ESTABLISHMENT OF A LEAD EMPLOYER
FOR ALL
GENERAL PRACTICE SPECIALTY
TRAINEES IN LONDON
Operational Guidance for General
Practices/Community Placements/Hospices &
Trusts during Transition
JULY 2015
1. Generic Background & Guidance
1.1
Why Establish a Lead Employer?
Health Education England, via its three London Local Education Training Boards
(LETBs), has decided to appoint two Lead Employers, one covering North London
and the other South London, in order to provide comprehensive employment and
human resource services to all General Practice Specialty Trainees (GPSTs)
employed within London.
This decision follows the recommendations of The Committee for General Practice
Education Directors (COGPED) Scoping Report in 2011, which recommended that
GPSTs should have one employer throughout their training and through a Lead
Employer model.
A number of other LETBs outside of London already operate such a model very
successfully and in London we have experience of running similar commissions in
both Public Health and Palliative Medicine.
The LETBs, who collectively are known as the “Commissioner”, hope that these
appointments will help them realise a range of benefits for a number of stakeholders
involved in GPST training. These include:
a)
The three London LETBs will only have to work with two Lead Employers as opposed
to over 400 General Practice and Trust employers currently. This will free up the
Commissioner to focus on managing the training programmes, the finances and any
potential trainees in difficulty;
b)
GPSTs will only have one Lead Employer during the course of their training, reducing
the risk of duplication and confusion and resulting in the provision of consistent
employment and human resource services throughout their training period;
c)
Clinicians, including LETB Heads of Primary Care Education & Development,
Training Programme Directors and Patch Associate Directors, will also have only one
Lead Employer to work with in their areas, thus streamlining communications and
making clearer Lead Employer and Commissioner roles and responsibilities; and
d)
Improve the quality of these services and provide greater transparency around how
funding in support of these arrangements is used and accounted for.
1.2
When will the Lead Employer arrangements start?
These new arrangements will start on 5 August 2015 and will cover all 1500 GPST
trainees in London, covering both Primary and Secondary Care, and including all
New Starters.
This date has been selected as it also coincides with when most trainees would
ordinarily rotate to a new employer and when most New Starters join the training
programme.
1.3
Who are the new Lead Employers and how do you contact them?
The new Lead Employers are:
North London: The Royal Free London NHS Foundation Trust
Named Contact: Gareth Jones or Maria Neophytou
Contact Inbox:
rf.gpleo@nhs.net
South London: St Georges University Hospitals NHS Foundation Trust
Named contact: Claire Low or Zoe Laker
Contact Inbox:
1.4
gpst@stgeorges.nhs.uk
The Role of the Lead Employer
A Lead Employer will be responsible for providing a full range of employer and
human resource services and support, regardless of where a trainee is actually
based or rotates to during their three year training. These service expectations are
as summarised in Appendix A.
1.5
The Role of the Local Education Provider
Local Education Providers (which includes General Practices, Trusts and “Others” for
example Hospices, Local Authorities and private providers) will continue to “manage”
day-to-day matters to do with a trainee being physically based at their sites but as
they will no longer be the Employer they will cease to be responsible for providing
any of the services detailed in Appendix A.
The Lead Employer will in due course issue a Memorandum of Understanding to all
of its Local Education Providers (LEPs) clarifying not only these new roles and
responsibilities but also how both parties will work together. These service
expectations are as summarised in Appendix B.
1.6
What activities, if any, will not be covered by these arrangements?
The establishment of a Lead Employer is about supporting the employment and HR
needs of GPSTs. All other processes, funding streams or payments, including those
made in support of training or trainers, both within Primary and Secondary care
settings, are unaffected by these arrangements and these include:
o
o
o
o
o
o
Rotation planning
Recruitment
Assessment
Training design development and delivery
Faculty development
Career advice
o
o
o
Trainee support that relates specifically to educational need
Study Leave management
Performers List Process
The establishment of a Lead Employer for all GPSTs does not change current
Performers List processes; the only exception to this is that the Lead Employer will
now be responsible for undertaking all Pre-Employment and DBS checks and for
confirming the outcomes from this processes to Local Area Teams and/or their
nominated contacts.
The Lead Employer will be required to work collaboratively with all Local Education
Providers and other stakeholders involved in the Performers List process in order to
ensure compliance and, should these processes change, with whatever
arrangements are agreed and in place in the future.
Further guidance on these processes can be obtained from NHS England and via the
following link:
http://www.england.nhs.uk/wp-content/uploads/2014/08/sop-med-perf.pdf
1.7
Out of Programme Trainees or those who have a CCT date during the
transition?
As stated within “1.2” above, it is intended that these new arrangements will cover all
GPSTs as from 5 August 2015.
However, it is accepted that there are three categories of trainees where it makes no
sense to transfer these over to the new Lead Employer arrangements and these are:
1) GPSTs Out of Programme (Sick or Maternity Leave) currently and
extending beyond 5 August 2015;
2) GPSTs who are due to achieve their CCT between 5 August and on, or
before, 30 September 2015; and
3) Military Trainees who will continue to be employed by the Military of
Defence and local Trusts and/or Practices may wish to issue an Honorary
Contract in these circumstances. Payment/reimbursement processes
currently remain as is.
