Pay Progression through Incremental Points and Thresholds for Specialty Doctors And Associate Specialists (2008)

Transcription

1 Pay Progression through Incremental Points and Thresholds for Specialty Doctors And Associate Specialists (2008) Executive Director Lead Author / Lead Feedback on Implementation to Director of Human Resources Liz Thompson H.R. Manager Liz Thompson H.R. Manager Date of Draft February 2012 Consultation Period February 2012 Date of Ratification Ratified by Joint Local Negotiating Committee September 2012 Target Audience Employees on the 2008 Contract for Specialty Doctors and Associate Specialists This Policy has been developed to respond to changes to the terms and conditions of Specialty Doctors and Associate Specialists. It also sets out the process for Supervising Consultants to follow to action any increase in pay. 1

2 Contents Page 1.0 Policy Statement Definitions Purpose of the Policy Scope of the Policy Duties Medical Director Clinical Director Supervising Consultant Specialty Doctor / Associate Specialist Human Resources General Principles Movement During Transition Future Increments Post April Principles for Pay Progression Through Incremental Points & Thresholds Incremental Pay Progression Progression Through Threshold Progression Through Threshold Specialty Doctors Associate Specialists (2008 Contract) Meeting the Criteria Pay Progression Through the Increments Pay Progression Through Increments & Thresholds Thresholds 1 & 2 Process Mediation & Appeals Planning & Implementation Measuring Performance Audit Review Equality Statement Further Reading Further Guidance 9 Appendices 10 Appendix 1 Specialty Doctor and Associate Specialists (2008) 11 Pay scales 2010/2011 Appendix 2 Pay Progression Through Incremental Points & Thresholds for Specialty Doctors and Thresholds for Specialty Appendix 3 Sign Off Form for Pay Increments 17 Appendix 4 Sign Off Form for Pay Thresholds 18 Appendix 5 Flow Chart Equality and Human Rights Policy Screening Tool

3 PAY PROGRESSION THROUGH INCREMENTAL POINTS AND THRESHOLDS FOR SPECIALTY DOCTORS AND ASSOCIATE SPECIALISTS (2008) 1 POLICY STATEMENT Sheffield Health and Social Care NHS Foundation Trust (will be referred to as SHSCFT from this point forward) is committed to ensuring all employees who are employed as a Specialty Doctor or Associate Specialist progress through the appropriate incremental points and thresholds in accordance with the Terms and Conditions of Service Specialty Doctors England (2008) and the Terms & Conditions of Service - Associate Specialists England (2008). The policy on Pay Progression through Incremental Points and Thresholds for Specialty Doctors and Associate Specialists (2008) has been developed to provide a clear framework to ensure there is a consistent approach applied throughout the Trust. The purpose of this document is to set out SHSCFT policy on pay progression and thresholds for Specialty Doctors (SD) and Associate Specialists (AS) following transition. The policy applies to all Specialty Doctors and Associate Specialists (who have been re-graded through the window of opportunity or have been transferred to the 2008 contract). 2 DEFINITIONS Supervising Consultant - is the doctors designated consultant who is responsible for the appraisal process. Threshold - is the point on the salary scale where the SAS Doctor must demonstrate that they have achieved specified criteria (see Points 9-11) to move to pass through the threshold to the next point on the salary scale. 3 PURPOSE OF THIS POLICY The purpose of this policy is to set out guidance on the process for SAS Doctor s (2008 Contract) to progress through incremental points and thresholds on the relevant salary scale. 4 SCOPE OF THIS POLICY The policy applies to all SAS Doctors who have accepted a transfer to the 2008 contract. 5 DUTIES 5.1 Medical Director To ensure the standards are maintained in the application of the Policy throughout the Trust. To support the Clinical Director/Supervising Consultant in ensuring that the policy operates smoothly within the Trust. To take overall responsibility to ensure processes are in place to sign off the incremental progression assessment. 3

