South West Yorkshire Mental Health NHS Trust
Agenda for Change Project Team
Knowledge & Skills Framework Steering Group
KSF Gateways Policy & Guidance
Structure
1/ Background
2/ The KSF within SWYMHT & links to other policies
3/ Normal Progression
Timing of the Review
Payroll notification
4/ Problems with Progression
General skills gaps and concerns about performance
Reasons for non-progression
Deferred Progression
Moving from one job to another
Maternity Leave
Sickness Absence
Secondments
Career Breaks & Sabbaticals
Redundancy
Redeployment (for reasons not connected with performance)
5/ Disputes
Appendices
1/ KSF Terminology
2/ Position of Second Gateway points
1/ Background
The NHS Knowledge & Skills Framework (KSF) is part of the wider Agenda for Change
package of changes to employment arrangements for all NHS staff, other than ‘the three Ds’ –
doctors, dentists, and directors at board level. The benefit that the KSF brings to these
changes is a common and systematic approach to staff development that is also linked to pay
progression. (See Appendix One for a glossary of KSF terms. These are highlighted in bold
when first used in the text).
The basic arrangements of the KSF are that all posts have an agreed Outline. This defines and
describes what knowledge and skills staff doing that particular job need to be able to apply in
their work to deliver quality services. Each Outline has six core dimensions that apply to all
staff and a selection of several relevant dimensions from 24 additional specific dimensions.
Each dimension has four levels with a title describing what that level relates to and
indicators which describe how knowledge and skills need to be applied at that level.
All staff should be aware what Outline applies to them and have an identified Reviewer
(typically their line manager or supervisor) who knows and understands their role and
performance at work. They should meet them regularly to consider this and how it links to
their Personal Development Plan (PDP). These formal meetings should take place at least
annually, and twice during their first year in post, and are in addition to normal supervision,
etc.. (See the Trust’s Appraisal and Development Review document for more details)
Each outline exists at two levels. The full outline sets out the requirements of the experienced
postholder. A foundation sub-set describes the basic knowledge and skills required from the
outset in the post, coupled with that needed after 12 months of development and support – this
is used at recruitment, during induction and at the Foundation Gateway point. (There is a
separate Trust protocol on developing and agreeing KSF Outlines).
There are two Gateways – a Foundation Gateway after twelve months in post and a Second
Gateway after several years in post (the exact point varies from pay band to pay band and is
set out in Appendix Two). At these points a Gateway Review takes place where progress is
formally assessed against the relevant Outline (Foundation or Full) and if a member of staff
has not yet fulfilled their relevant Outline requirements their pay progression will stop until
they are able to do so.
It is important to stress that such a drastic step should be exceptional and should never come
‘out of the blue’ – concerns about staff who are likely to have problems fulfilling the relevant
Outline requirements should be highlighted early on and staff given assistance and
opportunities to help them fulfil them.
The Trust is also centrally monitored on the application of the KSF and a breakdown of the
numbers of staff whose pay progression is blocked (including details of gender and ethnicity)
has to be submitted regularly to the NHS Staff Council.
Steps to withhold pay progression from individuals are likely to be contentious and subject to
close scrutiny – although in no way should this inhibit reviewers contemplating it in
appropriate cases. This policy and guidance sets out the approach that should be taken within
the Trust.
2/ The KSF within SWYMHT & links to other policies
KSF implementation within SWYMHT is overseen by a KSF Steering Group with a range of
management and union representatives and is currently (2006-7) led day to day by Project
Manager Liz Sutcliffe (Elizabeth.Sutcliffe@swyt.nhs.uk). Once this phase of initial
implementation is complete advice should be sought from your service’s HR manager.
A training programme took place during 2006 to ensure all staff have access to a suitably
trained reviewer and a wide range of Outlines have been developed. The Trust has agreed to
use the NHS wide e-KSF system to administer the process.
This KSF Gateways policy sits alongside a range of other related Trust policies including
ones on Appraisal & Development Review, Capability, Disciplinary, Equal Opportunities,
Recruitment and Security of Employment. These can all be viewed on the document store on
the Trust’s intranet pages. Any concerns staff have about the application of this policy to them
need to be addressed through the Grievance and Collective Grievance policy, accessible from
the same source.
3/ Normal Progression
Staff progress annually by increments from their point of entry onto a Pay Band to the top of
their scale, subject to satisfactory Gateway Reviews. In the case of new entrants to Band 5
there are two increments during the first year in post, the second of which is subject to
fulfilling the Foundation Gateway requirements for the post. (AfC Terms & Conditions
Handbook, Part 2, paragraph 1.8)
The KSF Outline and the member of staff’s PDP should be considered at each formal review
session. These should be at least annually and twice during the first year, though meetings
every three months in the first year and every six months thereafter are good practice. Each
review session should be recorded on the e-KSF.
Gateway Reviews are where pay progression depends upon the postholder being able to
demonstrate that they can fulfil the requirements set out in the KSF Outline for their post. In
order to pass through the Foundation Gateway the individual must demonstrate that they meet
the basic requirements of the KSF dimensions set for their role. For the Second Gateway the
individual must demonstrate that they can meet the full level descriptors of the dimensions set
for that role.
The types of evidence needed to demonstrate fulfilling a post’s Outline requirements should
be discussed between the reviewer and postholder at their review sessions ahead of the
Gateway Review. The postholder should bring appropriate evidence (preferably as a
portfolio) to the Gateway Review meeting, and this evidence should be retained for at least 12
months in case verification is requested (a random selection of Gateway Reviews will be
audited to verify they have been correctly undertaken).
Timing of the Review

