HR POLICY AND PROCEDURE: Professional Registration Policy

Transcription

1 HR POLICY AND PROCEDURE: Professional Registration Policy Reference Number: Author & title: Sue Smith, Assistant Director of HR Responsible Directorate: Human Resources Review Date: December 2012 Ratified by (committee): TCNC HR Policy and Terms & Conditions Subgroup Date Ratified: 20 January 2010 Version: 4 Related Policies Recruitment & Selection Policy & Preand Post- Employment Checks (118) Honorary Contracts Guidance Page 1 of 13

2 Inde: Policy 3 1. Introduction 3 Procedure 4 2. Employees Covered by this policy 4 3. Problems with Registering Bodies 4 4. Procedure on Identification of a Lapse of Registration 4 5. Investigation of a Lapse of Registration 5 6. Procedure for dealing with Employees who refuse or choose not to renew their Registration 6 7. Interpretation, Variation and Termination 6 APPENDIX 1: Consultation Schedule 7 APPENDIX 2: Staff Groups Covered by Professional Registration 8 APPENDIX 3: Letter to Employees who have not Renewed Their Registration 10 Equality Impact Assessment Screening Form 12 Ratification Checklist 13 Page 2 of 13

3 Policy 1. Introduction 1.1 In order to best serve and protect patients and the public, it is the responsibility of all staff, employed in posts subject to registration with a Professional Body, to ensure that their registration with the relevant Professional Body is maintained up to date at all times and that they comply with the relevant professional codes of practice. 1.2 The registration of all new joiners to the Trust will be checked prior to their commencement by the Employment Services team in line with the Trust s Recruitment & Selection Policy (incorporating Pre- and Post- Employment Checks). 1.3 The registration of eisting employees whose posts require them to be registered will be checked on a rolling programme on a monthly basis by the Human Resources (HR) Department. The HR team member will check the registration of each member of state-registered staff directly with their professional registration body (see Appendi 2 below). 1.4 If a member of staff's registration lapses they will not contractually, and in many cases legally, be able to continue to carry out the duties of their post if their post requires them to be registered. It is therefore vital that staff ensure that their registration is maintained and that they monitor the renewal of their registration. 1.5 Monitoring, Compliance, Reporting & Assurance The Employment Services team will run monthly reports showing the completion of the required checks set out within this policy. Any noncompliance of these checks in line with relevant CQC and NHSLA standards and the actions put in place to correct these will be reported to the Non-Clinical Governance Committee (NCGC). The NCGC will review this report, assess compliance and identify any required further actions. 1.6 Review The policy authors will review this policy in line with its agreed review dates or any significant amendments to legal or regulatory requirements with consultation including the TCNC PSG. As an HR policy any review will involve input from both management and staff side representatives. Where there are no or limited changes resulting from the review the policy may be agreed for roll-over (including with minor changes) by the TCNC PSG. Where the revision results in significant changes, the revised policy will require ratification by the TCNC and Management Board for in line with the Trust s Policy Framework. Page 3 of 13

4 Procedure 2. Employees Covered by this policy Staff groups who are required normally to hold professional registration are contained within Appendi A. 3. Problems with Registering Bodies Where a registering body fails, or is unable to renew the registration of a member of staff due to a failure of that body's administrative systems the member of staff will normally be able to continue to work in their post if confirmation of this failure has been received from the required body. The situation will be kept under constant review subject to notification and other publicity released by the registering body. 4. Procedure on Identification of a Lapse of Registration 4.1 In the week before the date the registration is due to lapse the Divisional Senior Nurse (DSN) or Professional Lead (e.g. Clinical Led for medical staff, Head of Physiotherapy for physiotherapy staff) is informed by e mail by the Workforce Information Team that the member of staff's registration is due to lapse. This is copied to the Matron/Clinical Manager, Divisional Manager and relevant HR Manager as appropriate. 4.2 On immediate receipt of the the DSN or Professional Lead will initiate a bring forward system to inform the relevant HR Manager, the Workforce Information Manager, the Matron/Clinical Manager and the Divisional Manager of the stage of resolution. If re-registration cannot be immediately ascertained, a standard Trust approved letter (see appendi 3) is sent by the Line Manager to those whose registration has apparently lapsed. This will inform them of: The Trust's notification that registration has apparently lapsed The urgency of the situation The opportunity to provide mitigation The possibility of suspension without pay The need for support worker status until registration can be confirmed, e.g. the employee will be given work within their department of a nature that does not require a registration. This will result in a reduction in banding and salary for this period. The right to have a colleague or Trades Union representative present A review within ten working days The possibility of disciplinary action being taken in line with the managing conduct policy. Page 4 of 13

