Date Ratified 14/12/2012 SMART Project Board Review Date 01/08/2013 Director of Finance and Information Expiry Date 13/12/2015 Withdrawn Date

Transcription

1 Policy No: OP71 Version: 2.0 Name of Policy: SMART Time and Attendance System Policy Effective From: 19/12/2012 Date Ratified 14/12/2012 Ratified SMART Project Board Review Date 01/08/2013 Sponsor Director of Finance and Information Expiry Date 13/12/2015 Withdrawn Date This policy supersedes all previous issues. SMART Time and Attendance System Policy v2

2 Version Control Version Release Author/Reviewer Ratified by/authorised by /04/2012 Clare Jones/Brian Nicholson SMART Project Board Date 09/03/2012 Changes (Please identify page no.) /12/2012 Brian Nicholson/Karen Martin SMART Project Board 14/12/2012 4, 5, 6, 7, 8, 10, 11, 12, 13, 14, 15, 16, 17 SMART Time and Attendance System Policy v2 2

3 Contents Section Page 1 Introduction Policy scope Aim of policy Duties (roles and responsibilities) Definitions SMART Time & Attendance System Policy Time Recording and Remote Clocking Rest Breaks Minimum Daily Rest Periods Clocking Requirements for Paid Breaks Managing Exceptions Managing Leave (e.g. Annual, Flexi, Study) Absence Management Managing Time Off In Lieu (TOIL)/Rolling Hours Balance Managing Flexi Balances Roster Periods Work Zones Auto-roster Shift Preferences Bank Shifts Study Leave Mandatory Training Training Equality and diversity Monitoring compliance with the policy Consultation and review Implementation of policy (including raising awareness) References Associated documentation (policies) Appendices Appendix 1 SMART Level of Authority Agreement Appendix 2 SMART Request for Change Document Appendix 3 SMART Request for Change (RFC) SMART Time and Attendance System Policy v2 3

4 1 Introduction OP71: SMART Time & Attendance and erostering Policy 1.1 This policy outlines the practice and standards required by the Trust in relation to the management of Time & Attendance and erostering using the SMART system. 1.2 The SMART system provides automated time and attendance management with staff rostering and self rostering. The system is being implemented to all staff groups across the organisation both clinical and non clinical. 1.3 There is a two way interface between Employee Staff Record (ESR) and SMART. Details of new starters, leavers and relevant assignment changes are uploaded from ESR to SMART on a daily basis. Pay credit and absence information is then uploaded from SMART to ESR when required for Payroll processing. 1.4 Adherence to this policy will ensure that time and attendance and clinical rostering is managed equitably across the organisation and in accordance with employment legislation, employee terms and conditions, national NHS and local initiatives and policies and the Trust s Vision to be the Best Employer. 1.5 Staff costs of Gateshead Health NHS Foundation Trust account for 70% of its total expenditure and are in the region of 120m per annum. How staff are rostered and their time is managed can have a significant impact on expenditure and consequently it is very important that efficient systems are implemented across the Trust, for all staff, to accurately record their time and attendance. 1.6 This policy sets out Gateshead Health NHS Foundation Trust s standards for the use of the SMART system in accordance with: European Working Time Directive Agenda for Change Terms and Conditions Medical and Dental Terms and Conditions 1.7 The SMART time and attendance system is a management tool which can also be used to support other existing Trust policies as listed in section This policy sets out Gateshead Health NHS Foundation Trust s standards for the use of the SMART system in support of Improving Working Lives standards. 2 Policy scope 2.1 This policy applies to all members of staff working within Gateshead Health NHS Foundation Trust who are required to use SMART for time and attendance recording and for the production of staff rosters. SMART Time and Attendance System Policy v2 4