4 5.2 Clinical Director To take overall responsibility for the application of the policy within the Directorate. 5.3 Supervising Consultant To provide support to Specialty Doctors and Associate Specialists to enable them to demonstrate all criteria has been met in order to pass through the increments and thresholds. To be able to demonstrate and justify to an individual in either a Specialty Doctor or Associate Specialist (2008) position if a decision has been reached that they won t be progressing through the increments/thresholds as a result of not having met the relevant criteria. T o maintain absolute confidentiality with regards to personal information. To keep records which are relevant and necessary, in accordance with this other Trust Policies in line with the Data Protection Act Specialty Doctor/Associate Specialist To be accurate and be able to demonstrate all criteria has been met in order to pass through the increments and thresholds. To participate in the continuous provision of high quality service with an increasing range of contribution. To be aware of the frequency of the incremental progression. 5.5 Human Resources To provide support and advice to the Medical Director, Clinical Director and Supervising Consultant on all matters relating to the policy. To ensure the Clinical Director/Supervising Consultant receive the appropriate information on an individuals threshold (incremental) date payroll code and grade step prior to appraisal/job plan review. To take responsibility for the policy and take appropriate action to avoid risk to the Trust through poor employment practices. To provide support and advice to the Clinical Director/Supervising Consultant to address any concerns which may have arisen following an individual s appraisal/job plan which may have resulted in the incremental progression/threshold being deferred. 6 GENERAL PRINCIPLES 6.1 Movement during Transitions During the course of year 1 doctors assimilated to points 0 to 4, below threshold 1 on the transitional scale will move up 1 increment on that scale at their usual increment date, if, as a result of this increment threshold 1 would 4

5 be passed the doctor must evidence meeting the threshold criteria before the move can be made; pay will be backdated to the incremental date so long as this achieved within 12 months. 6.2 Future increments post April 2009 Doctors in either grade on points of the scales below thresholds 1 will normally receive their increment on the anniversary of the incremental date subject to their meeting criteria for threshold 1 where necessary Those on points between 1 and 2 will normally receive the next pay increment on the 2 nd anniversary of their last increment subject to them meeting the criteria for threshold 2 where necessary. Those above threshold 2 will normally receive the next pay increment on the 3 rd anniversary of their last increment. 7 PRINCIPLES FOR PAY PROGRESSION THROUGH INCREMENTAL POINTS AND THRESHOLDS 7.1 There are two thresholds within the incremental progression scale of the new contracts. Criteria must be met in order to pass the increments and thresholds and continue progression. The purpose of the threshold is to enable a doctor to demonstrate the provision of continued high quality service with increasing range of contribution. Top of the Scale 10 Three-Yearly 9 Incremental 8 Progression Threshold Two 7 Two-Yearly 6 Incremental 5 Progression Threshold One 4 Annual 3 Incremental 2 Progression 1 Min entry point There are three forms of pay progression within the grades: Transitional Pay and Incremental Arrangements page 5 & 6. Incremental pay progression - for which the doctor will satisfy the criteria set out in paragraph 8. Progression through threshold 1 for which the doctor will satisfy the criteria set out in paragraph 9. Progression through threshold 2 for which the doctor will set out the criteria in paragraph The principles for progression/movement through the grade are:- The process should be fair and clear and neither the process nor the gathering and demonstrating of evidence should be onerous (See appendix 2) The evidence required must be as objective as possible. There should be no surprises at any review. Good employment practice is to provide employees with feedback on a continuing basis and progress towards objectives. Threshold progression should be discussed at appraisal and job review plan reviews preceding the threshold. Evidence of progress towards the objectives can be provided in any year since the last threshold. 5

6 Threshold (incremental) dates are unique to the individual doctor. It is the responsibility of the doctor to ensure that an appraisal / job plan review is scheduled with the supervising consultant in the three month period prior to their incremental date. 8 INCREMENTAL PAY PROGRESSION 8.1 Incremental pay progression up to point 4 will depend upon the doctor having: Made every reasonable effort to meet the time and service commitments in their job plan and participated in the annual job plan review. Met the personal objectives in the job plan or where this is not achieved made every reasonable effort to do so. Worked towards any changes identified in the last job plan review as being necessary to support achievement of joint objectives. Participates satisfactorily in the appraisal process in accordance with the GMC s requirement as set out in Good Medical Practice. Taken up any offer to undertake additional programmed activities in accordance with schedule 7 of the terms and conditions and met the standards governing the relationship between private practice and NHS commitments set out in schedule 10 of terms and conditions. 9 PROGRESSION THROUGH THRESHOLD ONE In order to progress from point 4 to 5 doctors will be required to pass through threshold 1; progression between 5-7 will be at 2 yearly intervals. All doctors will pass through this threshold unless they have demonstrably failed to comply with any of the following criteria. Requirements for progression as in paragraph 7 plus Undertaken 360 degree appraisal/feedback (in the year preceding threshold one) 10 PROGRESSION THROUGH THRESHOLD TWO 10.1 Specialty Doctors The criteria for passing through threshold two recognises the higher level of skill, experience and responsibility of those doctors working at that level. Specialty doctors will pass through threshold two if they have met the criteria set out in paragraph 7 plus the criteria set out below. Doctors should be able to demonstrate an increasing ability to take decisions and carry responsibility without direct supervision. Doctors should also provide evidence to demonstrate their contributions to a wider role, for example, meaningful participation in, or contribution to relevant: o o o o o Management of leadership. Service development and modernisation. Teaching and training of others. Committee / representative work. Innovation / audit 6

