The Newcastle upon Tyne Hospitals NHS Foundation Trust. Employment Policies and Procedures. Electronic Rostering and Attendance (ERA)

Transcription

1 The Newcastle upon Tyne Hospitals NHS Foundation Trust Employment Policies and Procedures Electronic Rostering and Attendance (ERA) Version No.: 2.0 Effective Date: 30 May 2014 Expiry Date: 30 November 2015 Date Ratified: 7 May 2014 Ratified by: Employment Policies & Procedures Consultative Group 1 Introduction This policy sets out the rules and guidelines that apply to the operation of the Electronic Rostering and Attendance (ERA) system. 2 Policy Statement 2.1 The key purpose of the ERA system is to: - facilitate effective and efficient management of staffing levels, rostering, and time and attendance monitoring - support the deployment of staff according to service needs - achieve safe and appropriate staffing levels and skill mix for all wards and departments - support compliance with the European Working Time Directive 2.2 The components of the ERA system include: a) Self-rostering where areas can use existing arrangements to create a roster b) Rostering and absence management c) Registering attendance at work d) Payroll e) ERA reports which can facilitate staffing and service management decisions 3 Aim of Policy The aim of this policy is to provide guidance to managers. The policy sets out guidance on: - Responsibilities - Key principles including roster responsibilities, general roster management, staffing levels, payroll - Rules and guidelines for the use of the ERA system - How rosters can be managed including shift duration, gaps in rosters - Guidance on roster methodology including registering attendance, shifts and working patterns, management of working time and leave. Page 1 of 12

2 4 Scope This policy applies to all staff from the date they go live on ERA. 5 Duties (Roles and Responsibilities) 5.1 The Executive Team is accountable to the Trust Board for ensuring Trust-wide compliance with policy. 5.2 Directorate Managers and Heads of Department/Service are responsible to the Executive Team for ensuring policy implementation. 5.3 The policy identifies ward/department managers (or appointed deputy) as responsible for making decisions relating to rostering and absence management in accordance with related HR policies. Managers are responsible for ensuring policy implementation and compliance in their area(s). 5.4 This policy provides guidance to all staff on rostering and absence management guidelines. Staff are responsible for complying with policy. 5.5 The Human Resources Department is responsible for the on-going management of the ERA system. 5.6 The ERA Team is responsible for supporting all aspects of electronic rostering and the ERA system. 6 Key Principles 6.1 Overview The Electronic Rostering and Attendance (ERA) system is a time and attendance, and e-rostering system that allows staff working time to be recorded electronically. The system also enables rosters to be compiled, leave to be requested and authorised, and enhancement payments and overtime to be calculated. Managers who are responsible for staff attendance and e-rostering will be supported by the ERA team to effectively and accurately use the ERA system including training and staff support. The ERA system has a bi-directional interface with the Trust s electronic staff record system (ESR) so that information about employment, attendance and leave are shared between the two systems. 6.2 Roster Responsibility Managers are responsible for the allocation of staff to ensure the effective delivery of services with due consideration of: Page 2 of 12

3 a) Service needs/demands b) The health, safety and welfare of patients and staff c) The Nurse Staffing Strategy that helps inform planned staffing levels Managers are responsible for completing and publishing a roster. Ideally the roster should cover a period of 6 weeks and be published at least two weeks in advance Managers are responsible for ensuring appropriate arrangements are in place for roster changes to be administered and approved Prior to the completion and publication of the roster the manager needs to review planned staff/rostered hours against contracted hours. The manager must ensure all employees fulfil their contracted hours Staff must not authorise or change their own exceptions, annual leave, TOIL, overtime or clocking changes. Audit processes are in place to check for self-authorisation (see Appendix A for details) Managers should ensure staff are aware of SMART e-employee for electronically entering shift preferences and/or making annual/study leave requests, and/or checking shift and annual leave balances. This practice reduces workload for managers. Shift and absence requests cannot be guaranteed and will be granted at the discretion of the appropriate manager. 6.3 Roster Management and staffing levels The allocation of staff will include movement within and across Directorates/Departments where appropriate (e.g. in cases of overstaffing) and/or necessary (e.g. where).stet Where a roster cannot be covered and the roster manager has exhausted all reasonable steps to address it, the Matron/Head of Department must be informed immediately and action taken to ensure an appropriate level of service is delivered Rosters must be auditable and retained in accordance with Trust policy (see Non-Health Related Records and Documents Retention Schedules ). 6.4 ERA payroll It is the Trust s intention to roll-out electronic payroll (via the ERA system) to all areas. An on-going programme is currently in place for this purpose. The ERA team will support department managers with the electronic payroll process. Paper-based systems should remain in place until areas are live with Page 3 of 12

