HRPOL27
Workforce Solutions Staffing Bank Policy
Version:
V3
Ratified by:
FIC
Date ratified:
01/08/2021
Job Title of author:
Human Resources
Reviewed by Committee or Expert Group
FIC
Equality Impact Assessed by:
Assistant Director, HR
Related procedural documents
HRPOL07 - Recruitment of Ex- Offenders and DBS HRPOL11 Recruitment and Selection Policy and Procedure HRPOL13 - Professional Registration Policy and Procedure HRPOL23 - Equal Opportunities & Valuing Diversity Policy HRPOL36 - Personal Relationships at Work Policy HRPOL31 - Attendance Management Policy EFPOL01 - Anti-Crime Policy LDPOL02 - Induction Policy LDPOL03 - Mandatory Training Policy Supporting Fitness to Practice CCPOL01 - Engagement of Agency & Contractors Policy HRPOL37 - Rostering Policy 1 August 2024
Review date:
It is the responsibility of users to ensure that you are using the most up to date document template – i.e. obtained via the intranet. In developing/reviewing this policy Provide Community has had regard to the principles of the NHS Constitution.
Version Control Sheet
Version
Date
Author
Status
V1
1/8/19
V2
1/1/20
Assistant Director, Draft HR Assistant Director, review HR
V3
1/8/21
Assistant Director, Addition of HR fraud wording
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Comment New
Contents 1. Definition of Terms Used ............................................................................................................ 4 2. Introduction, Purpose and Scope ................................................................................................ 4 3. Duties and Responsibilities ......................................................................................................... 5 4. Workforce Solutions Process ...................................................................................................... 6 5. Leaving Workforce Solutions ...................................................................................................... 9 6. Bank Worker Rights .................................................................................................................. 10 7. Rates of Pay ............................................................................................................................. 11 8. Pension Scheme ...................................................................................................................... 11 9. Monitoring of Bank Spend ........................................................................................................ 12 10. Training .................................................................................................................................... 12 11. Reporting Fraud and Bribery..................................................................................................... 12 12. Breaches of Policy .................................................................................................................... 13 13. Monitoring and Review of Policy ............................................................................................... 13 Appendix 1: Local Induction Checklist .............................................................................................. 14
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1. Definition of Terms Used Term
Definition
Provide
Provide Community Interest Company
Bank
Workforce Solutions.
Bank Worker
A worker engaged through Workforce Solutions with a contract that enables them to be engaged for ad hoc hours, as and when required for the Bank.
Agency Worker
A worker temporarily engaged by Provide from an external agency or NHS Professionals.
Contractor
An individual operating as a sole trader or through a registered company, which includes clinicians who provide services to Provide.
Temporary Workers A collective term for Contractors, Agency and Bank workers used by Provide. Fixed Term Worker
A worker with a Provide employment contract for a specified timeframe with a specified end date. (Not included within this policy).
Zero Hours Worker
A worker with a Provide contract that enables them to be engaged for ad hoc hours as and when required. (Not included within this policy).
Manager
The manager who has a delegated budget for the service or shift. This may be a Clinical Service Manager, Team Manager or Team Leader.
2. Introduction, Purpose and Scope 2.1 Introduction Provide is committed to ensuring that it delivers excellent services at all times. This policy sets out the basis on which we use Bank Workers and the policies that apply to our use of them. Provide uses Bank Workers to compliment and support the work undertaken by our employed staff in the event of a staff shortfall. The standards applicable to Bank Workers are the same as the standards that apply to our employed staff. They aim to ensure that we deliver the highest standard of service possible. Bank workers are a valuable asset to the organisation, that require suitable support and investment of time to enable value for money in the medium to long term and it is therefore important that we ensure these workers fit seamlessly into our day to day operations.
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2.2 Purpose This policy provides information to assist with the effective recruitment, selection and appointment process for those staff joining Workforce Solutions. It gives clear guidelines on how cover must be requested by Managers, how Bank Workers can request shifts to work, and resulting payment arrangements. It also provides information about how registration with Workforce Solutions is maintained. The purpose of this policy is: •
To ensure that we are consistent in our use of Bank Workers;
•
To ensure that we utilise Bank Workers to their full extent.
