior line manager informed

Director/ Deputy Director of relevant service line informed

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Appendix D Version Control Sheet

Version Date Author Summary of Changes

1.0 April 2016 HR Business Manager

Combining of former Capability Policy and New Employee Policy.

2.0 Jan 2017 HR Business Partner

Inclusion of appeals section and inclusion of Patient Safety Representative in Appendix C