DRAFT AGENDA ITEM: 9(d) Knowledge & Skills Framework (KSF) Gateway Policy Review Date: September 2008 Review by: Head of Employment Services
1. INTRODUCTION This policy is based on the NHS Knowledge and Skills Framework (KSF) issued by the Department of Health and sets out the gateway policy, developed through partnership working between management and staff side representatives. The NHS KSF is a mandatory requirement and applies to all staff with the exception of medical staff and directors. However, where these staff are also line managers and therefore KSF reviewers, the principles of this policy will apply. It is essential to ensure staff and managers are given clear guidance on how to deal with gateway reviews and on any issues arising relating to that gateway. It should also ensure consistency of approach and application within the Trust. This policy should be read in conjunction with Appraisal & NHS KSF Development Review paperwork issued by Training and Development. Reference should also be made to the Agenda for Change Terms & Conditions of Service Handbook, which can be viewed on request in the Human Resources Department or downloaded via the Agenda for Change pages on the Trust s Intranet. 2. PAY GATEWAYS Generally, pay progression will take the form of an annual increase in remuneration from one pay point within a pay band to the next, as there is a normal expectation of progression. At defined points in a pay band known as gateways, decisions are made about pay progression as well as development. Review of individuals at the gateways is based on using the dimensions and levels of the NHS KSF that are relevant to that post. There are two gateways in each of the nine pay bands: 2.1 The Foundation Gateway this takes place no later than twelve months after an individual is appointed to a pay band regardless of the pay point to which the individual is appointed. The purpose of the foundation gateway is to check that individuals can meet the basic demands of their post on that pay band. The foundation gateway review is based on the agreed subset as specified in the KSF outline for a post. Its focus is the knowledge and skills that need to be applied from the outset in a post coupled with the provision of planned development in the foundation period of up to 12 months in post. 2.2 The Second Gateway this is set at a fixed point towards the top of a pay band as set out in the National Agreement (see table overleaf).
Pay Band Pay band 1 Pay bands 2-4 Pay bands 5-7 Pay band 8, ranges A-D Pay band 9 Position of Second Gateway Before final point Before first of last two points Before first of last three points Before final point Before final point The purpose of the second gateway is to confirm that individuals are applying their knowledge and skills to consistently meet the demands of their post as set out in the full KSF outline for that post. Having gone through the second gateway, individuals will progress to the top of the pay band provided they continue to apply the knowledge and skills required to meet the KSF outline for that post. It is only at gateways that the outcome of a review might lead to deferment of pay progression. The whole system is based on the principle of openness. If there are problems with individuals developing towards the full KSF outline for the post, or there are capability issues, these should have been addressed by reviewers before the gateway reviews, using the guidance outlined in the Disciplinary Policy and Procedure. 3. THE APPRAISAL AND NHS KSF DEVELOPMENT REVIEW An annual review will take place for each member of staff where evidence will be presented to determine progress towards achievement of the KSF outline for the post. The individual should be given no less than two weeks notice of the date for the review. This will enable both parties to prepare adequately. The review takes the same format every year, with the exception of gateway reviews, where decisions are linked to pay progression. Gateway reviews should take place at least two months before the pay gateway is due. Decisions at gateways need to be clearly recorded by the employee s manager. If the Payroll Office is not informed to the contrary there will be a normal expectation of progression and the individual will progress through the gateway. Therefore, if the employee is not to progress through the gateway, a staff change form is to be completed. 4. DEALING WITH A PROBLEM AT THE GATEWAY REVIEW In a few instances individuals may not be able to achieve the sub-set or full KSF outline.