5 2.2 The policy applies to all members of staff who are recorded on the integrated Human Resources (HR) and Payroll system ESR. 2.3 The policy does not apply to non Gateshead Health NHS Foundation Trust employees working within the Trust: 3 Aim of policy Agency / Consultancy Staff Staff employed by other NHS organisations e.g. visiting consultants. 3.1 This policy provides guidance to ensure that SMART is used accurately, timely, equitably and consistently across the organisation. 3.2 The control of the use of SMART is essential, not only to comply with employment legislation and terms and conditions but as a key means of ensuring standardisation in the application of local personnel policies and the successful reduction of fraud. 3.3 This policy will provide guidance to ensure that staff who are entitled to enhancements & other additional payments over and above basic salary are paid correctly. Also to ensure all absence are recorded and transferred to ESR. 3.4 This policy does not cover basic salary changes and contracted hours normal processes continue. 4 Duties (Roles and responsibilities) Trust Board The Trust Board is responsible for implementing a robust system for recording time and attendance within the organisation. This includes ensuring that electronic systems for managing time and attendance are used equitably, consistently and accurately. Chief Executive The Chief Executive is ultimately responsible for ensuring effective time and attendance management within the organisation and therefore supports the Trustwide implementation of this policy. Director of Finance & Information The Director of Finance and Information has delegated responsibility for ensuring an effective, robust system is in place for the management of time and attendance within the Trust. Trust Managers / Supervisors / Team Leaders Managers within the Trust are responsible for ensuring the policy is adhered to in respect of themselves and the employees they manage. Trust Managers also have responsibility for ensuring that they and their staff are adequately trained on SMART and manage the system supported by the SMART System Administrator and/or SMART erostering Clinical Lead. Managers are responsible for informing the SMART Team using the request for change (RFC) process regarding New Employees and staff changes (Appendix 2) SMART Time and Attendance System Policy v2 5

6 Each Ward and Department will complete a SMART Levels of Authority form (Appendix 1) that will detail who is responsible for managing SMART auto-roster (where applicable), absence, exceptions and authorisation monitoring. It is the responsibility of the Ward / Department Manager to ensure that this document is kept up to date. All Staff All staff within Gateshead Health NHS Foundation Trust are responsible for ensuring that the principles outlined within this policy are universally applied. All Staff also have responsibility for ensuring that they are adequately trained on SMART and use the system as directed by the SMART System Administrator and / or SMART Clinical erostering Manager i.e. that SMART accurately reflects employees attendance, work patterns and breaks. SMART System Administrator The SMART System Administrator is responsible for the day to day-operational administration and end user support of the SMART Time and Attendance system within the Trust; specifically, user training, system configuration, user communications, data quality and reporting. Responsible for adding new Employees, completing any other staff changes following receipt of RFC documents from Trust Managers/Supervisors/Team Leaders. SMART Clinical erostering Manager The SMART Clinical erostering Manager is responsible for the day to day-operational administration and end user support of the SMART erostering system within the Trust; specifically, user training, system configuration, user communications, data quality and reporting. SMART Information Assistant The SMART Information Assistant is responsible in supporting the System Administrator with the day to day operational administration and end use support, system configuration and data quality reporting. 5 Definitions 5.1 SMART The system that provides automated time and attendance management with staff rostering and self rostering. 5.2 Time & Attendance Time and Attendance is the process of recording employee arrival and departure times, recording and calculating actual hours worked and maintaining absence information. 5.3 erostering erostering is the electronic planning, creation and management of the clinical off-duty. 5.4 Flexi Time Flexi time is a pattern of working that allows flexibility around start and finish times and unpaid break times but with agreed fixed core hours. SMART Time and Attendance System Policy v2 6

7 5.5 Core Time (Hours) Core times are the periods of a flexible shift pattern when all staff are expected to be at work, unless they are taking authorised leave or sickness/absence. 5.6 TOIL Time off in lieu is accumulated by working hours over and above the contracted hours. Staff who, for operational reasons, are unable to take time off in lieu within three months must be paid at the relevant overtime rate. The Manager must verify that the member of staff has been unable to take the time back and authorise the payment, to be made at the rate at which it was accrued. 5.7 Fixed shifts Fixed shifts are periods of working where there is no flexibility in start and finish times 5.8 Slip rule Attaching a slip rule to a fixed shift gives start time flexibility, exception will be raised if Employee works over/under contracted shift time. 5.9 Rest breaks European working time regulations state a minimum of 20 minutes unpaid break must be taken if the rostered shift is greater than 6 hours, however the Trust standard is 30 minutes. Where an employee is required to work during any time which is supposed to be rest time e.g. daily or weekly rest periods, then the worker must be allowed to take equivalent periods (the same number of hours lost) as compensatory rest. This compensatory rest should be taken as soon as possible, ideally within 24 hours if service needs permit Exceptions Exceptions are produced by the system to alert Managers if there has been a deviation to either the rostered/flexi shift e-employee e-employee accounts are created for each Employee which allows annual leave to be requested electronically and enables employees to check if the supervisor / team leader has accepted or rejected the request. Self roster staff can also request shift preferences up to 12 weeks in advance and study leave (if applicable). Flexi workers can request flexi full day and part-day absence requests. Employees can also monitor annual leave, flexi and TOIL balances, Employees can review pay credits prior to payroll running, minimising pay errors ehl ehl software is used by Managers to review /action exceptions and absence requests e.g. annual, flexi, study leave etc. Ward Managers use ehl to access auto roster to produce the clinical off-duty. SMART Time and Attendance System Policy v2 7

