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Statutory and Mandatory Training Policy of 24

STATUTORY AND MANDATORY TRAINING POLICY

January 2015

Authorship : Y&HCS Workforce Team policy lead

Committee Approved : CCG Senior Management Team and Joint

Trade Union Partnership Forum

Approved Date : 28 January 2015

Review Date: Three years after approval date

Equality Impact Assessment : Completed – Full

Sustainability Impact Assessment : Completed

Target Audience : Council of Members, Governing Body and its Committees and Sub-Committees and CCG Staff

Policy Reference No : HaRD 042

Version Number : 1.0

The on-line version is the only version that is maintained. Any printed copies should, therefore, be viewed as ‘uncontrolled’ and as such may not necessarily contain the latest

updates and amendments.


POLICY AMENDMENTS

Amendments to the Policy will be issued from time to time. A new amendment history will be issued with each change.

New Version Number

Issued by Nature of Amendment

Approved by and Date

Date on Intranet

1.0 Harrogate and Rural District Clinical Commissioning Group

New Policy JTUPF 28 January 2015 and CCG SMT 06 January 2015

28 January 2015


CONTENTS Page

1 Introduction 4

2 Engagement 4

3 Impact Analyses 4

3.1 Equality 4

3.2 Sustainability 5

3.3 Bribery Act 2010 5

4 Scope 5

5 Policy Purpose and Aims 5

6 Definitions 5

7 Roles / Responsibilities / Duties 7

8 Implementation 7

9 Training and Awareness 7

10 Monitoring and Audit 7

11 Policy Review 7

12 References 7

13 Associated Documentation 8

Appendix 1 Statutory and Mandatory Training Table 9

Appendix 2 Equality Impact Assessment 10

Appendix 3 Sustainability Impact Assessment 21


1 INTRODUCTION

Harrogate and Rural District CCG (the CCG) recognises that statutory and mandatory training is of vital importance in order to protect the safety of staff, visitors and the general public. It is a CCG priority for staff to be released to undertake statutory and mandatory training and the granting of permission for other training will be contingent on staff having undertaken, or arranged to undertake, their required statutory or mandatory training for the current year. Statutory and mandatory training must be undertaken by all staff. Failure to do so would be considered to be a breach of the terms and conditions of employment and may be subject to disciplinary procedures.

2 ENGAGEMENT

The policy has been developed by the Yorkshire and Humber Commissioning Support (Y&HCS) Workforce team with expert advice from the Local Counter Fraud Specialist, and consultation with the CCG’s Senior Management Team, employees and the Joint Trade Union Partnership Forum.

3 IMPACT ANALYSES

3.1 Equality

In applying this policy, the CCG will have due regard for the need to eliminate unlawful discrimination, promote equality of opportunity, and provide for good relations between people of diverse groups, in particular on the grounds of the following characteristics protected by the Equality Act (2010); age, disability, gender, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, and sexual orientation, in addition to offending background, trade union membership, or any other personal characteristic. An equality impact assessment has been carried out and can be seen at Appendix 5. The assessment found that the policy potentially has a positive impact on people who share the following protected characteristics :

Race

Age

Pregnancy and maternity

Religion and belief As a result of performing the analysis, the policy does not appear to have any adverse effects on people who share ‘Protected Characteristics’ and no further actions are recommended at this stage.


3.2 Sustainability

The policy has been assessed against the CCG’s sustainability themes; please see Appendix 3. The conclusion(s) drawn from the sustainability assessment is that the policy has no negative impact on the sustainability themes but may have a positive impact on work-life balance under the workforce theme.

3.3 Bribery Act 2010 The CCG follows good NHS business practice as outlined in the Business Conduct Policy and has robust controls in place to prevent bribery. Due consideration has been given to the Bribery Act 2010 in the development of this policy document and no specific risks were identified. Advice from a Counter Fraud Specialist suggests the Bribery Act is not relevant to this policy.

4 SCOPE

This Policy applies to all employees of the CCG, members of the Governing Body and agency / contracted staff.

5 POLICY PURPOSE AND AIMS

This policy defines the CCG’s statutory and mandatory training programme and documents the type of training, who must attend and if any update is required. It also documents the responsibilities of staff and managers and information about how to access the training.

6 DEFINITIONS

Statutory Training Statutory training is that which the CCG is legally required to provide as defined in law or where a statutory body has instructed organisations to provide training on the basis of legislation; e.g., Fire Safety, Health & Safety, Moving and Handling (Please see Appendix 1 for full training list).