7 10.2 Associate Specialists (2008 Contract) The criteria for passing through threshold two recognises the higher level of skills, experience and responsibility of those doctors working at that level. Doctors will pass through thresholds two if they have met the criteria set out below. Doctors could provide evidence to demonstrate: Proven ability to lead a team. Regular completion of audits to demonstrate high quality work. An ability to innovate within their area. Evidence of involvement in the wider management role. Significant involvement in research or a leading role in teaching These lists are not exhaustive but give an indication of evidence of contributing to a wider role that a doctor might provide. In making a judgment about whether a doctor has met the requirements for threshold two there is not an expectation the doctor will provide evidence in all wider areas of contribution listed in addition to those required for threshold one. An overall picture will be considered. 11 MEETING THE CRITERIA 11.1 Pay progression through increment The medical director has the responsibility of ensuring processes are in place to sign off the incremental progression assessment (See Appendix 3) Progression through increments and thresholds The normal process is for all Specialty doctors and Associate Specialists to progress every year / every two years / every three years (depending on their grade and salary point) automatically until they reach a threshold. If a doctor does not meet the criteria for whatever reason then the medical director or clinical director has the discretion to stop the increment or to decide where appropriate that the doctor should none the less be regarded as having met the criteria for that year. Doctors will not be penalised if any element of the relevant incremental or threshold criteria have not been met for reasons beyond their control. Therefore if the doctor has been prevented by any action or inaction on the part of the employer and/or senior colleagues from satisfying any elements of the incremental threshold one or two criteria the doctor should not be prevented from moving through the increment threshold. Employers and doctors are expected to identify problems affecting the likelihood of meeting criteria as they emerge rather than wait until the Job Plan review Threshold one and two process When a doctor has successfully demonstrated that they have complied with the criteria to pass through a threshold the Clinical Director has the responsibility of ensuring that processes are in place to sign of the threshold assessment. (see Appendix 4) Payments will be made automatically unless payroll is informed otherwise (See Appendix 4). 7

8 12 MEDIATION AND APPEALS 12.1 The doctor has the right of mediation and appeal against a decision that he/she has not met the criteria for annual incremental progression or the criteria for progression through schedules one and two. The mediation and appeal procedure is at schedule 5 of the terms and conditions of service. 13 PLANNING & IMPLEMENTATION The policy will be consulted upon through the JLNC. The procedure once approved, will be ratified by the Medical Director and placed on the Intranet pages of the Web Site. 14 MEASURING PERFORMANCE The Clinical Director in partnership with the HR Directorate Partners will manage the overall responsibility for the monitoring and delivery of this policy. To support the delivery of this policy the Clinical Directors and HR Directorate Partners will work alongside the Medical Directors, Clinical Directors, Supervising Consultant and staff in order to: Support the delivery of this policy into practice Ensure that the standards and requirements in this policy are being met Measure the effectiveness of this policy Identify any necessary changes in strategy, policy or practice 15 AUDIT & REVIEW The Director of Human Resources will ensure this policy is reviewed to make sure it reflects current best practice. The Clinical Director and HR Directorate Partners will be responsible for ensuring audits take place on the application of the policy and the progression through incremental points and thresholds. Findings from these audits will influence development of the policy. The policy and it will be reviewed every 3 years by management and staff side representatives in light of experience and changes in legislation. Any part of the approved document may seek revision, within the context of partnership working at any time. 16 EQUALITY STATEMENT Sheffield Health and Social Care NHS Foundation Trust recognises its responsibility to ensure that no-one is discriminated against, disadvantaged or given preference through membership of any particular group, particularly including people with disabilities, people from different ethnic backgrounds or religions, or on the grounds of their gender, age or sexual orientation. This policy has undergone an impact assessment to ensure that it does not discriminate on any of the above groups either directly or indirectly. 17 FURTHER READING Sheffield Health & Social Care NHS Trust Related Documents (Available on the Trust s intranet) 8