4.1 KSF Outline not achieved as training/development was not given If the individual is unable to demonstrate the application of the necessary skills for the appropriate gateway and this is due to an organisational issue, for example, financial constraints or a failure to release the employee from the workplace due to staff shortages; then the individual will progress through the pay gateway. However, managers should note that there is an expectation that the employee will receive the necessary training no later than 12 months following a decision to delay releasing the employee for development. 4.2 KSF Outline not achieved as a commitment to training/ development has not been honoured by the employee In some instances the KSF outline may not have been achieved due to the individual not pursuing or attending the necessary training and development and this was not as a result of the organisation or management inaction. In these circumstances pay progression to the next increment on the pay spine will be deferred until such time that the individual can demonstrate achievement of the sub-set or full KSF outline as appropriate. The reviewer should record the KSF dimension and levels still to be achieved within a timescale not exceeding three months, unless there are mitigating circumstances. If there are mitigating circumstances, the time scale should not exceed 12 months. If reasonable time and resources have been provided and the employee continues to be unable to meet their KSF outline at the gateway; the reviewer should consider instigating disciplinary proceedings on grounds of capability where appropriate. 4.3 KSF Outline not achieved as the individual is unable to apply their learning and development due to a lack of skill or aptitude. On occasions the individual may be unable to apply their learning in order to achieve the sub-set or full KSF outline. Good management practices and effective use of the annual review process should ensure the individual has been informed of the issues regarding his/her performance as they occur. Therefore problems with performance should be dealt with well in advance of the gateway review, thus giving the individual adequate opportunity to achieve the required standard. In these circumstances pay progression to the next increment on the pay spine will be deferred until such time that the individual can demonstrate achievement of the sub-set or full KSF outline as appropriate. However, If the employee has been unable to demonstrate achievement within 12 months, he/she is not developing towards the sub-set or full KSF outline for the post due to capability issues and these should be addressed using the guidance outlined in the Disciplinary Policy and Procedure.
5. ABSENCES FROM THE WORKPLACE: 5.1 Maternity Leave / Adoption Leave Anyone taking maternity or adoption leave coinciding with their foundation or second gateway will return to their post after their maternity/adoption leave with the same amount of time remaining to achieve their subset. For example, an employee taking maternity leave six months into the post would have a remaining six months to achieve their first gateway following their return to work. At the end of this period a review meeting will be organised. In these circumstances if the review is satisfactory, pay progression will be backdated to the employee s incremental date. If the review is unsatisfactory, pay progression will resume from the date on which the reviewer confirms that the employee is applying the level of knowledge and skills specified in the KSF post outline. 5.2 Parental / Paternity / Carers Leave As this period of leave is relatively short, managers are encouraged to ascertain whether a gateway may occur during the absence and plan ahead to undertake the gateway review before the leave of absence occurs. 5.3 Employment Break / Unpaid Leave This type of leave is generally taken by choice, therefore, if an employee chooses to take such leave at any stage during their career their pay progression would be frozen at the pay point he/she has achieved at his/her last working day. The employee therefore returns to work at the same pay point he/she left on. 5.4 Long Term Sickness Where a period of long term sickness stretches across either a foundation gateway or second gateway the individual will return to their post after their absence with the same amount of time remaining to achieve their subset or full KSF outline. For example, an employee taking long term sick leave six months into the post would have a remaining six months to achieve their first gateway. Following a return to work, the manager will agree a timescale with the employee for the KSF review meeting, taking into account that a period of rehabilitation may be necessary. There may also be a need for additional support and development as a consequence of his /her absence, depending on the duration. At the end of this period, a review meeting will be organised. In these circumstances if the review is satisfactory, pay progression will be backdated to the employee s incremental date. If the review is unsatisfactory, pay progression will resume from the date on which the reviewer confirms that the employee is applying the level of knowledge and skills specified in the KSF post outline.
6. APPEALS/DISAGREEMENTS AT A REVIEW Every effort will be made to ensure that reviewers and reviewees are able to resolve differences of opinion during the review without recourse to formal procedures. If there is a disagreement over the review in the first instance the employee can request a further meeting with the reviewer together with his/her union representative or workplace colleague. If the employee continues to be aggrieved with the outcome he/she should be advised of the right to invoke the Grievance Policy/Procedure, provided he/she is not being performance managed in accordance with the Disciplinary Policy & Procedure. Where disputes occur which are related to pay gateways and the dispute is resolved in the employee s favour; the associated pay will be backdated to the employee s incremental date.