Mandatory Training

Mandatory training is determined by the CCG. It is concerned with minimising risk, providing assurance against policies and ensuring the CCG meets external standards and best practice guidance, e.g., Safeguarding Children. (Please see Appendix 1 for full training list).

Induction Process

All new staff to the CCG are required to complete an induction process which will include completion of Group 1 Statutory and Mandatory Training using the Computer Based Learning Solution (CBLS). Further information can be found in the CCG Induction Handbook and the Induction and Probation Policy.


7 ROLES / RESPONSIBILITIES / DUTIES

Organisation Responsibilities The Chief Officer and the CCG Governing Body are responsible for and committed to ensuring that all employees are appropriately trained to enable them to undertake their duties and to also protect their own wellbeing. The CCG has responsibility for ensuring that all requirements relating to Statutory and Mandatory training are in place and upheld by all staff. This ensures the quality, content and frequency of training being provided and equitable access to training by staff. The CCG is also required to ensure services commissioned by them have a Statutory and Mandatory Training Policy and programme to ensure best practice, minimise risk and patient, staff and public safety. Responsibilities of Members of Staff All staff are responsible for ensuring they are competent for their role and have a full understanding of the regulations and requirements related to their duties and the responsibilities and facilities that enable them to carry out their job, including statutory and mandatory training. This policy will also be discussed at the appraisal meetings between staff and their line manager. Some staff will have additional and specific professional and regulatory and continuing professional development requirements. It is a priority that all staff ensure that training in the statutory and mandatory programme has been completed within the expected timescales regardless of an individual’s post or ability, and should be treated as the highest priority in the annual personal development planning and review cycle. All staff who have applied to undertake further training will need to demonstrate that they have undertaken or have arranged to undertake their Statutory and Mandatory training before their applications for further training will be considered. All staff, whether paid or unpaid, have a statutory duty to cooperate with their manager to undertake training as required. If any aspect of Statutory and Mandatory training is unclear, staff must bring this to the immediate attention of their Line Manager. All staff should participate as required in any audits that may be carried out to monitor Statutory and Mandatory Training. Responsibilities of Managers Managers have the responsibility to ensure compliance with CCG Policies and Procedures by enabling all staff within their department to receive the required training and supervision. It is the responsibility of all department managers to ensure that all their staff are up to date with all the relevant Statutory and Mandatory Training. Every opportunity must be given to staff to undertake Statutory and Mandatory courses in work time.


It is the responsibility of managers and supervisors to ensure that the required Statutory and Mandatory Training is completed during the induction process and then reviewed during appraisals, with both the manager and post holder identifying any learning needs in their Personal Development Plan (PDP). Managers should ensure that all Statutory and Mandatory Training certificates are recorded on personal files. Responsibilities of the HR Team The CCG will work with Y&HCS who will be responsible for the co-ordination and administration of training to meet the requirements of the statutory and mandatory training. The HR team will provide monthly reports to the CCG of training undertaken.

8 IMPLEMENTATION

All employees will receive notification that the policy has been approved and will receive confirmation of where the policy is located. This policy should be incorporated as part of the employee induction process for all new employees joining the CCG.

9 TRAINING AND AWARENESS

A copy of the policy will be available on the CCG intranet. Training needs will be identified via the appraisal process and training needs analysis.

10 MONITORING AND AUDIT

The uptake of Statutory and Mandatory Training and the implementation of this policy will be audited on an annual basis by the CCG and reported to CCG Governing Body.

11 POLICY REVIEW

The policy and procedure will be reviewed after three years by the CCG Senior Management Team in conjunction with Trade Union representatives. Where review is necessary due to legislative change, this will happen immediately.

12 REFERENCES

For further information please refer to the following reference sources :

Induction and Probation Policy

Induction Handbook

Health and Safety Legislation

Equality Legislation


13 ASSOCIATED DOCUMENTATION

Appendix 1 Statutory and Mandatory Training Table Appendix 2 Equality Impact Assessment Appendix 3 Sustainability Impact Assessment


Appendix 1

Statutory and Mandatory Training Table

Frequency Course Title

Training Provider Who Should Attend / Complete ?

Once Only

Induction – Corporate (organisational information, e.g., structure / visions and values)

TBC All Staff

Induction – Local (role specific information, e.g., agreed short term targets with line managers)

TBC All Staff

Annually Information Governance National IG Toolkit All Staff

Fire Safety CBLS All Staff

Safeguarding Adults (Awareness) CBLS All Staff

Safeguarding Children Level 1 CBLS All Staff

Every 2 years Manual Handling CBLS All Staff

Every 3 years Equality & Diversity CBLS All Staff

Infection Control CBLS All Staff

Health and Safety CBLS All Staff

Mental Health Legislation CBLS All Staff


Appendix 2

1. Equality Impact Analysis

Policy / Project / Function: Statutory and Mandatory Training Policy

Date of Analysis: 06 May 2014

This Equality Impact Analysis was completed by: (Name and Department)

Workforce Service

What are the aims and intended effects of this policy, project or function ?