9 Maintaining High Professional Standards Disciplinary Procedures for Medical & Dental Staff Grievance and Disputes Procedures Equal Opportunity and Dignity at Work Policy Transition Pay Increments. (T & C s AS/SD England 2008) Other Published Documents Terms and Conditions of Service - Specialty Doctors England (2008) Terms and Conditions of Service - Associate Specialist England (2008) Pay Circular (M&D) 1/ FURTHER GUIDANCE For further guidance on this policy, please speak to a member of the Human Resources Team. 9

10 APPENDICES Appendix 1 Specialty Doctor & Associate Specialist (2008) Pay Scales 2009/10 Appendix 2 Appendix 3 Appendix 4 Appendix 5 Appendix 6 Pay Progression through Incremental Points and Thresholds for Specialty Doctors and Thresholds for Specialty Doctors and Associate Specialists (2008 Contract Sign off form for Pay Increments Sign off form for Pay Thresholds Flow Chart Stage One Equality Impact Assessment Form 10

11 11 Appendix 1

12 Appendix 2 Pay Progression through Incremental Points and Thresholds for Specialty Doctors and Thresholds for Specialty Doctors and Associate Specialists (2008 contract) 1 Guidance for Evidence 1.1 Evidence for passing through thresholds one and two will be gathered by the doctor through the development of a portfolio. This will contain documentary evidence of work undertaken and skills development and will include relevant CPD, appraisal and job plan documents as well as further documentation relevant to the individual doctor s progression. 1.2 It is good practice for all doctors to develop a personal portfolio and is likely to be necessary for revalidation. This will enable the doctor to provide an ongoing record of their achievements and development. The evidence contained within the portfolio will be used to gather information and evidence for movement into formal training posts or for CESR (certificate confirming eligibility for specialist registration) applications to the specialists register should the doctor wish to use it in this way. 2 Threshold one This section sets out evidence that should be provided as part of the portfolio for meeting the threshold one requirements. 2.1 Job planning This criterion will be evidenced by the production of the doctor s current job plan. Requirements for meeting the threshold criteria must be set out in the doctor s objectives in the preceding year. 2.2 Annual Appraisal This criterion will be evidenced by the production of a copy of the signed Appraisal documentation, confirming that the doctor s appraisal has taken place. 2.3 Objective Setting This criterion requires objectives to have been set in the year preceding threshold one or threshold two, whichever is relevant. This will be evidenced by the production of a form confirming that the appraisal has taken place and that the objectives have been met, or where this has not been achieved for reasons beyond the doctor s control having made every reasonable effort to do so. Objective setting is an integral part of the appraisal process and doctors should always aim to set and meet their objectives. We would expect the objectives to be written by the doctor as part of the appraisal process and that discussion about objectives, and progress towards meeting those objectives should be a normal part of the annual appraisal process. Objectives may include the attainment of skills for application to a formal training scheme or the admission to the Specialist Register by means of a CESR degree appraisal In order to progress through the thresholds set out in the new structure, 360 degree appraisal must have been carried out in the year preceding the relevant threshold. The results do not have to be shown for the criterion to be evidenced. The only evidence required is that 360 appraisal has been undertaken as part of the appraisal process. 12