4 electronic payroll Managers are required to review and authorise additional payments using payroll reports and the two-stage completion (manager) and authorisation (senior manager) process. All payment of additional hours, enhancements and overtime is the responsibility of the ward/department manager and their line manager. Appointed deputies have a role to play in maintaining their skills in using ERA, particularly when deputising during the payroll period The ERA team will prompt managers when the monthly electronic payroll process is due (on the 1st of the month or nearest working day) and when the process is due to close (payroll information is submitted by the ERA team on 10 th of the month or nearest working day). This process will be reviewed following full implementation of electronic payroll. 7 Rules and Guidelines 7.1 Rostering The person in charge of a group of staff must have the necessary knowledge, skills and experience to manage time, attendance and absence on ERA. It is important that managers appoint a trained deputy to manage ERA records in their absence Rosters should be created using the agreed minimum skill mix for each shift to ensure the appropriate level of service is maintained, and staff should be allocated evenly across the week to provide continuity In deciding the most appropriate level of cover, due consideration should include: service need; knowledge, skills and experience required; continuity; cost; and Working Time Directive Rosters should comply with the educational/developmental needs of learners A manager that feels a service cannot be covered appropriately should contact their Directorate Management team for further advice. 7.2 Gaps in rosters and best use of resources Managers are expected to apply the use of additional basic hours, overtime and/or Bank/ agency/locum staff only where necessary and with due consideration of patient safety, service need and staff health and wellbeing (see also point 7.5.1). All additional basic hours, overtime and/or temporary (shortterm) staff cover is subject to approval in advance by the appropriate manager (e.g. Directorate Manager, Matron, Clinical Director or *Patient Services Coordinator (* out of hours only). Page 4 of 12

5 7.2.1 Gaps in rosters should be covered in the first instance by asking part-time staff to work additional time provided their total hours do not exceed full time. Additional hours worked within full-time hours must be paid as additional basic units plus unsocial hours enhancement (where applicable), or given back as time off in lieu (TOIL) an employee is not entitled to both payment and TOIL for the same additional hours worked, they must only receive one or the other Hours worked in excess of full time (37½ per week or 40 per week for Medical and Dental staff) shall be paid as overtime or given back as TOIL - an employee is not entitled to both payment and TOIL for the same overtime hours worked, they must only receive one or the other Any remaining gaps should be filled by Bank/agency/locum staff Long term placement of temporary staff (Bank/agency/locum) requires prior approval from the Recruitment Control Group (RCG) Overtime shall not be authorised where it is to cover annual leave. 7.3 Shift duration Shifts should be allocated and worked in accordance with the Working Time Regulations policy, taking notice of the required rest and maximum working hours. The following apply: a) A standard early or late shift should be 7½ hours (excluding breaks), and in any event, no shorter than 6½ hours and no longer than 8½ hours (excluding breaks). b) A long day shift will be greater than 8½ hours (excluding breaks). c) No shift should be no longer than 12 hours (excluding breaks). d) The maximum number of consecutive 12-hour day shifts an employee can be required to work is three. Managers should use the ERA system to monitor this. e) The maximum number of consecutive night shifts an employee can be required to work in any two-week period should be no more than eight In clinical areas, three standard (early or late) shifts, or their equivalent (a total of 22½ hours) should be assigned per week where a student nurse and mentor are working together. Students must be flexible to comply with this requirement. Page 5 of 12