•
To ensure that our use of Bank Workers enables us to continue to meet our obligations relating to patient safety and the commitments we have made to commissioners;
•
To ensure that appropriate checks regarding the performance and abilities of Bank Workers are undertaken in order to ensure that we continue to meet our compliance and safeguarding obligations as required by CQC, NHSLA and legislation;
•
To set out the induction requirements which need to be undertaken when taking on Bank Workers which may include ID checks, qualification checks, professional registrations and DBS checks;
2.3 Scope of Policy and Legal Framework This policy applies to the use of Bank Workers by all Provide directorates and our subsidiary companies. This policy does not apply to employed staff or workers who hold a contract to provide services directly with Provide or its’ subsidiary company. In relation to Bank Workers, the contracts which Bank Workers must sign will be relied upon.
3. Duties and Responsibilities The basis on which Provide authorises the use of Bank Workers The Chief Executive is ultimately responsible for ensuring effective, robust systems of corporate governance are in place within the organisation and therefore supports Provide’s implementation of this policy. The responsibility of this policy will be designated to the Executive Business Strategy & Service Delivery Director. Provide’s Assistant Clinical & Operations Directors are delegated this responsibility and must factor the use of Bank Workers into their annual budget setting process. Clinical Service Managers with support from the Workforce Solutions Manager, have overall responsibility for all non-substantive post holders engaged through Workforce Solutions whilst they are working in their department, which includes local induction, day to day management, training and development. Managers are responsible for supervising and overseeing performance for bank workers on duty in their service area and escalating issues of concern to the Workforce Solutions Manager The Workforce Solutions Manager is responsible for the organisation and co-ordination of processes Page 5 of 24
associated with the booking and management of Bank Workers. For administrative purposes the Workforce Solutions Manager is the designated line manager. They are responsible for the Workforce Solutions Team and should ensure the team liaise with service managers and Bank Workers on a daily basis to ensure that shifts are filled. They are responsible for checking key documentation, and providing management information, when required, to ensure the effective operation of the Workforce Solutions function. Workforce Solutions Bank Workers are responsible for following the processes outlined in this policy to request and receive payment for bank shifts. Bank Workers are required to comply with all relevant Policies, Procedures, Protocols and management instructions. There is no obligation to offer work, however the Workforce Solutions team will make workers aware of shifts available. The Workforce Solutions Team will also promote available shifts through email, text and phone calls. All Bank Workers must advise the Workforce Solutions Team of any changes in their employment status, such as contact details, availability, changes affecting their right to work, or bank records. All Bank Workers must also advise the Workforce Solutions Team of any information relating to maternity, adoption, long term absence or other leave arrangements. All Bank Workers have a responsibility to undertake mandatory training requirements as follows: Training Safeguarding Level 1 Moving and Handling loads Fire Awareness Information Governance Safeguarding Level 2* Immediate Life Support, Anaphylaxis, & AED* Infection Prevention & Control*
Frequency Once only 2 years 2 years 1 years 3 Years 1 years 2 years
*Clinical staff only
3.1 Deciding to use Temporary Workers The relevant Manager with responsibility for the service will determine the skill mix and staffing arrangements they need and the extent to which they require Temporary Workers to complement their employed staff. The temporary worker options available to Managers are set out in the Engagement of Temporary Workers Policy (CCPOL01).
4. Workforce Solutions Process In the first instance that a Service Manager identifies a vacant shift, they should firstly attempt to fill this vacancy through: i) ii)
Asking part time substantive staff working in the same role to work additional hours. Asking the Workforce Solutions Team to fill the shift.
Where a shift cannot be filled by the Bank, Managers are permitted to use an Agency to fill the vacant shift unless there is a specific directive in place for higher authority or management of the booking Page 6 of 24
process (see Engagement of Temporary Workers Policy (CCPOL01) for further details).
4.1 Recruitment and Selection Provide aims to promote equality of opportunity and eliminate unlawful discrimination by establishing fair and transparent systems of recruiting and retaining Bank Workers. All recruitment to the Bank will be in line with the principles set out in the Recruitment and Selection Policy and Procedure (HRPOL11), for example NHS Employers Check Standards. All newly recruited clinical staff offered a substantive contract for employment will be automatically issued a second contract to join the Bank unless they actively opt out. This also applies to non-clinical roles supporting a clinical service.