8 5.13 Rolling Balances Rolling +/- hours balance is calculated on a weekly basis by the SMART system. Rostered shifts are compared with contracted hours and the relevant adjustment is made to each employee s balance to reflect credit/debit balance. Acknowledged exceptions for leaving shift early will result in a debit to the rolling balance Work Zones Arrival - The time prior to the shift start that allows an employee to clock in early without accruing any overtime and assumes the employee is clocking in for a normal shift start. Start Grace - The time, following the normal shift start, where an employee can clock without penalty. Late - The time, following the normal shift start, when late arrival is to be monitored. Early Departure - The time prior to the completion of the normal shift, when early departure is to be monitored. End Grace - The time prior to the completion of the normal shift, where an employee can clock out without penalty. Departure - The time following the completion of the shift that allows an employee to clock out late without accruing any overtime and assumes the employee is clocking out at the normal shift end Young Worker Young worker is defined as an employee who is 15 years of age or over but under 18 years of age. 6 SMART Time & Attendance and erostering 6.1 Time Recording & Remote Clocking Whenever possible, staff should use the biometric hand-readers to record their attendance at work. If staff are unable to use the hand-readers, for example due to a short term injury or ongoing health condition such as arthritis, they can be registered as a special enrolment by a member of the SMART Team and would where possible use their left hand to register time and attendance. In exceptional circumstances where this was not practicable, staff can use a telephone or p.c. to register their attendance. Staff who regularly work in the community or are not based at a Trust site can use the remote telephone clock-in system (Panztel) by prior arrangement. Staff who are rostered or have a fixed shift pattern can clock in upon arrival (but are not encouraged to) earlier than shift start or out later at clock out. However, the shift will be paid in accordance to shift start times unless additional time/pay is authorised by the Manager in exceptional circumstances Staff who are on a flexi shift pattern or have a slip rule attached should only clock in to register time and attendance when they are ready to start work. SMART Time and Attendance System Policy v2 8

9 If for any reason a member of staff is unable to use either a hand-reader or Panztel to clock in or out they must inform their Manager / supervisor at the earliest opportunity of the time they arrived or left, where possible using the e-employee messaging functionality. It is then the responsibility of the Manager / supervisor to manually update the employee s attendance on ehl. If a member of staff forgets to clock in or out they must inform their Manager / supervisor at the earliest opportunity of the time they arrived or left, where possible using the e-employee messaging functionality and if practical clock in. It is then the responsibility of the Manager / supervisor to manually update the employee s attendance on ehl. Managers who have authorized the use of Panztel remote clocking for their staff are responsible for formalizing arrangements with regards to travel time. Any deliberate manipulation of the system to misrepresent the true hours worked by yourself or others e.g. persistently failing to use hand readers may be subject to disciplinary action or prosecution. 6.2 Rest Breaks All shifts patterns configured in SMART must conform to Working Time Regulations as documented in Section 27 of the NHS terms and conditions of service handbook (AfC Handbook) and also in accordance to T&C Service Handbook e.g. Medical and Dental. European working time regulations state a minimum of 20 minutes unpaid break must be taken if the rostered shift is greater than 6 hours, however the Trust standard is 30 minutes. It should be a break taken during working time and therefore should not be taken at the start or end of the day. The Trust considers a worker meal break entitlement to cover this requirement. Young workers are entitled to 30 minutes if working more than 4.5 hours. In exceptional circumstances where a rest break cannot be taken the unused entitlement should be claimed as a period of equivalent compensatory rest. Managers should ensure when managing this exception in SMART that a period of equivalent compensatory rest is provided. Where an employee is required to work during any time which is supposed to be rest time (e.g. daily or weekly rest periods) then the worker must be allowed to take equivalent periods (the same amount of time) of compensatory rest. This compensatory rest should be taken as soon as possible, ideally within 24 hours if service needs permit. Staff who hold the 1200 beep will have assumed unpaid breaks configured into the SMART shift. Staff with assumed breaks do not have to clock out for unpaid breaks. If staff are holding the 1200 Bleep are unable to take the unpaid break SMART will NOT prompt the Manager by raising an exception. It is the responsibility of the member of staff to notify the Manager when this occurs. The Manager must make the equivalent adjustment to the member of staff s TOIL balance. SMART Time and Attendance System Policy v2 9