The Foundation Review takes place when the postholder is coming up to 12 months in
post, wherever on the incremental scale for their Band they started. (This means that
staff in posts subject to transitional points do not have their Foundation review after
several years in post, nor do staff appointed part way up an incremental scale to
reflect previous relevant earnings, etc., avoid one)

The Second Gateway is always at the same point on the incremental scale for the
Band.
The Trust operates a system by which an e-mail is generated to both the member of staff
concerned and their reviewer (through the e-KSF) when a Gateway Review is coming up.
This is normally sent two months before the Gateway Review must take place.
It is possible for someone to be established as meeting Gateway requirements at any time,
though this does not have any consequences for their pay progression until the Gateway point
falls due. If they are established as meeting the requirements in advance they must continue to
demonstrate that they meet the requirements until the Gateway falls due (for Second
Gateways this could be over several years).
The earliest a Gateway Review can take place is three months before a Foundation Gateway
and six months before a Second Gateway, except where the Gateway will fall during a period
of prolonged planned absence (most commonly maternity leave) where it should take place
about one month before the absence is due to commence.
Payroll notification
Staff will be paid any incremental increase they are due from the appropriate date unless
Payroll are notified otherwise by the individual’s line manager. This is in line with the
operation of the ESR (Electronic Staff Record) system.
This places responsibility for ensuring Gateway Reviews take place in good time and for
notification of any member of staff not passing through Gateways, firmly in the hands of line
managers.
Where at appraisal (preferably half way through the year), an individual is not meeting the
requirements of the post and unlikely to pass through their Gateway, their manager will need
to ensure appropriate measures are taken to support the individual. This may include a further
appraisal 3 months before the Gateway.
Where there is concern that an individual will not pass through their Gateway, the manager
should contact the appropriate HR for advice. This may include whether to defer the
incremental date, pending a satisfactory review taking place.
Please note that Payroll need early notification of any failure to pass through a Gateway – at
least three weeks before the relevant payday.
It is expected that staff will normally move through the Gateways without difficulty.
However managers need to ensure that the system does not work against competent staff, by
allowing those who have not met the laid down standards, to also pass through by default.
Should a member of staff appear to be avoiding meeting with their reviewer (perhaps in the
hope of passing though a Gateway by default) this should also be flagged as above.
4/ Problems with Progression
General skill gaps and concerns about performance
Skills gaps should be identified in the normal PDP process. Where skills gaps are identified,
education, training or development should be agreed to help the member of staff to gain the
necessary knowledge and skills. Managers must facilitate the member of staff in pursuing that
learning activity and applying the learning to the job so that employees are able to pass
through the Gateways.
If organisational/managerial decisions or actions prevent any member of staff from pursuing
learning or development activities that were agreed in the PDP as necessary to enable the
member of staff to meet the KSF requirements, then the member of staff may pass through the
Gateway regardless of whether or not they fulfil the requirements of the KSF Outline.
Where a member of staff’s own decisions or actions result in them not pursuing the learning
or development activities that were agreed as necessary and this results in them not being able
to demonstrate that they meet the requirements of their KSF Outline at the time of the
Gateway Review, the member of staff will not pass through the Gateway.
Concerns about performance should be picked up and dealt at the time of the concern and not
be stored up for Gateway Reviews. The PDP processes should be used along with the KSF to
highlight the concerns and to identify development needs. Employees should then be
supported
to
gain
the
knowledge
and
skills
they
need.
It is not appropriate to rely on KSF Gateways alone to deal with capability issues. If the
concerns about performance remain despite appropriate education, training or development
the manager may consider pursuing the issues using the Trust’s Capability procedures.
If an employee is not successful in the KSF Gateway Review this will result in the employee
not receiving the next incremental payment on their salary. This means that their pay would
remain frozen at its existing point until the Gateway Review has been successfully resolved.
Reasons for non-progression
Normally, non-progression through the Gateway could be for any one of the following