13 3 Threshold two for Specialty Doctors Doctors passing through threshold two will need to evidence the requirements as set out for threshold one. This section sets out evidence that could be provided as part of the portfolio for meeting the requirements for threshold two. It is not exhaustive: it is intended to provide guidance of the type of evidence that may be provided. 3.1 An increasing ability to take decisions and carry responsibility without immediate/direct supervision Doctors may have access to this information via the hospital or clinic s IT systems. Where this is not available evidence for meeting this criterion could include documentation demonstrating: Patients seen through a written record gathered by the doctor of the patients seen and care provided (clinic lists, reflective notes). Communication with the clinical team and/or within the directorate this could be evidenced by copies of letters, memos, etc demonstrating increasing responsibility. Management of patients without immediate/direct consultant input evidenced by clinic records incorporating management plan for the patient, referral letters, clinic letters. Advising juniors, nurses and senior colleagues or patient management evidenced by medical notes, clinical records, reflective notes. That the doctor covers clinics/ward rounds for sick/absent senior colleagues medical notes, clinical records, clinic letters, outpatient lists and reflective notes. That the doctor takes a senior role at a procedure/operation, evidenced by medical notes, clinical records and reflective notes. 3.2 Contributions to a wider role within the department or nationally In addition, contributions to a wider role within the department or nationally, could be evidence This could include evidence of: Management or leadership: Setting up rotas, looking at clinic profiles and making suggestions for improvement, or looking at ways of improving efficiency within the team/clinic. Taking part in Multidisciplinary Meetings and/or Case Conference. Evidence could include notes of meetings, copies of case conference, copies of rotas etc. Representative work: This could include activities on behalf of the Specialty Grade, Employer, Health Service and/or involvement in the LNC, Division, Region, National e.g. BMA, Craft Committee, Council or College and/or involvement in Meetings, Evidence of attendance could be provided, drafts of papers or reports produced Committee work: As above Teaching and training (of others): This could be either direct such as teaching a course either International, National, Regional, Employer, Department or College; or indirect such as organising courses, developing programmes, inviting speakers etc. Setting up an electronic course, developing presentations to be given out on CDROM i.e. Induction Courses Other key teaching work includes on the job training such as ward rounds, and/or supervising procedures, teaching junior doctors or nurses in a clinic or in lectures showing procedures to nurses or any grade doctor. Evidence could include entries in junior procedure logs, formal feedback documented at the end of any rotation, letters of appreciation; reflective notes etc Supervision of juniors in their audits

14 The audience for the teaching could include Medical Career Grades, Juniors, Undergraduates, GP s other specialties; Paramedical Nurses, Physiotherapy, OT, Paramedics; The Public Self help groups British Diabetes Society. Chest Heart and Stroke, RN18 Meetings Organising, Chairing, Speaking. In relation to evidence this could include Attendance Registers, Evaluation Forms, Handouts, Invitations and Programmes Service Development and modernisation This could include introducing new forms of documentation e.g. pro-forma for proper Handover Reports; introducing pro-forma for discharge letters or clinic letters; establishing systems for new and repeat patients or for improving interactions with primary care, diabetes shared care cards, introducing new systems for returning results of Out Patient clinic investigations to GP s. It could also include follow up new procedures in a particular treatment setting and subsequent collation of results or introducing new ways of taking swabs from different sites for e.g. new methods of transporting specimens to respective laboratories or implement new methods of how clinics are run or create fliers to promote new procedures and practice. Any innovation introduced as a result of an audit. This could be evidenced by paperwork as the systems are introduced copies of memos, letters, any pro-forma, written systems. 3.3 Threshold Two For New Associate Specialists Doctors passing through threshold two will need to evidence the requirements as set out for threshold one. This section sets out evidence that could be provided as part of the portfolio for meeting the requirements for threshold two, it is not exhaustive, and it is intended to provide guidance of the type of evidence that may be provided Demonstrate ability to make independent decisions about diagnosis, management follow up and definite treatment within the defined field of expertise Doctors may have access to this information via the Trust IT systems Where this is not available, evidence for meeting this criterion could include documentation demonstrating: Patients seen per clinic through written record gathered by the doctor (clinic lists, patient lists, reflective notes) The number of complicate/complex interventions per session through written record kept by the doctor. Communications with the clinical team and/or within the directorate this could be evidenced by copies of letters, memos, etc. Management of patients without consultant input evidenced by clinic records incorporating management plan for the patient, referral letters, clinic letters. Advising juniors, nurses and senior colleagues on patient management evidenced by medical notes, clinical records, reflective notes. That the doctor covers clinics for sick/absent consultants medical notes, clinical records, clinic letters, outpatient lists, reflective notes. That the doctor is the most senior person present at a procedure evidenced by medical notes, clinical records and reflective notes. 3.4 Contributions to a wider role within the department or nationally In addition, contributions to a wider role within the department or nationally, could be evidenced This could include evidence of: Management of leadership: Participating in Multi-disciplinary meeting, and/or case conferences. Evidence could include notes of meetings, copies of case conferences minutes, copies of rotas etc. Work 14