4.2 Bank Workers holding Substantive contracts with Provide Substantive Provide staff who are part time and wish to work additional hours in the same service should work additional hours through their substantive contract up to the full time equivalent of 37.5 hours per week. Staff who have a full time substantive contract with Provide and wish to join the bank to undertake additional work in the same capacity, will be required to formally register with Workforce Solutions. As they have already been through Provide’s recruitment and selection processes a formal interview process may not be required. Any mandated post-employment checks will be undertaken by the Workforce Solutions Team in accordance with Provide’s policies. For example, Professional Registration Policy and Procedure (HRPOL13). Bank Workers are required to comply with all relevant Policies, Procedures, Protocols and other directions as defined in the Provide’s policies or procedural documents. If Bank Workers are undertaking shifts in a department they are unfamiliar with, the Manager should arrange for a local induction to be completed (see Appendix 1 - Local Induction for Bank Workers). All Substantive Staff who also work bank shifts in their own department should continue to be managed by their Substantive Line Manager. If staff are on sick leave from their substantive post, they must not undertake any bank shifts during that period of absence. Working whilst on sick leave may constitute an offence under the Fraud Act 2006, and could lead to criminal investigation and action, including prosecution and / or dismissal. Any suspicions of fraud must be reported to the Local Counter Fraud Specialist (LCFS) for Provide CIC, or to the Executive Finance Director and Company Secretary. The line manager, who must liaise with the Workforce Solutions Team, is responsible for monitoring staff sickness absence. Provide wishes to support employees who have been sick to make a full recovery and ensure they have an opportunity to rest as fully as possible. Employees that have been absent due to sickness will therefore not be encouraged to work additional shifts or hours for Provide through Workforce Solutions. If an employee wishes to work additional hours following a period of sickness absence, they should discuss this with their line manager to seek agreement before being allocated additional shifts. Managers will use their discretion when making a decision as each circumstance should be treated on a case-by-case basis depending on the reason for sickness absence. Where permission is granted by the manager then this must be documented in writing as to why an individual is working so soon after returning from sick leave. Page 7 of 24
4.3 Bank Workers with no Substantive Contract with Provide All recruitment to Workforce Solutions will be in line with the principles set out in the Recruitment and Selection Policy and Procedure (HRPOL11), for example, it will include the relevant NHS Employers Check Standards. The Workforce Solutions Team will notify the Manager once all appropriate pre-employment checks are completed and all appropriate clearances received. Prior to commencing an assignment with Workforce Solutions, successful applicants must attend Provide’s Corporate Induction. They must also complete a local induction in all areas where they work a shift (see Appendix 1 - Local Induction for Bank Workers) In accordance with Provide’s policies, any mandated post-employment checks will be undertaken by the Workforce Solutions Team. For example, Professional Registration Checks will be completed in accordance with the Provide Professional Registration Policy and Procedure (HRPOL13). Bank Workers are required to comply with all relevant Policies, Procedures, Protocols and other directions as defined in Provide policies or procedural documents.
4.4. Advance Booking Where there is a requirement for a planned advance booking, authorised ward/department staff will be required to request the shift using the e-rostering system or by an email sent to the Workforce Solutions Team using provide.workforcesolutions@nhs.net All requests must submitted in writing or via the eroster request function, no telephone messages should be left. All requested shifts must be authorised by a budget holder. The Workforce Solutions team will act to fill shifts and will liaise with service managers if there are difficulties in doing so or if further information is required. The Workforce Solutions team will determine when to seek the support of outside agencies to fill unfilled shifts. All shift bookings will be confirmed in writing to the worker and the service manager or designated others will be notified.