This policy defines the CCG’s Statutory and Mandatory Training programme, which aims to ensure the organisation meets its statutory obligations in relation to training.

Please list any other policies that are related to or referred to as part of this analysis?

Induction and Probation Policy

Induction Handbook

Health and Safety Legislation

Equalities Legislation

Who does the policy, project or function affect ? Please Tick

Employees

Service Users

Members of the Public

Other (List Below)


2. Equality Impact Analysis: Screening

Could this policy have a positive impact on…

Could this policy have a negative impact on…

Is there any evidence which already exists from previous (e.g. from previous engagement) to

evidence this impact

Yes No Yes No

Race

There is no potential positive or adverse impact on the grounds of race within the policy, but it should be monitored to ensure it is implemented consistently.

Age

There is no potential positive or adverse impact on the grounds of age within the policy, but it should be monitored to ensure it is implemented consistently.

Sexual Orientation

There is no potential positive or adverse impact on the grounds of sexual orientation within the policy, but it should be monitored to ensure it is implemented consistently.

Disabled People

Staff with disabilities may find it difficult to access training. Access to CBLS in Group 1 Training allows some flexibility in completion of training packages to ensure disabled staff can access training equitably. Whilst currently no employees in the CCG have declared a disability, the CCG is keen to ensure it is in a position to meet the needs of disabled staff in the future.

Gender

Staff with caring responsibilities (often women) may find it difficult to access training. This may be because an event is longer than the normal working day. Access to CBLS in Group 1 Training allows some flexibility in completion of training packages to ensure part time and full time staff can access training equitably. 41.68% of the staff in the CCG are female.


Transgender People

There is no potential positive or adverse impact on the Transgender people within the policy, but it should be monitored to ensure it is implemented consistently.

Pregnancy and Maternity

There is no potential positive or adverse impact on the grounds of pregnancy or maternity within the policy, but it should be monitored to ensure it is implemented consistently.

Marital Status

There is no potential positive or adverse impact on the grounds of marital status within the policy, but it should be monitored to ensure it is implemented consistently.

Religion and Belief

There is no potential positive or adverse impact on the grounds of religion or belief within the policy, but it should be monitored to ensure it is implemented consistently.

Reasoning

If there is no positive or negative impact on any of the Nine Protected Characteristics go to Section 7


3. Equality Impact Analysis: Local Profile Data

Local Profile/Demography of the Groups affected as at Oct 2014

General Total number of employees in the CCG is 24

Age

75% are aged 30-55 25% of staff are over 55 No employees are under 30

Race

87.49% staff employed in the CCG are White 4.17% staff are Black 4.17%staff are Asian 4.17% of staff have are not stated/undefined their ethnicity

Sex 58.34% staff employed are male 41.68% staff employed are female

Gender reassignment No information at this stage

Disability

91.67% of staff employed declared themselves as having no disability 8.33% did not declare /undefined No staff have declared a disability

Sexual Orientation 87.5% of staff described themselves as heterosexual 12.5% did not wish to respond / undefined

Religion, faith and belief

Christianity is the largest religious group declared by staff in the CCG (45.83%) 25% declared themselves Atheist 20.83% were undefined or did not wish to declare 4.17% of staff have other beliefs / religious beliefs 4.17% of staff declared themselves Buddhist

Marriage and civil partnership

83.33% of employees are married. No employees are in a civil partnership. The remainder (16.67%) are single/divorced/legally separated or widowed

Pregnancy and maternity No information yet as the CCG has not been established long enough to build meaningful data


4. Equality Impact Analysis: Equality Data Available

Is any Equality Data available relating to the use or implementation of this policy, project or function? Equality data is internal or external information that may indicate how the activity being analysed can affect different groups of people who share the nine Protected Characteristics – referred to hereafter as ‘Equality Groups’. Examples of Equality Data include: (this list is not definitive) 1. Application success rates Equality

Groups 2. Complaints by Equality Groups 3. Service usage and withdrawal of

services by Equality Groups 4. Grievances or decisions upheld and

dismissed by Equality Groups 5. Previous EIAs

Yes employee data No Where you have answered yes, please incorporate this data when performing the Equality Impact Assessment Test (the next section of this document).