15 as clinical director, or other management role. Representing senior staff on clinical risk committees, medicines management committees, implementation groups for IT, new procedures etc. Representative work: This could include activities on behalf of the specialty, grade, employer, health service and/or involvement in the LNC, division, region, national e.g. BMA, craft committee, council or college and/or involvement in meetings. Evidence of attendance could be provided, drafts of papers or reports produced. Committee work: as above A significant role in teaching: This could be either direct such as teaching a course international, national, regional, employer, department or college; or indirect such as organising courses, developing programmes, inviting speakers etc. Setting up an electronic course, video conference links with the Royal College or other nationally/internationally recognised bodies, developing presentations to be given out on CDROM i.e. Induction courses Other key teaching work includes on the job training as the most senior doctor on the ward rounds or supervising procedures in a clinic or on a ward, departmental teaching, and lectures showing procedures to other senior doctors. Evidence could include entries in other doctors procedure logs, formal feedback documented at the end of any rotation, letters of appreciation, reflective notes etc The audience for the teaching could include Medical Career Grades, Juniors, Undergraduates, GP s other specialties; Paramedical Nurses, Physiotherapy, OT, Paramedics; The Public Self help groups British Diabetes Society, Chest Heart and Stroke, RNIB Meetings Organising, Chairing, Speaking. In relation to evidence this could include Attendance registers, Evaluation forms, handouts, invitations and programmes. An ability to Innovate within their area of Specialism: This could include introducing new forms of documentation e.g. the Royal College s pro-forma for proper handover reports; introducing pro-forma s for discharge letters or clinic letters; establishing systems for new and repeat patients or for improving interaction with primary care, diabetes shared care cards, introducing new systems for returning results of Out Patient clinic investigations to GP s. It could also include follow up new procedures in a particular treatment setting and subsequent collation of results or introducing new ways of working across different sites for e.g. new method for transporting specimens to respective laboratories or implement new methods of how clinics are run or create fliers to promote new procedures and practice. Introducing new surgical procedures, techniques or instruments. Preparing a business plan for a service. Any innovation introduced as a result of audit. This could be evidenced by paperwork as the systems are introduced copies of memos, letters any pro-formas, written systems. Research (if appropriate) Involvement in drugs trials, prospective study, participating in multi-centre prospective study of new drug, therapy or procedure involvement in ethics committees, supervising a study. Audit Regular completion of audits and demonstration of action on outcomes if appropriate. 3.5 Reflective Notes Reflective notes are a useful way of recording progress. The notes themselves will not be assessed as part of the process for assessment for progression through the thresholds but are a useful part of learning and development process. These could take the form of brief notes made by the doctor about the doctor s progress, learning, training, assessment, appraisal, trainers etc. This could also include personal views on any aspect of the work and development. Reflective notes can be both clinical and non-clinical issues. They can be gathered at the time opportunistically, handwritten while on ward rounds, between patients being seen at a clinic An experience might be a particular interesting/difficult case or critical incident; but may also include an educational event training session, lecture, course, conference, work based project, audit or open learning activity. 15

16 3.6 Audit Audit generates change where a doctor, team or department fails to meet the set standards or guidelines for practice. This is innovation and the change introduced, dependent on whether it affects resources structure or process, can be used as evidence under the categories above. For example, following an audit on standards of care at diabetes Out Patient clinics, drawing up protocol for use by juniors used in induction. This demonstrates innovation and training/education. 16

17 Sign off form for Pay Increments Appendix 3 Doctors Name. Year Payroll code and grade step: Date increment due:.. Please tick to confirm completion of Incremental criteria: Participated in appraisal process. Made every reasonable effort to meet objectives. Made every reasonable effort to fulfill job plan. Participated in job planning process. Fulfilled criteria to progress to next incremental point. Specialty Doctor / Associate Specialist: Signature Date.. Name.. Supervising Consultant: Signature Date.. Name.. Clinical Director: Signature.Date Name Last signatory to send one copy to the doctor and the second copy to the Medical Director. and to complete electronic form ESR 2PC for the pay increment to be applied 17