6 Nurses undertaking preceptorship will be rostered to work with their preceptor for a minimum of two standard (early or late) shifts, or their equivalent (a total of 15 hours) per week, for six weeks. 7.4 Staff registering attendance The ERA system s biometric hand readers are the default method for all employees to register their attendance at work. When it is not practical to use hand readers e.g. when starting or ending shifts off-site, in community settings etc., electronic timesheets should be used these are available to all staff via SMART e-employee. In a small number of cases, with agreement by the manager, PC clockings can be used as an alternative to electronic timesheets. This should be reviewed annually by the management team. Managers who are uncertain about which method to use should contact the ERA team for advice Staff must register their attendance in good time at the nearest working hand reader to their place of work so they are ready to start at the beginning of their shift, and must register the end of their shift at the nearest working hand reader on leaving their work area. For staff required to wear a unifom, it is their responsibility to change before the shift commences and after it finishes staff are not entitled to changing time within working time Managers have the ability to monitor which hand readers are being used to record attendance. Clockings are subject to audit. 7.5 Shifts and working patterns Shifts at night, weekends and Public holidays should normally be covered by permanent staff wherever possible to ensure experienced cover during the hours when senior support is at a minimum. It is recognised that some temporary staff may have relevant experience and this should be taken into account when rostering such shifts Staff in clinical areas on permanent night duty will work a minimum of two consecutive weeks on day duty every six months to enable them to keep up to date Clinical areas should have no more than three handovers in a 24-hour period, and the handover period should not normally exceed two hours. 7.6 Leave Management All requests for leave are subject to approval by the appropriate manager in advance of the time off requested and must be in accordance with the Trust s Annual Leave policy. Page 6 of 12

7 7.6.2 Each department will set the minimum and maximum level of annual leave allowed per week to ensure service needs are met and there is opportunity for staff to take their entitlement A request for annual leave shall not be granted where it would incur additional cost to cover, for example, additional basic hours/overtime/temporary/agency/locum/bank staff (see point above) Employees should review their outstanding annual leave entitlement on a regular basis (can be viewed via SMART e-employee) and plan their requests as far ahead as possible to ensure they take their entitlement before the end of the leave year and help ensure rosters can be covered at all times If staff do not ask to take their annual leave in a timely fashion and/or the manager considers the amount of outstanding annual leave will put rosters at risk of not being covered, staff will be required to submit a request to take some or all of their remaining leave (on available dates) without delay. If an employee fails to make a request, the manager will consult with them with a view to allocating some or all of their outstanding leave. Managers reserve the right to allocate dates on which leave must be taken. In such circumstances, no more than two consecutive weeks will be allocated at any one time, and notification of the date(s) will be given at least four weeks in advance The following absences should be recorded by managers in the ERA system: Annual leave Study leave Sick leave The following absences are recorded by HR: paternity leave maternity leave adoption leave suspension from duty career breaks trade union leave 7.7 Management of Time Accrued or Worked Short of Contracted Hours The Trust does not operate a flexi-time system whereby staff can voluntarily work hours in excess of their contracted hours to accrue time to take off in addition to their annual leave entitlement. However, other flexible working arrangements are available under the Trust s Flexible Working Arrangements policy. Fixed shifts Page 7 of 12

8 7.7.1 Time accrued is defined as hours from when an employee was required to work in excess of their contracted hours. It excludes overtime, work done whilst on-call, compensatory rest, and additional hours an employee was not required to work Any time accrued, or worked short of contracted hours should whenever possible be authorised in advance by the appropriate line manager. The amount of credit (TOIL) or debit time owing must be administered using the ERA system Time will accrue if an employee is required to work more than 30 minutes before their shift is due to start or 15 minutes after their shift is due to finish Time accrued or worked short of contracted hours should be cleared within 4 weeks of occurring When time accrued (TOIL) is taken, or when time worked short of contracted hours is made up, is subject to approval in advance by the appropriate line manager. Corporate standard shifts Staff working on corporate standard shifts have an hours worked balance applied by ERA based on their clockings. This may result in an hours +/- balance, but is not time accrued. Managers should be aware of this balance and manage it appropriately (if necessary) on a monthly basis. 8 Miscellaneous Medical Staff A small number of medical staff teams are using ERA to record absences (annual leave, study leave, protected research time, etc.) to inform appropriate staffing levels. Service Managers should contact the ERA Team for further information. 9 Training All users of the ERA system will receive appropriate training: ERA managers e-hl Management (classroom training via IT Training Department). This training is a requirement for those managing attendance and rosters on ERA 10 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 unlawfully discriminate against individuals or groups on any grounds. This policy has been properly assessed. Page 8 of 12

9 11 Monitoring Compliance with the policy Breach of this policy may be subject to action under the Disciplinary Procedure. Records held on the ERA system will be used (as appropriate) as part of any investigation. Standard/ Process/ Issue Monitor the compliance of Wards / Departments with the rostering policy Monitoring and Audit Method By Committee Frequency Annual sample Reporting from Heads of Annually audit of areas to the ERA system Human be determined by and other Resources Human Resources systems as Meeting required: ERA Team and other teams as required 12 Consultation and review of this policy This policy has been reviewed in consultation with the Employment Policies and Procedures Consultation Group. 13 Implementation of the policy (including raising awareness) Details of the policy will be circulated to all Trust managers following implementation. Further advice and guidance will be available from the ERA Team and Human Resources. 14 References Nurse Staffing Strategy Page 9 of 12