List any Consultation e.g. with employees, service users, Unions or members of the public that has taken place in the development or implementation of this policy, project or function

Consultation has taken place locally and nationally

with Trade Unions

Promoting Inclusivity How does the project, service or function contribute towards our aims of eliminating discrimination and promoting equality and diversity within our organisation

This policy defines HaRD CCG’s Statutory and Mandatory Training programme, which aims to ensure the organisation meets its statutory obligations in relation to training. This should contribute towards eliminating discrimination in the organisation.


5. quality Impact Analysis: Assessment Test

What impact will the implementation of this policy, project or function have on employees, service users or other people who share characteristics protected by The Equality Act 2010 ?

Protected Characteristic:

No Impact:

Positive Impact:

Negative Impact:

Evidence of impact and if applicable, justification where a Genuine Determining Reason exists

Gender (Men and Women)

Staff with caring responsibilities (often women) may find it difficult to access training. This may be because an event is longer than the normal working day. Access to CBLS in Group 1 Training allows some flexibility in completion of training packages to ensure part time and full time staff can access training equitably. 41.68% of the staff in the CCG are female.

Race (All Racial Groups)

There is no potential positive or adverse impact on the grounds of race within the policy, but it should be monitored to ensure it is implemented consistently.

Disability (Mental and Physical)

Staff with disabilities may find it difficult to access training. Access to CBLS in Group 1 Training allows some flexibility in completion of training packages to ensure disabled staff can access training equitably. Whilst currently no employees in the CCG have declared a disability, the CCG is keen to ensure it is in a position to meet the needs of disabled staff in the future.

Religion or Belief There is no potential positive or adverse impact on the grounds of religion or belief within the policy, but it should be monitored to ensure it is implemented consistently.

Sexual Orientation (Heterosexual, Homosexual and Bisexual)

There is no potential positive or adverse impact on the grounds of sexual orientation within the policy, but it should be monitored to ensure it is implemented consistently.


What impact will the implementation of this policy, project or function have on employees, service users or other people who share characteristics protected by The Equality Act 2010 ?

Protected Characteristic:

No Impact:

Positive Impact:

Negative Impact:

Evidence of impact and if applicable, justification where a Genuine Determining Reason exists

Pregnancy and Maternity

There is no potential positive or adverse impact on the grounds of pregnancy or maternity

within the policy, but it should be monitored to ensure it is implemented consistently.

Transgender There is no potential positive or adverse impact on the Transgender people within the

policy, but it should be monitored to ensure it is implemented consistently.

Marital Status There is no potential positive or adverse impact on the grounds of marital; status within

the policy, but it should be monitored to ensure it is implemented consistently.

Age There is no potential positive or adverse impact on the grounds of age within the policy,

but it should be monitored to ensure it is implemented consistently.


6. Action Planning

As a result of performing this analysis, what actions are proposed to remove or reduce any risks of adverse outcomes identified on employees, service users or other people who share characteristics protected by The Equality Act 2010 ?

Identified Risk:

Recommended Actions:

Responsible Lead:

Completion Date:

Review Date:


7. Equality Impact Analysis Findings

Analysis Rating: Red Red/Amber Amber X Green

Actions Wording for Policy / Project / Function

Red Stop and remove the policy

Red: As a result of performing the analysis, it is evident that a risk of discrimination exists (direct, indirect, unintentional or otherwise) to one or more of the nine groups of people who share Protected Characteristics. It is recommended that the use of the policy be suspended until further work or analysis is performed.

Remove the policy Complete the action plan above to identify the areas of discrimination and the work or actions which needs to be carried out to minimise the risk of discrimination.

No wording needed as policy is being removed

Red Amber Continue the policy

As a result of performing the analysis, it is evident that a risk of discrimination exists (direct, indirect, unintentional or otherwise) to one or more of the nine groups of people who share Protected Characteristics. However, a genuine determining reason may exist that could legitimise or justify the use of this policy and further professional advice should be taken.

The policy can be published with the EIA List the justification of the discrimination and source the evidence (i.e. clinical need as advised by NICE). Consider if there are any potential actions which would reduce the risk of discrimination. Another EIA must be completed if the policy is changed, reviewed or if further discrimination is identified at a later date.

As a result of performing the analysis, it is evident that a risk of discrimination exists (direct, indirect, unintentional or otherwise) to one or more of the nine groups of people who share Protected Characteristics. However, a genuine determining reason exists which justifies the use of this policy and further professional advice. [Insert what the discrimination is and the justification of the discrimination plus any actions which could help what reduce the risk]


Equality Impact Findings (cont…)

Actions Wording for Policy / Project / Function

Amber Adjust the Policy

As a result of performing the analysis, it is evident that a risk of discrimination (as described above) exists and this risk may be removed or reduced by implementing the actions detailed within the Action Planning section of this document.