10 It will be assumed that natural breaks in the shift will occur to ensure that Working Time Regulations are being adhered to. It is the responsibility of the Ward or Department Manager to formalise the arrangement for existing paid breaks with their staff. 6.3 Minimum Daily Rest Periods All rosters (off duties) produced in SMART must conform to Working Time Regulations as documented in Section 27 of the NHS terms and conditions of service handbook (AfC Handbook). Employees should normally have a rest period of not less than 11 hours in each 24 hour period. In exceptional circumstances, where this is not practicable because of the contingencies of the service, daily rest may be less than 11 hours. Managers should ensure when managing this exception in SMART that a period of equivalent compensatory rest is provided. 6.4 Clocking Requirements for Unpaid Breaks Flexi Time Staff who work according to agreed Department Trust s flexi time arrangements and are able to take unpaid breaks by agreement in exceptional circumstances of varying length are required to clock out for all unpaid breaks to ensure that the length of time being taken for breaks is accurately recorded Fixed Shifts Staff who work fixed shifts will have assumed breaks configured into the SMART shift. Staff with assumed breaks do not have to clock out for breaks. It is the line Manager s responsibility to ensure that staff are taking appropriate rest breaks as per working Time Regulations. If staff do not take the scheduled break or take longer than the scheduled assumed break SMART will NOT prompt the Manager by raising an exception. It is the responsibility of the member of staff to notify the line Manager when this occurs. If staff do not take the scheduled break the Manager must make the equivalent adjustment to the member of staff s TOIL balance. If staff take longer than the scheduled break the Manager must make the equivalent deduction from the member of staff s TOIL balance Fixed Shift Lone Workers In exceptional circumstances, Staff who are lone workers and are unable to take scheduled breaks will not have unpaid breaks configured into the SMART shift. Fixed shift lone workers do not have to clock out for the break. SMART Time and Attendance System Policy v2 10

11 It will be assumed that natural breaks in the shift will occur to ensure that Working Time Regulations are being adhered to Bleep Holders Refer to Section Managing Exceptions Managers / Supervisors / Team Leaders Are responsible for managing exceptions raised in a timely manner to ensure that employee s pay credits, TOIL balances, flexi balances and absences are accurate and up to date. It is recommended that Managers must monitor and act on exceptions and ensure that absences & shift changes are entered on a daily basis. In particular all exceptions should be acted upon prior to the published payroll cut off dates to alleviate potential payroll errors. (Payroll cut off dates can be found on the SMART intranet page) Members of Staff Members of staff are responsible for monitoring their own pay credits, TOIL and flexi balances using eemployee and for raising any errors / omissions with their Manager. Members of staff are responsible for notifying their line Manager of any exceptions to their work pattern that will not have automatically raised an exception in SMART using the e-employee messaging functionality (where possible). E.g. fixed shift member of staff with an assumed unpaid break of 30 minutes who has taken 1 hour to attend a personal appointment Self approval of Exceptions that will generate a payment No member of staff may self approve any exception that will generate a pay credit Self approval of other Exceptions Staff band 8a and above can with their line Managers approval manage their own unpaid exceptions. These individuals may devolve this to a member of staff from a lower band where necessary. This may only be for the senior Managers exceptions and not exceptions of any other staff or the individuals themselves. It is the responsibility of the Managers of Band 8a and above to use the reports available in SMART to regularly review the work patterns of those staff to check the devolved responsibilities are being carried out correctly. SMART RFC / Levels of Authority documents must be completed for each Ward and Department. This will document which members of staff are responsible for managing exceptions and whose exceptions they are responsible for. SMART Time and Attendance System Policy v2 11