10 Appendix A Authorisation hierarchy for the Electronic Rostering and Attendance system (ERA) Standard Operating Procedure Purpose This document indicates the Trust recommended authorisation hierarchy for dealing with absence, overtime and exceptions in the ERA System. Clinical Directors (or designated PA. (The PA must receive authorisation from the Clinical Director to act on their behalf in this capacity, e.g. PA to the CD prior to each monthly payroll run to seek consent)) Approve/acknowledge exceptions for Directorate Managers Approve/reject annual leave for Directorate Managers Record sickness for Directorate Managers Approve/reject study leave for Directorate Managers Directorate Managers, Heads of Department and Corporate Leads Approve/acknowledge exceptions for Matrons/Senior Managers Approve/reject annual leave for Matrons/Senior Managers Record sickness for Matrons/Senior Managers Approve/reject study leave for Matrons/Senior Managers Other key duties: Approve payroll file Matrons/Senior Managers Approve/acknowledge exceptions for Sisters/Charge Nurses/Department Managers Approve/reject annual leave for Sisters/Charge Nurses/Department Managers Record sickness for Sisters/Charge Nurses/Department Managers Approve/reject study leave for Sisters/Charge Nurses/Department Managers Other key duties: Approve payroll file Sisters/Charge Nurses/Department Managers Approve/acknowledge exceptions for staff Approve/reject annual leave for staff Approve/record sickness Approve/reject study leave for staff Other key duties: Page 10 of 12

11 Keep roster up to date daily Complete payroll file monthly There are service areas in which some ERA responsibilities are delegated to band 2/3 supervisors/administrators The Roster Management (supervisor) Standard Operating Procedure (see link below) sets out the role of such supervisors and clearly states the boundaries of their responsibilities and those of their department managers Useful documents: ERA roster management for supervisors SOP: Training/Documents/ERA/Roster%20Management%20SOP%20supervisors%20V0 %201.pdf ERA roster management for mangers SOP: Training/documents/ERA/Roster%20Management%20SOP%20V0%201.pdf Page 11 of 12

12 THE NEWCASTLE UPON TYNE HOSPITALS NHS FOUNDATION TRUST IMPACT ASSESSMENT SCREENING FORM A This form must be completed and attached to any procedural document when submitted to the appropriate committee for consideration and approval. Policy Title: Electronic Rostering and Attendance (ERA) 1. Does the policy/guidance affect one group less or more favourably than another on the basis of the following: (* denotes protected characteristics under the Equality Act 2010) Policy Author: Yes/No? Race * ) Ethnic origins (including gypsies and travellers) ) Nationality ) Gender * ) see above Culture ) Religion or belief * ) Sexual orientation including lesbian, gay and bisexual people * ) Age * ) Ian Palfreeman (ERA team) You must provide evidence to support your response: Policy applies to all employees of the Trust. It is underpinned by the Trust s overriding policy on equal opportunities Disability learning difficulties, physical disability, sensory impairment and ) mental health problems * Gender reassignment * ) Marriage and civil partnership * ) 2. Is there any evidence that some groups are affected differently? There is no evidence to support any group was affected differently 3. If you have identified potential discrimination which can include associative discrimination i.e. direct discrimination against someone because they associate with another person who possesses a protected characteristic, are any exceptions valid, legal and/or justifiable? n/a 4(a). Is the impact of the policy/guidance likely to be negative? No (If yes, please answer sections 4(b) to 4(d)). 4(b). If so can the impact be avoided? n/a 4(c). What alternatives are there to achieving the policy/guidance without the impact? n/a 4(d) Can we reduce the impact by taking different action? n/a Comments: Action Plan due (or Not Applicable): Name and Designation of Person responsible for completion of this form: Mrs W Johnson, HR Manager (Projects) Date: 7 March 2014 Names & Designations of those involved in the impact assessment screening process: Employment Polices and Procedures Consultation Group (If any reader of this procedural document identifies a potential discriminatory impact that has not been identified on this form, please refer to the Policy Author identified above, together with any suggestions for the actions required to avoid/reduce this impact.) Page 12 of 12