18 Sign off form Pay Thresholds Appendix 4 Doctors Name:. Year:.. Date Threshold one due:.. Date Threshold two due:... Please tick to confirm completion of Incremental criteria: Participated in appraisal process Made every reasonable effort to meet objectives Made every reasonable effort to fulfill job plan Participated in job planning process Additional criteria for passing through Threshold 1: Made every reasonable effort to participate in 360 degree appraisal and feedback (work in progress) Additional Criteria for passing through Threshold 2: Made every reasonable effort to participate in 360 degree appraisal and feedback (work in progress) Demonstrated increasing ability to take decisions and carry responsibility without direct supervision Provide evidence to demonstrate contribution to a wider role Fulfilled criteria to progress through Threshold 1 / Threshold 2 Specialty Doctor / Associate Specialist: Signature Date.. Name. Supervising Consultant: Signature.. Date Name. Clinical Director: Signature.. Date. Name Last Signatory to send copy to the doctor and the second copy to the Medical Director, and to complete electronic form ESR 2PC for a move through a threshold to be applied. 18

19 Appendix 5 (i) Progression through new Specialty Doctor and Associate Specialist Grades As a SD or AS you must: Step 1: Start a personal portfolio. Evidence for passing through threshold one and two will be gathered by the doctor through the development of a portfolio. This will contain documentary evidence of work undertaken and skill development and will include relevant CPD, appraisal and job plan documents. A personal portfolio will enable the doctor to provide an ongoing record of their achievements and developments. Step 2: Arrange a review with your clinical supervisor to take place 1 year before your threshold date to discuss the evidence that will be required of you at the review. Step 3: Collect evidence of your achievements and development to support your progression through the thresholds(s), this will vary depending on your grade and current threshold position (see appendix 2 of policy) Step 4: Ensure that you have participated in an annual appraisal, made every reasonable effort to meet objectives and made every reasonable effort to fulfill job plan, participated in join planning process. Step 5: Take part in threshold review with clinical supervisor and complete sign off form. 19

20 Appendix 5 (ii) Progression through the new Specialty Doctor and Associate Specialist Grades As Clinical Supervisor you must: Step 1: Take overall responsibility for the application of the policy within your area of responsibility. Step 2: Meet with your AS/SD yearly to discuss their job plan and specify clear objectives for their development. Step 3: Facilitate support to AS/SD to enable them to demonstrate criteria has been met to pass through increments and thresholds. Step 4: Meet with them 1 year before a threshold to clearly explain and document what will be assessed at the forthcoming threshold meeting. Step 5: Lead review meeting and assess if AS/SD has fulfilled criteria to progress through thresholds and complete documentation to support your decision process. 20

21 Supplementary Section A - Stage One Equality Impact Assessment Form Please refer back to section 6.5 for additional information 1. Have you identified any areas where implementation of this policy would impact upon any of the categories below? If so, please give details of the evidence you have for this? Grounds / Area of impact People / Issues to consider Type of impact Description of impact and reason / Negative (it could disadvantage) Positive (it could advantage evidence Race People from various racial groups (e.g. contained within the census) Gender Male, Female or transsexual/transgender. Also consider caring, parenting responsibilities, flexible working and equal pay concerns Disability The Disability Discrimination Act 1995 defines disability as a physical or mental impairment which has a substantial and longterm effect on a persons ability to carry out normal day-to-day activities. This includes sensory impairment. Disabilities may be visible or non visible Sexual Orientation Lesbians, gay men, people who are bisexual Age Children, young, old and middle aged people Religion or belief People who have religious belief, are atheist or agnostic or have a philosophical belief that affects their view of the world. Consider faith categories individually and collectively when considering possible positive and negative impacts. 2. If you have identified that there may be a negative impact for any of the groups above please complete questions 2a-2e below. 2a. The negative impact identified is intended OR 2b. The negative impact identified not intended 2c. The negative impact identified is legal OR 2d. The negative impact identified is illegal OR (see 2e) (i.e. does it breach antidiscrimination legislation either directly or indirectly?) 2e. I don t know whether the negative impact identified is legal or not (If unsure you must take legal advice to ascertain the legality of the policy) 21