4.5 Payment of Bank Shifts All Bank shifts worked in any area will be paid two weeks in arrears by electronic bank transfer. The Bank Worker must submit an authorised Time Claim Form detailing the shifts they have worked and for which service. The Time Claim Form must be signed to confirm the workers attendance, ideally this should be the service manager. Working time does not include time spent travelling to the place of work, lunch breaks and other rest breaks. The worker, in conjunction with the service lead or manager, must ensure breaks are taken. It is the responsibility of the worker to ensure their Time Claim Form is sent to the designated email address provide.timeclaimformwfs@nhs.net. Time Claim Forms received by midday on the Monday after the shift, or shifts, was worked will be paid the following week. The Bank Worker is responsible for accessing their online payslip on the Electronic Staff Record (ESR) portal to ensure they have receive correct payment. Workers must highlight any pay queries as soon as possible to the Payroll contact centre or contact the Workforce Solutions Team. Staff should also be aware that knowingly providing false information may constitute an offence under the Fraud Act 2006 and may result in disciplinary and / or criminal investigation and prosecution. Where Page 8 of 24
it is suspected that an individual has provided false information, the matter must be reported to either the LCFS for Provide CIC or the Executive Finance Director and Company Secretary. Staff therefore consent to the disclosure of information from the e-rostering system to and by Provide and the Local Counter Fraud Service for the purpose of verification of the claim and the investigation, prevention, detection and prosecution of fraud.
4.6 Payment for Expenses Expenses must be submitted at the end of each month and will be paid a month in arrears. For the avoidance of doubt, expenses will not be paid weekly. Travel to the first place of work for a bank shift cannot be claimed, this is deemed to be the workbase of the Bank Worker for the booked shift. If further onward travel is required to other sites or places, expenses can be claimed, by completing a claim via Easypay. Mileage will only be reimbursed upon production of valid documents relating to the car used. These include a valid driving licence, insurance covering the use of the car in the course of the claimant’s business, proof of car tax and MOT if applicable. Car travel should be claimed by stating the starting location and end location of each journey. Odometer readings are not an acceptable way of claiming as the travel cannot be audited. Staff should also be aware that knowingly providing false information may constitute an offence under the Fraud Act 2006 and may result in disciplinary and / or criminal investigation and prosecution. Where it is suspected that an individual has provided false information, the matter must be reported to either the LCFS for Provide CIC or the Executive Finance Director and Company Secretary.
5. Leaving Workforce Solutions 5.1 Resigning from Workforce Solutions Bank Workers wishing to resign from Workforce Solutions must advise the Workforce Solutions Team in writing. There is no notice period; however staff will be required to honour any pre-booked shifts. Staff resigning from their Substantive Provide Post who wish to remain with Workforce Solutions, must state their intention to remain on the bank in their letter of resignation. Bank Workers must return all uniforms, equipment, ID Badges and Smartcards to the Workforce Solutions Team. Failure to do so will result in being charged for the costs incurred.
5.2 Removal from Workforce Solutions The Assistant Director with overall responsibility for service areas must ensure that managers have access to sufficient staff to meet operational demands, which will vary considerably. Provide must ensure that they gain the maximum value and benefit from our administrative resources. As part of this work there will be a regular review of Bank Workers to identify people who may need to be removed from Workforce Solutions. These include; • Bank Workers who have not worked for a period of 12 months • Bank Workers who consistently fail to respond to calls offering shifts. • Bank Workers who do not complete their full induction within two months without a valid reason. The Workforce Solutions Team will write to Bank Workers before removing them from the service, but Page 9 of 24
if no response is received within 14 days from the date of communication requesting that they remain active, the Bank assignment will be terminated. If the Bank Worker wishes to work shifts following this they will be asked to reapply to Workforce Solutions. Bank Workers who have concerns about any of these arrangements can contact the Workforce Solutions Team at any point for further advice.