12 6.5.5 Delegation Where the management of exceptions needs to be delegated to cover absence, this should be documented on the Levels of Authority form. 6.6 Managing Leave (e.g. Annual, Flexi, Study) Managers / Supervisors / Team Leaders Are responsible for acting on all requests for leave in a timely manner. It is recommended that leave requests are monitored and acted upon on a daily basis. When managing requests for leave, the Manager must first consider any TOIL and Flexi time owed to the employee. Managers are responsible for ensuring that the correct deduction is made from leave balances where appropriate. Managers of staff groups who do not use eemployee to request leave must follow the agreed local procedure for authorising leave requests and must ensure that SMART is updated accordingly. Managers are responsible for ensuring that annual leave balances are updated as appropriate at the start of the new leave year Clinical Managers Managers of clinical staff who are part of a self roster group must make sure that they apply the correct underlying shift for the absence if the absence is for a time period for which the roster is yet to be published Employees Are responsible for raising all requests for leave on eemployee as per local procedures and protocol. Employees are also responsible for monitoring any request raised to ensure that they have been approved by their Manager prior to the absence being taken. Employees are responsible for monitoring their leave balances on eemployee. For groups of staff that do not use e-employee to request absence they must follow the agreed local procedure for requesting absence and monitoring balances. 6.7 Absence Management Managers / Supervisors / Team Leaders Are responsible for recording absences on SMART in a timely and accurate manner as per the Managing Attendance Policy (PP11). SMART Time and Attendance System Policy v2 12

13 Part Day Absence Management of a part day absence is by authorisation of the absence exception Full Day Absence Management of a full day absence is by Special Day Booking on the first day of absence, booking is then extended for all subsequent days of absence Long term Absence Management of long term absence is by extending the period of the Special Day Booking. Managers should ensure that full annual leave balances are carried over on SMART for members of staff who are on long term absence. (PP11) Phased Return Where Annual Leave is taken to facilitate the phased return to work the Manager is responsible for ensuring that the annual leave is booked in SMART and annual leave balances are debited accordingly. Where an employee reduces the number of hours they work to facilitate a phased return the Manager must contact the SMART System Administrator who will adjust the employees shift patterns accordingly. Managers should ensure that full annual leave balances are carried over on SMART for members of staff who are on long term absence. (PP11) Clinical Managers Managers of clinical staff who are part of a self roster group must make sure that they apply the correct underlying shift for the period of leave if it is for a time period for which the roster is yet to be published Absence Reasons An absence reason MUST be entered and broken down into 1 st and 2 nd level reasons where possible, only in exceptional circumstances can S99 Sickness-Unknown causes be entered. Managers are responsible for updating absence reasons if these change during the period of absence. Records are kept in accordance with PP11. Note: when an absence reason is updated it will update the reason for the whole absence and not just from that point onwards. It is the responsibility of the Manager to ensure that the reason is updated appropriately. SMART Time and Attendance System Policy v2 13

14 6.7.2 Employees Are responsible for notifying and updating Managers of absence as per the Managing Attendance Policy (PP11). 6.8 Managing Time off in Lieu (TOIL)/Rolling Hours Balance Managers / Supervisors / Team Leaders Are responsible for ensuring that TOIL balances are accurate and up to date by managing exceptions in a timely manner. Managers should clarify the reason for the over working prior to authorising and select the correct TOIL authorisation code. This will ensure that the correct enhancement payment is made in line with AfC if applicable. Managers are responsible for ensuring that TOIL is taken within 3 months where operationally possible. Where this is not possible an agreement should be reached between Manager and Employee to either extend the 3 month period or make payments in accordance with AfC terms and conditions. If employees do not take the TOIL when they are operationally able to do so payment will not be made. The Manager should consider the employees TOIL balance when approving annual and study leave requests. Employees who are leaving the Trust/Ward/Department, Managers should prevent the employee accruing further TOIL during the notice period. The Manager should also ensure that where the leaver has a positive or negative TOIL balance appropriate measures are taken so that the balance is as near to zero as possible on the date of termination. If a negative or positive TOIL balance remains at the date of termination, the Manager should notify the Personnel Department for advice on how this should be managed. It is the Manager s responsibility to notify Personnel Department and make the appropriate adjustment on SMART if the decision is made to either pay the employee for a positive TOIL balance or make a deduction from pay for a negative TOIL balance, the Manager should contact the SMART System Administrator for advice on how to do this. Managers should also consider the TOIL balances of existing staff members prior to booking any Bank Shifts Employees Employees leaving a current post should avoid accruing further TOIL during the notice period. The employee is responsible for ensuring that any positive or negative TOIL balance is as near to zero as possible on the date of termination. SMART Time and Attendance System Policy v2 14