22 3. What is the level of impact? HIGH - Complete a FULL Impact Assessment (see end of this form for details of how to do this) MEDIUM - Complete a FULL Impact Assessment (see end of this form for details of how to do this) LOW - Consider questions 4-6 below 4. Can any low level negative impacts be removed (if so, give details of which ones and how) 5. If you have not identified any negative impacts, can any of the positive impacts be improved? (if so, give details of which ones and how) 6. If there is no evidence that the policy promotes equality and equal opportunity or improves relations with any of the above groups, could the policy be developed or changed so that it does? 7. Having considered the assessment, is any specific action required - Please outline this using the pro forma action plan below (The lead for the policy is responsible for putting mechanisms in place to ensure that the proposed action is undertaken) Issue Action proposed Lead Deadline 22

23 8. Lead person Declaration: 8a. Stage One assessment completed by :. (name). (signature) (date) 8b. Stage One assessment form received by Patient experience and Equality Team..(date) 8c. Stage One assessment outcome agreed. (sign here).... (Head of Patient Experience and Equality) OR (date agreed) 8d. Stage One assessment outcome need review.. (sign here).... (Head of Patient Experience and Equality).. (date returned to policy lead for amendment) (if review required please give details in text box below) If a full EQIA is required the stage 1 assessment form should be retained and a completed EQIA report submitted to the relevant governance group for agreement by the chair. The chair will forward the completed reports to the Patient Experience and Equality team for publication. Any questions relating to the completion of this form should be directed to the Head of Patient Experience and Equality. 23

24 Supplementary Section B - Human Rights Act Assessment Form and Flowchart You need to be confident that no aspect of this policy breaches a persons Human Rights. You can assume that if a policy is directly based on a law or national policy it will not therefore breach Human Rights. If the policy or any procedures in the policy, are based on a local decision which impact on individuals, then you will need to make sure their human rights are not breached. To do this, you will need to refer to the more detailed guidance that is available on the SHSC web site (relevant sections numbers are referenced in grey boxes on diagram) and work through the flow chart on the next page. 1. Is your policy based on and in line with the current law (including caselaw) or policy? x Yes. No further action needed. No. Work through the flow diagram over the page and then answer questions 2 and 3 below. 2. On completion of flow diagram is further action needed? No, no further action needed. Yes, go to question 3 3. Complete the table below to provide details of the actions required Action required By what date Responsible Person 24

25 Human Rights Assessment Flow Chart Complete text answers in boxes and highlight your path through the flowchart by filling the YES/NO boxes red (do this by clicking on the YES/NO text boxes and then from the Format menu on the toolbar, choose Format Text Box and choose red from the Fill colour option). Once the flowchart is completed, return to the previous page to complete the Human Rights Act Assessment Form. 1.1 What is the policy/decision title? What is the objective of the policy/decision? Who will be affected by the policy/decision?.. 1 Will the policy/decision engage anyone s Convention rights? YES Will the policy/decision result in the restriction of a right? 2.2 YES 2.1 NO NO Flowchart exit There is no need to continue with this checklist. However, o Be alert to any possibility that your policy may discriminate against anyone in the exercise of a Convention right o Legal advice may still be necessary if in any doubt, contact your lawyer o Things may change, and you may need to reassess the situation Is the right an absolute right? 3.1 YES NO 4 The right is a qualified right Is the right a limited right? YES 3.2 Will the right be limited only to the extent set out in the relevant Article of the Convention? 3.3 NO YES 1) Is there a legal basis for the restriction? AND 2) Does the restriction have a legitimate aim? AND 3) Is the restriction necessary in a democratic society? AND 4) Are you sure you are not using a sledgehammer to crack a nut? YES NO Policy/decision is likely to be human rights compliant BUT Policy/decision is not likely to be human rights compliant please contact the Head of Patient Experience, Inclusion and Diversity. Get legal advice Regardless of the answers to these questions, once human rights are being interfered with in a restrictive manner you should obtain legal advice. You should always seek legal 25 advice if your policy is likely to discriminate against anyone in the exercise of a convention right. Access to legal advice MUST be authorised by the relevant Executive Director or Associate Director for policies (this will usually be the Chief Nurse). For further advice on access to legal advice, please contact the Complaints and Litigation Lead.

26 Supplementary Section C - Development and consultation process This section should include details of: o Who was involved in developing the policy and any guidance followed. o Groups and individuals consulted (including staff side groups and service user / carer involvement). o Any changes made as a result of the consultation process. o Which governance group approved the document o Dates for consultation and approval. 26