6. Bank Worker Rights 6.1 Managers should be aware that Bank Workers have a sessional workers contract and have the same rights as a zero hours employees and The Working Time Regulations (1998) will apply. These are summarised for information purposes below:
6.2 Annual leave Bank Workers are entitled to annual leave in accordance with the Working Time Regulations 1998, amounting to 28 days (pro rated) and the annual leave year for this purpose is from 1 April to 31 March. Entitlement to annual leave will be based on the average number of hours worked in the preceding 13week period and calculated pro rata of your annual entitlement to 28 days. The Workforce Solutions team calculate annual leave for workers based on hours processed through the e-roster system. Any worker who wishes to be paid for a period of annual leave should contact the Workforce Solutions team. If a worker has a large accrual of annual leave then the Workforce Solutions team will make contact with the worker to arrange for this be taken. Workers will only be paid for annual leave if they have accrued sufficient annual leave through working bank shifts. All annual leave must be taken and paid within the financial year - 1 April to 31 March. Bank Workers must give not less than four weeks’ advance notice to the line manager or Workforce Solutions Team of their intention not to be available to be offered work on account of annual leave. This is particularly relevant when a worker has committed to working a significant number of shifts for period of time. If a Bank Worker gives notice to end their contract with Workforce Solutions, they shall be entitled to payment for any outstanding annual leave where the proportion of leave taken is less than the proportion accrued.
6.3 Working hours Second jobs immediately invoke the Working Time Regulations, which means that employees, workers and managers have responsibilities. This means that: • •
•
A worker cannot work more than an average of 48 hours in each seven-day period. You can refer to the Provide document ‘Second Jobs, Working Time and Conflict of Interest – guidance for staff and managers’. You can find this on the intranet. If you want to work more than 48 hours per week, you will need to speak with the Workforce Solutions Team and your substantive line manager about opting out of the 48-hour rule. A form will need to be completed. Time spent on call at the workplace is counted as working time. Page 10 of 24
And, legally, workers must have: • •
11 hours break in any 24 hour period No less than 24 hours rest (other than sleep) over a seven day period
Therefore, managers and employees should work together regarding the monitoring of Workforce Solutions workers who hold other jobs to ensure that the Bank Worker takes the breaks required between their substantive role (whether with Provide or outside) and their Bank shifts. See Second Jobs, Working Time and Conflict of Interest: Information and Guidance for staff and managers available on Provide’s Intranet for further information.
6.4 Rest periods Bank Workers will be entitled to the same rest periods and breaks to which an employee who is recruited directly to the same job would be entitled. Under working time Regulations, all employees and workers are entitled to a break of at least 20 minutes after they have worked continuously for 6 hours.
6.5 Night work Bank Workers will be entitled to the same arrangements for night work to which an employee or worker who is recruited directly to the same job would be entitled. These arrangements are set out in Agenda for Change.
7. Rates of Pay Workforce Solutions have agreed rates of pay. The basic rate of pay for the role a Bank Worker is engaged to work in will be stated within the statement of particulars of employment, which is sent to all Workforce Solutions workers as soon as they are cleared to work. Bank Workers undertaking shifts during unsocial hours (between 8pm and 6am or on a Saturday or Sunday) are also entitled to receive enhancements. Bank Holidays also attract an enhancement. Twice during the year the clocks change, if you are working a night shift when this occurs, therefore losing or gaining an hour, the shift will be paid at the regular shift length. You will not lose or gain an hours pay. A table of rates can be requested from the Workforce Solutions Team.
8. Pension Scheme Bank Workers have the right to join a Workplace Pension Scheme. The pension scheme that is offered will be dependent on personal and contractual eligibility. Should the Bank Worker decline the offer to join a workplace pension they will continue to be assessed under the governments auto-enrolment rules and will be automatically enrolled in the appropriate pension scheme if they qualify. Page 11 of 24
A Bank Member may opt out of the pension scheme should they wish and would need to obtain the applicable forms from the Workforce Solutions Team or the HR Department.
9. Monitoring of Bank Spend All shifts booked will be reported through the e-roster system. Information in respect of Bank spend is reported through the Finance and Risk Committee.
10. Training Prior to commencement of a shift all Non Substantive Bank Workers will be required to complete the Corporate Induction which includes Mandatory Training. Non Substantive Bank Workers will also undertake a local induction with a Manager on their first shift where they are working in a department with which they have not worked. Substantive Staff who work through Workforce Solutions will not be required to repeat Mandatory Training where they have already completed this and it is up to date. Bank Workers will undergo a local induction on their first shift (see Appendix 1) where they are working in a department with which they have not worked in for the past year.