15 6.8.3 Rolling Balances Because of the nature of roster production and shift patterns it is possible and acceptable for employees to not work their contracted hours every week. Managers / Supervisors / Team Leaders It is the Manager s responsibility to monitor the rolling balance. An employee s rolling balance should never exceed 12 hours or the employees maximum shift length (whichever is the shortest). The Manager should regularly review rolling balance against the employees TOIL balance and make appropriate adjustments as necessary. Managers should ensure that additional shifts are regularly allocated to reduce the rolling hour s deficit. An employee s rolling hours balance should be reviewed when study leave is requested. The Manager should review rolling hours balances prior to requesting Bank Shifts 6.9 Managing Flexi Balances Flexi balances should be managed in line with local flexi policies and procedures. Managers of leavers (to post) should prevent the employee accruing further flexi time during the notice period. The Manager should also ensure that where the leaver has a positive or negative flexi balance appropriate measures are taken so that the balance is as near to zero as possible on the date of termination. If a negative or positive flexi balance remains at the date of termination the Manager should contact the Personnel Department for advice on how this should be managed. It is the Manager s responsibility to make the appropriate adjustment on SMART if the decision is made to either pay the employee for a positive flexi balance or make a deduction from pay for a negative flexi balance, the Manager should contact the SMART System Administrator for advice on how to do this Roster Periods Roster periods are set at 6 weeks across the Trust. Staff can specify their shift preferences up to 12 weeks in advance of the roster period. Roster periods including picking and freeze periods are available on the intranet. SMART Time and Attendance System Policy v2 15

16 6.11 Work Zones SMART standard configuration comes with NHS Core Work Zones which apply Trust wide. These are currently set as follows: Arrival = 44 minutes Start Grace = 15 minutes Late = 15 minutes Early Departure = 15 minutes End Grace = 15 minutes Departure = 15 minutes 6.12 Auto-roster Shift Preferences Core Clinical Staff Full-time Staff can request 1strong preference (red request) per week that can be either days off or shifts or a mixture. They can also have one normal preference shift (black request) per week on top Part Time Staff As per study leave strong/normal requests are pro rata for part time staff depending on what contracted hours are worked: Contracted Hours Preferences hrs 6 strong 6 normal 30-34hrs 5 strong 5 normal hrs 4 strong 4 normal 22.5hrs and under 3 strong 3 normal Pro rata preferences will be configured into the auto-roster for wards / Departments, it is the Managers responsibility to inform the SMART System Administrator if their contracted hours change using the RFC process Employee It is the employee s responsibility to monitor their own rolling hours balance. They are responsible for bringing to their Manager s attention regular increases to this balance or when the balance exceeds 12 hours or their maximum shift length (whichever is the shortest). They should also bring any regular shortfall of hours worked to their Managers attention at their earliest convenience and be prepared to negotiate some means of payback to cover the shortfall which can be back dated to include a period of time inclusive of, but not exceeding their first recorded date on SMART. Employees will be aware there will be an expectation to work additional shifts to reduce this balance. SMART Time and Attendance System Policy v2 16

17 6.13 Bank Shifts Prior to requesting Bank Shifts, following the normal procedure, ward Manager s should consider existing staff s TOIL and rolling balances Study Leave Managers should ensure when study leave is applied that they use the Special Day Booking Study Leave and the correct Study Leave underlying shift Essential Training 7 Training Managers should ensure when Mandatory Training is applied that they use the Special Day Booking Essential Training and the relevant underlying shift, regardless of the employees contracted hours is applied as per Education Training and Development Policy PP e-employee elearning (captivate demonstrations) located on the SMART page of the Trust intranet, one for self rostering (Wards) and the other fixed shifts/flexi workers. Additional small group and out of hours training is available for employees who require additional support. e-employee should be covered as part of local induction policy. 7.2 Hand Reader Supervisor Training Person(s) nominated by the department are trained how to register staff and other hand reader supervisors on the hand reader. Hand reader supervisors then continue to register the rest of the department and are responsible for registering future new employees. 7.3 ehl Fixed Shifts/Flexi Bespoke training scenarios relevant to the department are created for each ehl Manager using staff from their staff group. Training sessions last approximately 2.5 hours and are delivered in small groups or on a one-to-one basis. Captivate demonstrations are also available on the SMART webpage to support initial end user training. 7.4 ehl Self Roster Groups Bespoke training scenarios relevant to the department are created for each ehl Manager using staff from other ward areas. Training sessions last approximately 2.5 hours and are delivered in small groups or on a one-to-one basis. Captivate demonstrations are also available on the SMART webpage to support initial end user training 7.5 Auto Roster Self Roster Groups Ward Managers and / or nominated staff attend the Project Management Office for a full day to learn the auto roster system. Ongoing support is provided as necessary. SMART Time and Attendance System Policy v2 17