5 4.3 The Line Manager will also send a copy to the HR team for inclusion in the employees file. This can then be audited for compliance against the policy. 4.4 Nil returns will continue to be ed to the Matron/Clinical Manager, Divisional Manager, Professional Head, and HR Manager. 4.5 If an individual allows their registration to lapse where no problem has been identified with the administrative system of the registering body, they will be suspended without pay until the Trust receives confirmation that registration has been renewed. Before an individual is suspended they should be invited to a meeting to discuss the circumstances of the case. They may choose to have a colleague, friend who is an employee of the trust or trades union representative present at the meeting. 4.6 Under no circumstances can an employee be allowed to practice without registration where this is required unless such a lapse is due to administrative difficulties eperienced by the registering body. However it may be appropriate to redeploy them into a role which does not require registration on a temporary basis e.g. support worker. 4.7 In the event of a lapsed registration the manager should inform and seek advice from the appropriate professional head and/or HR. The manager will inform the employee that they are required to take immediate measures to have their professional registration reinstated. Normally a maimum of four weeks will be allowed for the employee to have their registration reinstated and progress towards reinstatement will be reviewed after a maimum of two weeks. Deliberate or unreasonable failure, by the employee, to comply with these time scales may in itself lead to disciplinary action being taken. 4.8 In such cases before allowing a member of staff to return to work confirmation of registration must be received from the appropriate regulatory body. This will be checked by the HR Department and line manager. 5. Investigation of a Lapse of Registration 5.1 Failure to maintain Professional Registration where this is not the fault of a registering body could have potentially serious implications for both the member of staff and the Trust as a whole. 5.2 In all cases of lapsed registration the issue must be fully investigated by the Line Manager in liaison with their HR Manager and the individual advised that following the investigation a Disciplinary Hearing to consider the matter may be convened in accordance with the Trust's Managing Page 5 of 13

6 Conduct Policy and Procedure, depending on the circumstances of the case. (I.e. the reason for the lapse). 6. Procedure for dealing with Employees who refuse or choose not to renew their Registration 6.1 The procedures outlined in Sections 4 and 5 above will be followed in the first instance. 6.2 If during the initial interview, the employee refuses to take steps to renew her/his registration or advises that she/he no longer wishes to be a registered practitioner, she/he will be formally advised that if they proceed with this course of action they will be deemed to have breached their Contract of Employment, to have lost the legal authority to undertake the job for which they were employed and that it will lead to their Contract of Employment with the Trust being terminated forthwith in line with the managing conduct procedure. 6.3 An individual will have right to appeal against such a course of action in accordance with the Appeals section of the managing conduct process. 7. Interpretation, Variation and Termination 7.1 Any Question as to the interpretation of this policy shall be referred to the relevant HR manager. Where further action is required this should be referred to the Director of HR. 7.2 Management and Staff Side will jointly review the collective performance and effectiveness of this policy and procedure at appropriate intervals. There shall be no variation to this policy ecept by joint agreement through the Trust s Consultation and Negotiation Committee. Page 6 of 13

7 APPENDIX 1: Consultation Schedule Name and Title of Individual Date Consulted Date policy ed to policy co ordinator Name of Committee TCNC Policy Sub-group (rolled-over review) TCNC Policy Sub-group Date of Committee 21 st February, 7 th March & 21 st March st October 2009, 9 th December 2009 & 20 th January 2010 Page 7 of 13

8 APPENDIX 2: Staff Groups Covered by Professional Registration Nursing, Midwifery & Health Visitors All registered and enrolled nursing staff are required to be registered with the Nursing and Midwifery Council (NMC) and this is renewable every three years. Professions Allied to Medicine (Allied Health Professions) These professions are registered with the Health Professions Council and their registration is renewable every two years. Each registrant receives a Certificate of Registration. The issue of these certificates is staged as follows:- Radiographers 1 March to 28 February Physiotherapists 1 May to 30 April Arts Therapists 1 June to 31 May (Art, Music and Drama Therapists) Dieticians 1 July to 30 June Podiatry 1 August to 31 July Orthoptists 1 September to 31 August Speech & Language Therapists 1 October to 30 September Prosthetists/Orthotists 1 October to 30 September Clinical Scientists 1 October to 30 September Occupational Therapists 1 November to 31 October MLSO s (Biomedical Scientists) 1 December to 30 November Pharmacists 1 April to 31 March Operating Department Practitioners Page 8 of 13