11. Reporting Fraud and Bribery Definitions Fraud is where any person who dishonestly makes a false representation to make a gain for himself or another or dishonestly fails to disclose to another person, information which he is under a legal duty to disclose, or commits fraud by abuse of position, including any offence as defined in the Fraud Act 2006. Bribery is the giving or receiving a financial or other advantage in connection with the ‘improper performance’ of trust or a function that is expected to be performed impartially or in good faith. Where the Provide Group is engaged in commercial activity it could be considered guilty of a corporate bribery offence if an employee, agent, subsidiary or any other person acting on its behalf bribes another person intending to obtain or retain business or an advantage in the conduct of business for the Provide Group and it cannot demonstrate that it has adequate procedures in place to prevent such. The adequate procedures that the Provide Group is required to have in place to prevent bribery being committed on their behalf are performed by six principles – proportionate procedures, top-level commitment, risk assessment, communication (including training), monitoring and review. The Provide Group does not tolerate any bribery on its behalf, even if this might result in a loss of business for it. Criminal liability must be prevented at all times. Counter Fraud If any member of staff has good reason to suspect a colleague, patient or other person of fraud, bribery and / or corruption, involving the Provide Group, they should report their genuine concerns to the LCFS or Executive Finance Director immediately. The LCFS will then decide on the next course of action and advise the member of staff accordingly. All calls are dealt with in the strictest of confidence and callers may remain anonymous. Page 12 of 24
Suspicions of fraud, bribery or corruption should be reported to the Local Counter Fraud Specialists on telephone 0845 300 3333, Provide’s Chief Executive Officer or NHS Counter Fraud Authority (NHSCFA) via an online reporting form: https://cfa.nhs.uk/reportfraud: or NHSCFA Freephone: 0800 028 4060. Further details including email addresses for those responsible can be found on Provide’s Intranet. Individuals suspected of committing an offence of fraud, bribery or corruption may be subject to criminal and/or disciplinary investigation, which could result in criminal and/or disciplinary action being taken, including prosecution and/or dismissal. For more information, please refer to the Local AntiFraud, Bribery and Corruption Policy or to Provide’s Counter Fraud intranet pages.
12. Breaches of Policy Breaches of this policy may result in Disciplinary action.
13. Monitoring and Review of Policy This document will be kept under general review and will be reviewed following legislation change or learning relating to best practice . Any new statutory provisions affecting this document will automatically take precedence. The policy will be monitored to: • • •
Measure its effectiveness; Comply with legal obligations; Highlight practical issues and seek solutions.
Relevant Links: NHS Constitution https://www.gov.uk/government/publications/the-nhs-constitution-for-england Working Time Regulations 1998 http://www.legislation.gov.uk/uksi/1998/1833/contents/made CCS Frameworks http://ccs-agreements.cabinetoffice.gov.uk/
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Appendix 1: Local Induction Checklist LOCAL INDUCTION CHECKLIST For Workforce Solutions, Bank Workers Worker Name: ………………………………………… … … … … … … … … … … … … … … … … . Department/ Business Unit: ………………………………………… … … … … … … … … … … … … … . Date of First Shift in Dept: ……………………………………………………………………………………. Dates of Planned Placement (if more than 1 shift agreed): ………………………………………………. Line Manager/Supervisor Facilitating Induction: ……………………………………………………………. Welcome to Provide The following checklist has been designed to ensure that all essential aspects of local induction for temporary staff are covered in a timely and effective manner. The local induction process must be completed at the beginning of the first shift/day in the post for all temporary staff. The lists represent examples of topics to be covered, they are not exhaustive and should be personalised according to the requirements of the department. As each item is discussed, and once you feel the information has been adequately covered, it must be initialed and dated by the supervisor and member of staff. If any topic is not relevant to the post, please mark `NR’. Managers keep a copy of this checklist locally for their own records in their own department. All Temporary Staff The following must be completed and authorised by the Line Manager / Supervisor working within the department ASAP ON THE FIRST DAY / SHIFT. Issues relating to completion of the local induction or this form within this timescale should be raised with the Workforce Solutions Team. TOPICS
Staff /Supervisor Date Initials
On First Shift/Day: Confirm Photo ID with staff member
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TOPICS
Staff and Line Date Manager Initials
General Introduction to Department Fire Safety procedures and assembly points: Fire exits and assembly points Location of alarms and equipment Evacuation procedures Emergency telephone numbers Fire Marshall Information Uniform and Dress Code Policy: Moving & Handling Procedures: Equipment Procedures/Policy Moving and Handling policy Risk assessment Incident Reporting Procedures
Information Governance Procedures Resuscitation Procedures Location of Equipment Procedures/Policy Resus Trolley location and use. Emergency telephone numbers Medicines Safety Procedures (if relevant) Equipment Identify any Department