reasons:
Failure to attend the Gateway Review meeting.
If the employee has failed to turn up to the Gateway Review meeting, without a reasonable
explanation, the employee will not receive the next incremental payment in the pay band. A
reasonable explanation may be, for example, sickness, accident, sudden bereavement, sudden
family crises etc. The explanation for non-attendance should be sent to the reviewer, as far as
is possible, as soon as the incident which prevents attendance occurs. In the event of this the
meeting should be re-convened at the earliest possible time.
Failure to produce a portfolio of evidence with no reasonable explanation for not doing so.
If the employee has failed to produce an appropriate portfolio of evidence, showing
application of the necessary knowledge and skills as defined in the NHS KSF Outline for
his/her post, then it may be decided that the employee has not proved that s/he is performing
to the level expected of him/her in the job.
In the event of the above, the reviewer and employee should explore why this has happened
and agree how best to enable the employee to now gather and present the appropriate
evidence. The employee should then be given an extension of no more than 3 months to
produce the portfolio and attend a new Gateway Review with the portfolio. Incremental
payment will not be made until this new Gateway Review has taken place. If this new
Gateway Review is successful, incremental payment will then be made. However,
incremental payment will not be backdated if there was no reasonable explanation for the lack
of a portfolio.
At the Foundation Gateway, “reasonable explanation” may be, for example, considerable
sickness absence, maternity leave, etc. The Second Gateway often leaves a gap of several
years to gather the evidence therefore sickness absence and maternity leave should not
normally be acceptable as a reason for not having a portfolio.
Failure to apply the knowledge and skills required for one or more KSF dimension levels for
the job.
At the Gateway Review, where indications suggest that an employee is not applying the
knowledge and skills required for one or more of the KSF dimension levels for the job,
despite appropriate development, incremental payment will not be made.
In this case the reviewer and employee should discuss the employee’s further development
needs and actions required to remedy the needs. In the light of this point a reasonable deadline
should be set for development and performance improvement and a new Gateway Review
date planned. Incremental payment will not be made until this new Gateway Review has
taken place. If this new Gateway Review is successful incremental payment will then be
made, but will not be backdated.
Continued failure to produce a portfolio of evidence of application of the knowledge and
skills required at the KSF dimension levels for the job.
If an employee continually fails to produce a portfolio despite appropriate support,
development and leeway, then the manager may consider pursuing the issue using the Trust’s
Disciplinary procedures.
Continued failure to apply the knowledge and skills required at the KSF dimension levels for
the job.
If an employee continually fails to apply the knowledge and skills required at the KSF
dimension levels for the job despite appropriate support, development and leeway, then the
manager may consider pursuing the issue using the Trust’s Capability procedure.
N.B. Any employee undergoing the formal Trust Capability processes at the time their
Gateway Review is due will not have the Gateway Review until after the active stage of the
Capability process (which normally lasts from 3-6 months) have drawn to a conclusion.
Subsequently, their incremental payment will not be made until after a successful Gateway
Review takes place.
Deferred Progression
Where a member of staff has not met the requirements set out in the relevant Outline an
action plan should be agreed between them and their reviewer (and other parties such as line
managers where they are not reviewers), with a view to a re-assessment in three to six months
time.
If at the second Gateway Review the member of staff can still not fulfil the requirements a
meeting involving a more senior manager and HR (at which the person should be notified of
their right to union representation) should take place, normally within a month of this second
deferral of progression.
This will agree a further action plan or (in the case of a Second Gateway) that the member of
staff wishes to have their pay progression deferred for the present. If they choose this second
option they will continue to have annual PDPs and can opt to be reviewed again against the
Second Gateway Outline requirements at any time, provided three months have passed since
their last Review.
Moving from one job to another
Same role and work
Some employees move to the Trust from another organisation to work within exactly the
same sort of job; e.g. an Occupational Therapist moving from the Bradford District Care Trust
to SWYMHT. If their starting increment with the Trust is above Foundation Gateway level,
the following conditions will apply:

The employee should take his/her portfolio of evidence to the new job.

In the first PDP at the end of the Induction Period (normally at three months) the
manager and the employee should use the KSF Outline Foundation Subset for the job
in conjunction with the employee’s portfolio to determine any immediate development
needs. This should help the person to settle in to the Trust and start to apply as
quickly as possible the necessary knowledge and skills required in the KSF Outline
Foundation Subset.

If the employee has started employment with the Trust on an increment either one
below, at, or above the Second Gateway, then the KSF Full Outline should be used.

Normal PDP objectives and development needs should then be agreed as appropriate.

Pay is not attached to these Reviews, except where staff start just below the Second
Gateway, as the employee has already been through the Gateways for their role.
However, if there are concerns about the employee’s performance at this stage,
immediate steps should be taken to plan development and set targets for improvement
as for other staff.
Different role and work
No matter what increment in the pay band the employee has been placed on at the start of
employment in the new job/role:

The employee will be advised, encouraged and assisted to produce a portfolio of
evidence in preparation for a Foundation Gateway Review, using the KSF Foundation
Subset for the role.

The Foundation Gateway Review will take place no later than 12 months after the
person has started in the new job.

This Foundation Gateway Review will be pay-related (meaning incremental
progression may be halted if Outline requirements are not met) no matter on what
increment on the pay band s/he has been placed.

A successful Foundation Gateway Review will result in the person moving to the next
increment on the pay band above the increment on the pay band that s/he has been
placed on at the start of employment in the new job/role.

An unsuccessful Foundation Gateway Review will result in the appropriate process in
coming in to play.

If an employee commences employment with the Trust on an increment above or at
the Second Gateway, then a Second Gateway Review should take place, using the full
KSF Outline for the job.

If the employee is only one increment below the Second Gateway, a reasonable
decision should be made about when to carry out the Second Gateway Review. The
manager must be re-assured that the employee is using the appropriate skills and
knowledge required for the job, without putting the employee through two Gateway
reviews
in
unnecessarily
quick
succession.
Maternity Leave
Foundation Gateway Reviews:
When a Foundation Gateway Review is due whilst an employee is on maternity leave, where
possible, the Gateway review should be brought forward to a date before the maternity leave
starts. If the brought forward Foundation Gateway Review is successful, incremental
payment will be made on time.
If the brought forward Foundation Gateway Review is not successful, incremental payment
will still be made on time. However, the following conditions will also apply:

A PDP using the KSF Outline Foundation Subset should take place no later than one
month after the employee has returned to work after the maternity leave. This PDP
should be used to help both employee and manager to ensure that the employee is
receiving the developmental support required to progress in the job.