18 8 Equality and diversity The Trust is committed to ensuring that, as far as is reasonably practicable, the way we provide services to the public and the way we treat our staff reflects their individual needs and does not discriminate against individuals or groups on any grounds. The system can help people to manage their work-life balance, and can therefore have a positive impact on all staff groups. Reasonable adjustments can be made to ensure disabled staff and people with other health conditions that affect the use of their hands can utilise the system. This policy has been appropriately assessed. 9 Monitoring compliance with the policy Monitoring compliance with this policy will be the responsibility of the Director of Finance, although on a day to day basis the SMART system administrator will monitor the use of the system. The Project Board will then agree the monitoring body for this policy once it has been fully implemented across the trust. Standard / Process / Issue Time Recording & Remote clocking Rest Breaks & Rest Periods Managing exceptions Managing Leave Absence management TOIL / Flexi / Rolling Balances Monitoring and audit Method By Committee Frequency Monitoring clocking SMART Project to identify pattern of Team Board non hand reader or non remote clocking Ensure configured shifts confirm to working time regulations Monitor exceptions are being managed in a timely manner Monitor absence requests are being managed in a timely manner Ensure absence is managed accurately and in a timely manner Monitoring balances are appropriately managed SMART Team SMART Team SMART Team SMART Team / Payroll SMART Team Project Board Project Board Project Board Project Board Project Board Ongoing as part of implementation Ongoing as part of implementation Ongoing as part of implementation Ongoing as part of implementation Ongoing as part of implementation Ongoing as part of implementation 10 Consultation and review This policy has been reviewed in consultation with SMART Project Team/Board, 3 year review period. 11 Implementation of policy (including raising awareness) Policy written in accordance with OP27, written in a standard format and managed through the Sharepoint (Pandora) document Management System on the Trust s intranet. SMART Time and Attendance System Policy v2 18

19 12 References Medical and Dental terms and conditions AfC Terms and conditions. Local flexi policies. Managing Attendance Policy 13 Associated documentation PP09 Authorisation of Leave PP11 Managing Attendance PP18 Flexible Working PP14 Equal Opportunities in Employment PP24A Maternity & Adoption Policy PP24B Maternity Support (Paternity) Policy PP29 Education Training and Development Policy PP34 Working Time Regulations PP36 Fraud System Specific Security Policy (SSSP) Business Continuity Plan (BCP) SMART Time and Attendance System Policy v2 19

20 Appendix 1 SMART Level of Authority Agreement SMART Level of Authority Agreement Ward / Department The following table details the actions I have agreed can be carried out by staff in specified posts in the above ward / department. Position Pay Band Actions authorised to carry out Authorising Officer (see over for explanation of codes) Name: Position: Signature: Date: Authorising Officer Responsibilities: Ensure only the authorised post holders carry out agreed actions, by regular monitoring of system security reports. Ensure all exceptions and authorisations are made in a timely manner. Ensure all absences are entered and maintained to be real time. Keep this document up to date and ensure it s contents are communicated to relevant post holders. Original to be held by SMART System Administrator Copy to be given to all post holders listed Copy to be kept by Authorising Officer and must be made available for inspection by Audit when required. SMART Time and Attendance System Policy v2 20

21 1A 2A 2B 2C 3A 3B 3C 4A 4B 5A 5B 6A 6B 6C 7A 7B 7C 8A 8B ANNUAL LEAVE Authorise and amend SICKNESS ABSENCE Add / edit / delete amend sickness absence SICKNESS ABSENCE - View only SICKNESS ABSENCE - No authority to view CLOCKING IN/OUT Add / edit / delete clockings CLOCKING IN/OUT - View only CLOCKING IN/OUT No authority to view EXCEPTIONS - Action exceptions EXCEPTIONS - View only AUTHORISING OVERTIME - Authorise overtime AUTHORISING OVERTIME - View only BALANCES Add / edit / delete balances BALANCES View only BALANCES No authority to view PAY CREDIT ROWS Add / edit / delete balances PAY CREDIT ROWS View only PAY CREDIT ROWS No authority to view AUTO ROSTER (SELF ROSTER AREAS) - Access to auto roster AUTO ROSTER (SELF ROSTER AREAS) No authority to access SMART Time and Attendance System Policy v2 21