key equipment inc
Medical Devises Used in
Confirm understanding use and cleaning schedules. Local policies and targets Confirm all local policies and targets e.g. CQUIN Please detail any risk assessments completed. Please detail any additional topics covered
Declaration of Completion We confirm that this local induction programme for. ……………………… (name) was completed on …...……….... (date local Induction completed) Staff Signature……………………………………………… …Date…………………….. Manager’s Signature………………………………………… Date…………………….. Manager must retain copy for records within department. Page 15 of 24
EQUALITY IMPACT ASSESSMENTS: Framework and outline briefing notes Attached is a framework, customised to Provide, and some short advisory notes on an approach on carrying out Equality Impact Assessments (EIAs) at Provide Briefings are being arranged to explore undertaking such assessments in practice, using ‘live’ and relevant case studies. EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage One: ‘Screening’ Name of project/policy/strategy (hereafter referred to as “initiative”): Workforce Solutions Staffing Bank Policy
Provide a brief summary (bullet points) of the aims of the initiative and main activities: To provide information to assist with the effective recruitment, selection and appointment process for those staff joining Workforce Solutions. To give clear guidelines on how cover must be requested by Managers, how Bank Workers can request shifts to work, and resulting payment arrangements. It also provides information about how registration with Workforce Solutions is maintained.
Project/Policy Manager: AD HR
Date: October 2019
This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently. Q 1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group. There is likely to be a positive impact as working Bank shifts will often suit people with a long term health condition or disability as it enables them to work flexibly and to manage their health and work round medical appointments. For some it is a way of returning to work to help regain skills and confidence after a long period of sickness.
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Q 2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”? Neutral
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Q 3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies. Positive The policy lays down a consistent approach to use in the engagement of temporary workers and details processes for monitoring. Review
Guidelines: Things to consider Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation. The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community. Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified. Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan. Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this? It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process. It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.
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Equality Impact Assessment Template: Stage 2: (To be used where the ‘screening phase has identified a substantial problem/concerns) This stage examines the initiative in more detail in order to obtain further information where required about its potential adverse or positive impact from an equality perspective. It will help inform whether any action needs to be taken and may form part of a continuing assessment framework as the initiative develops. Q 1. What data/information is there on the target beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources? What are your sources of data and are there any gaps? N/A
Q 2. Is there a potential for this initiative to have a positive impact, such as tackling discrimination, promoting equality of opportunity and good community relations? If yes, how? Which are the main groups it will have an impact on? N/A
Q 3. Will the initiative have an adverse impact on any particular group or community/community relations? If yes, in what way? Will the impact be different for different groups – e.g. men and women? N/A
Q 4. Has there been consultation/is consultation planned with stakeholders/ beneficiaries/ staff who will be affected by the initiative? Summarise (bullet points) any important issues arising from the consultation. N/A
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Q.5. Given your answers to the previous questions, how will your plans be revised to reduce/eliminate negative impact or enhance positive impact? Are there specific factors which need to be taken into account? N/A
Q 6. How will the initiative continue to be monitored and evaluated, including its impact on particular groups/ improving community relations? Where appropriate, identify any additional data that will be required. N/A
Guidelines: Things to consider An initiative may have a positive impact on some sectors of the community but leave others excluded or feeling they are excluded. Consideration should be given to how this can be tackled or minimised. It is important to ensure that relevant groups/communities are identified who should be consulted. This may require taking positive action to engage with those groups who are traditionally less likely to respond to consultations, and could form a specific part of the initiative. The consultation process should form a meaningful part of the initiative as it develops, and help inform any future action. If the EIA shows an adverse impact, is this because it contravenes any equality legislation? If so, the initiative must be modified or abandoned. There may be another way to meet the objective(s) of the initiative.
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