A second Foundation Gateway Review should then take place between 4 and 7
months after the employee’s return to work from maternity leave, to ensure that the
employee is now working at the level required by the KSF Outline Subset. An
appropriate judgement should be made by the manager about the timing of this
Foundation Gateway Review to ensure that the employee has had the opportunity of at
least 12 months of actual attendance at work, counting the time both before and after
the maternity leave absence.

If the second Foundation Gateway Review is not successful, then the usual
arrangements in such situations will apply.
If it is not possible or practicable to bring forward the KSF Foundation Review to a date
before the maternity leave starts, then the incremental payment should be made on time. An
example of where it is not possible or practicable might be when the maternity leave begins
almost immediately after commencement of employment. The second Foundation Gateway
Review as for unsuccessful reviews prior to Maternity Leave will then apply.
Second Gateway Reviews:
When a Second Gateway is due whilst an employee is on maternity leave, where possible, the
Gateway review should be brought forward to a date before the maternity leave starts. If the
Second Gateway Review is successful, incremental payment can then be made on time.
If the Second Gateway Review is not successful, incremental payment will not be made.

The manager and employee should discuss the employee’s further development needs
and actions required to remedy the needs.

In the light of the imminent maternity leave, a reasonable deadline should be set for
development and performance improvement and a new Gateway Review date planned
no sooner than 3 months after the employee’s return to work at the end of the
maternity leave. This date should allow for the planned development and
improvements to have taken place.
Incremental payment will not be made until this new Second Gateway Review has taken
place. If this new Second Gateway Review is successful, incremental payment will then be
made, backdated to the start of the maternity leave. Should this review not be successful any
incremental increase will only take effect from the date of the eventual successful review, in
the normal way.
Sickness Absence
When a Foundation or a Second Gateway Review is due whilst an employee is absent due to
long term sickness, the Gateway Review should be held 3 months after the return to the full
contracted work regime.
When a Foundation or a Second Gateway Review is due whilst an employee is absent due to
short term sickness, the Gateway Review should be rescheduled to take place no more than
one month after the return to work.
If the Gateway Review is successful, incremental payment will be backdated to the increment
date. If the Gateway Review is not successful, incremental payment will not be made. In this
case the appropriate processes will come in to force.
Secondments
Where a secondment is planned, the Foundation or the Second Gateway Review of the current
role should take place before the secondment so that the increment can be paid on time if the
Review is successful. If the review is not successful, the increment will not be paid until a
successful review takes place, though the person may be able to opt to defer / rearrange the
secondment to provide opportunities to fulfil their Gateway requirements at the earliest
opportunity.
Career breaks/sabbaticals
Where a Foundation or a Second Gateway Review is due whilst an employee takes a career
break, a sabbatical or any other type of unpaid leave, the Gateway Review should be held 3
months after the return to work. If the Gateway Review is successful, incremental payment
will be backdated to the return to work date. If the Gateway Review is not successful,
incremental payment will not be made. In this case the appropriate processes will come in to
force.
Redundancy
Where an employee is working under a redundancy notice, the KSF Gateway Reviews should
not be affected and should go ahead. In this case all employees have a right to any increments
due to them.
Redeployment (for reasons not connected with performance)
When an employee is redeployed to a job in another area/department, etc. which is the same
role and requires the employee to do same work as their previous job reviews apply at the
normal times no matter what pay the employee is actually receiving. Where the review falls
only a few months after the move it may be appropriate for it to be brought forward and
resolved with the previous reviewer. If there are any issues at this point it may be appropriate
for a meeting involving the member of staff and both the previous and current reviewers to
take place.
When an employee is re-deployed to a job in the same or another area/department etc. which
is a different role and/or requires the employee to do different work to their previous job, then
the normal process of both Foundation and Second Gateways apply in the new role. The
member of staff will however have automatic incremental progression through the Foundation
Gateway regardless of the outcome of the Foundation Gateway Review. This is to
acknowledge the process of adjustment they may be undertaking. An action plan to address