The Policy can be published with the EIA. The policy can still be published by the Action Plan must be monitored to ensure that work is being carried out to remove or reduce the discrimination. Any changes identified and made to the service / policy / strategy etc. should be included in the policy. Another EIA must be completed if the policy is changed, reviewed or if further discrimination is identified at a later date.

As a result of performing the analysis, it is evident that a risk of discrimination (as described above) exists and this risk may be removed or reduced by implementing the actions detailed with the Action Planning section of this document. [Insert what the discrimination is and what work will be carried out to reduce / eliminate the risk]

Green No major change

As a result of performing the analysis, the policy, project or function does not appear to have any adverse effects on people who share Protected Characteristics and no further actions are recommended at this stage.

The Policy can be published with the EIA. Another EIA must be completed if the policy is changed, reviewed or if any discrimination is identified at a later date.

As a result of performing the analysis, the policy, project or function does not appear to have any adverse effects on people who share Protected Characteristics and no further actions are recommended at this stage.

Equality Impact Findings (continued):


Brief Summary / Further comments

Approved By

Job Title: Name: Date:


Appendix 3

SUSTAINABILITY IMPACT ASSESSMENT

Staff preparing a policy, Governing Body (or Sub-Committee) report, service development or project are required to complete a Sustainability Impact Assessment (SIA). The purpose of this SIA is to record any positive or negative impacts that this is likely to have on sustainability.

Title of the document Statutory and Mandatory Training Policy

What is the main purpose of the document

This policy defines the CCG’s statutory and mandatory training programme, which aims to ensure the organisation is resourced with people who have the appropriate levels of competence and experience to enable the CCG to achieve its purpose and meet future needs.

Date completed 14 November 2014

Completed by Y&HCS Workforce Team

Domain Objectives Impact of activity Negative = -1 Neutral = 0 Positive = 1 Unknown = ? Not applicable = n/a

Brief description of impact

If negative, how can it be mitigated? If positive, how can it be enhanced?

Travel Will it provide / improve / promote alternatives to car based transport? Will it support more efficient use of cars (car sharing, low emission vehicles, environmentally friendly fuels and technologies)? Will it reduce ‘care miles’ (telecare, care closer) to home?

n/a


Will it promote active travel (cycling, walking)? Will it improve access to opportunities and facilities for all groups?

Procurement Will it specify social, economic and environmental outcomes to be accounted for in procurement and delivery? Will it stimulate innovation among providers of services related to the delivery of the organisations’ social, economic and environmental objectives? Will it promote ethical purchasing of goods or services? Will it promote greater efficiency of resource use? Will it obtain maximum value from pharmaceuticals and technologies (medicines management, prescribing, and supply chain)? Will it support local or regional supply chains? Will it promote access to local services (care closer to home)? Will it make current activities more efficient or alter service delivery models

n/a

Facilities Management

Will it reduce the amount of waste produced or increase the amount of waste recycled? Will it reduce water consumption?

n/a


Workforce Will it provide employment opportunities for local people? Will it promote or support equal employment opportunities? Will it promote healthy working lives (including health and safety at work, work-life/home-life balance and family friendly policies)? Will it offer employment opportunities to disadvantaged groups?

1 Staff with caring

responsibilities (often

women) and disabilities

may find it difficult to

access training. This may

be because an event is

longer than the normal

working day.

Access to CBLS in Group 1 Training allows

flexibility in completion of training packages

to ensure staff can access training

equitably.

Community Engagement

Will it promote health and sustainable development? Have you sought the views of our communities in relation to the impact on sustainable development for this activity?

n/a

Buildings Will it improve the resource efficiency of new or refurbished buildings (water, energy, density, use of existing buildings, designing for a longer lifespan)? Will it increase safety and security in new buildings and developments? Will it reduce greenhouse gas emissions from transport (choice of mode of transport, reducing need to travel)? Will it provide sympathetic and appropriate landscaping around new development? Will it improve access to the built environment?

n/a

Adaptation to Climate Change

Will it support the plan for the likely effects of climate change (e.g. identifying vulnerable groups; contingency planning for flood, heat wave and other weather extremes)?

n/a


Models of Care

Will it minimising ‘care miles’ making better use of new technologies such as telecare and telehealth, delivering care in settings closer to people’s homes? Will it promote prevention and self-management? Will it provide evidence-based, personalised care that achieves the best possible outcomes with the resources available? Will it deliver integrated care, that co-ordinate different elements of care more effectively and remove duplication and redundancy from care pathways?

n/a

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