22 Appendix 2 SMART Request for System Access Gateshead Health NHS Foundation Trust SMART ehl Request for Access Form Please complete and check the following details, sign and return to the SMART System Administrator, Agile Office, Hancock Building (Old Ward 5), Queen Elizabeth Hospital. Please Note: user ID s and passwords WILL NOT be issued for the system until the relevant system training has been given. Surname First Name Title Job Title Payroll No Telephone Ext. Start Date Department & Site For new employees who have not yet started at the Trust, please ensure the supervisor s telephone number is included below as we will use this contact to arrange training. Manager Authorising Request (please print name): Signature: Department: Date: Ext: You will be required to change your password every 30 days (your user ID will stay the same), the system will prompt you when a change is due. The password must be at least 6 characters long. Your password MUST NOT be used by anyone other than yourself. All personal data to which you have access including patient data is covered by a duty of confidentiality and the Data Protection Act Any disclosure of this data to unauthorised individuals will result in a disciplinary hearing and may result in legal proceedings against you as an individual. Access to the system should be restricted to the areas on which you have been trained and need for your work, to access beyond this may commit an offence under the above Act or the Computer Misuse Act These issues are covered in detail in the Trust IM&T Security Policy, copies of which are held in the IM&T Department. Further details are available from the Trust s IM&T Security Manager. Please sign below to confirm that you accept responsibility for the password that is being issued to you, and any transactions carried out under this password will be your sole responsibility. User Signature: Date: For Office Use Only User ID User Category Hospital Department Location Date & Initials of Issuer Date & Initials of Remover Attempted contact Attempt 1 Attempt 2 Attempt 3 SMART Time and Attendance System Policy v2 22

23 IT SYSTEMS TRAINING NEEDS QUESTIONNAIRE In order for us to assess your IT training needs, please complete the details below and enclose with the SMART ehl request for access form. Name: Dept: Title: Ext No: 1. How often do you use a computer? (Either at work or at home) Never Occasionally Regularly 2. Can you type? No Limited typing Yes 3. Can you use a mouse? No Yes 4. Are you familiar with the Windows desktop? (Screen with icons on) No Yes 5. Can you open and close applications? (e.g. Word, Excel etc) No Yes 6. Can you minimize, maximize and move open Windows? No Yes 7. Have you used an NHS hospital system before? No Yes If yes please give details: 8. Have you attended any IT Training Courses? No Yes If yes please give details: Please return this form to: SMART System Administrator, Agile Office, (Ward 5), Queen Elizabeth Hospital. SMART Time and Attendance System Policy v2 23

24 SMART SECURITY REQUIREMENTS FORM In order for us to set-up the correct security, your Line Manager will need to identify and complete the below which authorises system controls against your SMART profile. Trainee Name: Dept: Manager: Signature: Job Title: Ext No: Ext No: Date: Please tick the relevant boxes below to indicate the training and system security levels that are required. Access will only be given when system training has been delivered and the required levels of user competence have been displayed. Please note staff may have to attend further training sessions with Payroll Department with regards to authorising overtime payments to staff. 1. SECURITY TO AUTHORISE ANNUAL LEAVE Yes No 2. SICKNESS ABSENCE Full access to add sickness absence Read only Restrict access not able to view sickness absence reasons 3. CLOCKING IN/OUT Full access to add/edit/delete clockings Restrict access not able to view 4. EXCEPTIONS Full access to action exceptions 5. AUTHORISING OVERTIME Able to authorise overtime 6. BALANCE S WITHIN SMART Full access to add/edit/delete balances Restrict access not able to view 7. CREDIT ROWS WITHIN SMART Full access to add/edit/delete balances Restrict access not able to view 8. AUTO ROSTER (SELF ROSTER AREAS) Access to auto roster System Administrator comments: Read only Read only Read only Read only Read only Restrict access Please return this form to: SMART System Administrator, Agile Office, (Ward 5), Queen Elizabeth Hospital SMART Time and Attendance System Policy v2 24

25 Appendix 3 SMART Request for Change (RFC) SMART Change Control Request Process Change Request: Description: Requested on: Requestor Name: Requester Department Change control reference number: Implementation Plan: SMART Time and Attendance System Policy v2 25