any difficulties raised at the Gateway Review will still be needed. By the stage of the Second
Gateway the member of staff is taken to be established in their new role and normal
arrangements apply.
5/Disputes
Disagreements between reviewers and employees on any decision pertaining to PDPs or the
KSF should firstly be talked through between the two people concerned and an attempt made
to reach a compromise acceptable to both.
In the event of this failing to resolve matters the Grievance and Collective Grievance Policy
should be followed – this emphasises informal resolution at the initial stage.
During the period of any concern about Gateway Reviews, the increment associated with the
particular Gateway will not be paid until after the grievance is settled.
Following the settlement of the grievance, if the Gateway Review is successful the increment
can be paid and will be backdated to the original due date, or as agreed as part of the
resolution of the grievance.
APPENDIX ONE : KSF Glossary
Agenda for Change – the new terms and conditions introduced for all NHS staff apart from
doctors, dentists and board level directors in 2004. It includes a new grading system based on
job evaluation, new pay scales and other conditions of service and the Knowledge and Skills
Framework as the basis for staff appraisal and career development.
Core Dimension – one of six areas of skills and knowledge that are applicable to every NHS
job.
Development Review – a normally annual meeting between a member of staff and their
manager/review at which their knowledge and skills and how they apply them are assessed
against the KSF Outline for the post.
E-KSF – the electronic package used across the NHS to support the Development Review
and PDP process. SWYMHT uses this rather than paper versions.
Foundation Gateway – an assessment within a year of appointment to a new post where the
member of staff and their manager decide whether the member of staff has met the
requirements of the KSF Foundation Sub-set for their post and can progress to the next
increment in their pay band.
Foundation Sub-set – a description of the basic knowledge and skills that a member of staff
needs to acquire and apply by the end of their first year in a new post. This is normally at
lower level or has less indicators than the full KSF Outline.
Gateway – a point where staff need to be able to demonstrate they have and can apply the
knowledge and skills needed in their job as set out in the KSF Outline for their post. This is
assessed against the Foundation Sub-set at the Foundation Gateway and against the full KSF
Outline at the Second Gateway.
KSF – The NHS Knowledge and Skills Framework – the approach to staff appraisal and
development set out within the Agenda for Change system.
Increments – each pay band is broken down into annual increments with staff normally
progressing through them each year until they reach the top of their pay band. The exceptions
to this are that after the first year in a new post the Foundation Gateway requirements need to
be fulfilled to move on to the next increment and that at the Second Gateway (normally after
several years in post) the full KSF Outline requirements need to be fulfilled to reach the upper
increments of the pay band.
Indicator – indicators describe the types of skills and knowledge that apply at each level
within a dimension.
Level – each dimension has four levels (labelled 1-4) setting out the increasing complexity of
skills and knowledge which may be needed.
Outline – a document setting out the requirements of a post under the KSF in terms of the six
core and a number of specific dimensions, each expressed at various levels and with various
indicators. It is from this that both the Foundation and Second Gateway requirements are
derived.
Pay Band – based on the outcome of the job evaluation process of Agenda for Change each
job is allocated to a pay band (1-9) within which there are between 4 and 9 increments.
PDP – Personal Development Plan – the plan is based on what is agreed at Development
Reviews and sets out what a member of staff will do and what support they will receive to
help them fulfil the KSF Outline requirements for their post, or prepare to apply for posts at a
higher level. It may also include mandatory or personal professional/academic training needs
not explicitly covered in the KSF Outline itself.
Second Gateway – the point, normally after several years in post, at which a member of staff
and their manager / reviewer determine whether the member of staff has and applies the full
range of skills and knowledge to do their job. This is set out in the KSF Outline for their post,
and allows the member of staff to progress to the increments at the top of their pay band.
Specific Dimension – one of the 24 areas of skills and knowledge that apply to specific jobs.
Title – the summary description of what each dimension involves at each level, expressed in
more detail as indicators.
APPENDIX TWO : Timing of Second Gateway points
Pay band
Position of Second Gateway
Pay band 1
Pay bands 2 – 4
Pay bands 5 – 7
Pay band 8, ranges A – D
Pay band 9
Before final point
Before first of last two points
Before first of last three points
Before final point
Before final point