9 Operating Department Practitioners are now subject to statutory regulation from October All eisting non-registered staff need to have applied to the HPC for registration. No new un-registered staff will be employed. Medical & Dental Staff All Medical & Dental staff are required to be registered with the General Medical Council (GMC) or General Dental Council (GDC) respectively and this is renewable annually. Page 9 of 13

10 APPENDIX 3: Letter to Employees who have not Renewed Their Registration Dear Re: Apparent Lapse in Professional Registration I am writing to confirm our discussion today in the presence of your Union representative/work colleague. I informed you that the Trust s routine checks on.insert date.shows that your registration with the NMC/HPC has apparently lapsed. We do not believe this is due to an administrative error on the part of the registering body. You eplained that (Identify reason for non renewal) With immediate effect you are not registered to be able to carry out the duties of your post. Either (manager to agree with Professional Head/DSN which is appropriate) 1 You are therefore suspended without pay with immediate effect until the Trust receives confirmation that your registration has been renewed. OR 2 You have eplained the circumstances around this lapse and have reassured me that the lapse is due to eceptional circumstances. I am therefore prepared to allow you to continue at work but must temporarily change your employment status to that of a support worker and I enclose a change of circumstances payroll form to that effect. We also discussed and agreed the changes we would need to make to your working arrangements for an interim period of up to 10 working days. 3 It is obviously paramount that you take immediate measures and every effort to have your registration reinstated. 4 We agreed to meet again on.. (within 10 working days) to review the situation (you may bring a trade union rep, a colleague or a friend who is an employee of the trust) although please contact me as soon as you have evidence that the situation has been rectified in order that the Trust can confirm your re registration and enable you to return to work. If, following investigation, I believe that there is a case that your lapsed registration is due to deliberate negligence or unreasonable behaviour the case will go to a Disciplinary Hearing in accordance with the Trusts Page 10 of 13

11 Disciplinary Policy. Refusal to reregister could result in termination of employment. I enclose a copy of the Trust s Policy on Lapsed Registration for your information. Yours sincerely Name: Title: Page 11 of 13

12 Equality Impact Assessment Screening Form 1. Policy, service, strategy, procedure or function - Professional Registration Policy Lead (e.g. Director, Manager, Clinician): Peter Eley, Assistant Director of HR 2. Person responsible for the assessment: Jenny Evans, Chair of Staff Side and Peter Eley, Assistant Director of HR 3. Is this a new or eisting policy, service strategy, procedure or function? New Revised Policy Eisting 4. Who is the policy/service strategy,procedure or function aimed at? Patients Carers Staff Visitors Any other Please specify: 5. Are any of the following groups adversely affected by this policy: If yes is this high, medium or low impact (see attached notes): Disabled people: No Yes Race, ethnicity & nationality: No Yes Male/Female/transgender: No Yes Age, young or older people: No Yes Seual orientation: No Yes Religion, belief & faith: No Yes Impact If the answer is yes to any of these proceed to full assessment. This applies whether the impact assessment is high, medium or low. 6. Does the policy, service strategy, procedure or function include measures which promote equality? No Yes 7. If yes, what are these measures? This policy has processes to prevent staff with particular health problems being eposed to risk from pandemic / Swine Flu in the workplace and steps to meet the needs of staff with childcare / carer responsibilities. Page 12 of 13

13 Ratification Checklist Author; attach this to each copy of the policy being sent to a Committee for final ratification. Dear Chairman Please would you review this document at your net meeting and agree final approval and organisational ratification. Title of meeting: TCNC Policy Sub-group Date of meeting: 20 January 2010 Name of document: Professional Registration Policy Name of author: Sue Smith, Assistant Director of HR Are there any elements of this policy which present operational issues that require further discussion? If yes, please provide a contact name for the author. Does the document include a training plan? Is the policy referenced? Are up to date National Guidelines included? If you are the appropriate forum, have the necessary resources been agreed to implement this document? Is there a plan for policy implementation? Does your meeting recommend further consultation with groups or staff other than listed at the front of the policy? What are the cost implications of implementing this policy? Equipment Staffing (additional) Training Other Document approved without further comment (Please circle): Further amendments to document suggested (Please circle)? Name of Chair: Jenny Evans Signature: Ratified and signed at the meeting Date: Yes No N/A Yes No Page 13 of 13