Undertaking additional Pre-Employment checks and issuing new contracts would not
be sensible in these cases or a justifiable use of public resources.
Accordingly, it has been agreed that these trainees will stay with their current
employers and in the case of those Out of Programme (sick and maternity leave) will
only transfer to the new Lead Employers once they return to training.
General Practices (or CCGs/PCSS/NHS SBS/other NHS bodies when this function is
undertaken by a third party on behalf of Practices) will continue to be responsible for
paying these trainees and Health Education England will reimburse NHS England
exactly as now. We are therefore now not proposing to change these payment
processes following feedback from Practices.
Trusts will continue to receive funding directly and via the Learning Development
Agreement (LDA) and in these circumstances will not be recharged these costs by
the Lead Employer (please see below).
1.8
Working Collaboratively
The success of these new arrangements will depend upon all parties working
collaboratively and successfully together.
This requires a clear understanding of each party’s roles and responsibilities and with
this in mind we are proposing to establish a Memorandum of Understanding (MoU)
between both the Lead Employer and its Local Education Providers comprised
primarily of Trusts and General Practices but to include others such as Hospices,
Local Authorities and private providers.
The purpose of this MoU will be to make clear the obligations under these
arrangements and sets out the undertakings of both organisations to each other and
agree the services and support to be provided to and by both parties.
A draft copy of this MoU will be issued shortly by your local Lead Employer.
1.9
Honorary Contracts
The Local Education Provider may need to issue any GPSTs working at their sites
with an honorary contract as going forward they will no longer be the employer or
contract issuer.
This is usually necessary in order to allow trainees access to sites and/or training
delivered at locations not managed by the Lead Employer but the Local Education
Provider.
The Lead Employer has a draft Honorary Contract which can be used by Local
Education Providers.
1.10 Smartcards
Smartcards are linked to place of work. It is only issued once; the trainee will present
the card to their new place of work.
All trainees should already have a Smartcard but for the GPSTs who do not, the
Lead Employer will send the RA01 forms to trainees alongside the other joining
paperwork.
The Lead Employer will confirm to the Local Education Provider that trainees have
had their pre-employment checks and that these have a satisfactory outcome.
The Lead Employer will arrange for all necessary photographs to be taken at Pre
Employment Check surgeries. The Lead Employer will scan the photo and send a
copy of this to both the Local Education Provider and the trainee.
The Lead Employer will tell the trainee to take the copy of the photo, together with the
completed RA01 form, to the Local Education Provider (the LEP should have already
received directly from the Lead Employer a copy of the photo earlier) for the card to
be issued.
The Lead Employer will only be responsible for issuing Smartcards for GPSTs who
misplace their original Smartcard when the GPST is based in a setting where there is
no local card issuing facility. For those based in a Trust, or in Practices where there is
an agreed card issuing facility already in place, replacement cards will be issued
there.
1.11
Induction / Mandatory Training
Any induction and mandatory training will be undertaken by the Local Education
Provider exactly as now; usually for all trainees and on their first day.
The Local Education Provider will need in advance agree the detail and dates of this
training with the Lead Employer.
1.12
Employment Tribunal Protocol
All parties agree to follow the Commissioner’s Employment Tribunal Protocol
(Appendix C) whenever a GPSTs grievance or grievances cannot easily be resolved
through internal HR processes and/or when an employment tribunal or other claim is
received, threatened or anticipated by all or any of the Parties issued by and/or
relating to one or more Trainees.
It is anticipated that the claims made will be as a consequence of a decision made by
the Authority/TPD/Placement Provider. The Lead Employer in the majority of cases
will be engaging trainees on the direction of the Authority, decisions on hours and
pay are also agreed with the Authority.
In such events it is expected that the Lead Employer will not bear any costs in
defending such cases and will be indemnified as detailed in the Clauses of the
Commissioner’s Employment Tribunal Protocol.
Full details of the processes to be followed can be found in APPENDIX C:
EMPLOYMENT TRIBUNAL CLAIM PROTOCOL
2.
2.1
Primary Care – General Practices / Community /
Hospices
What impact do these changes have on current funding arrangements?
The introduction of a Lead Employer model means that we have had to review and
change some of the funding flows and related processes associated with employing
this group of trainees, especially within Primary Care.
2.1.1 Salaries
As from 5 August 2015, Practices will no longer ordinarily be responsible for
employing GPSTs or for paying their salaries (exceptions to this are as described in
section “1.7” above).
Practices (or third parties acting on their behalf, including CCGs) will therefore not be
able to reclaim these costs back from NHS England after 5 August 2015 as the
Commissioner (Health Education England) will be funding Lead Employers directly
and will not be making such payments via NHS England and/or their agents as is
currently the case.
All costs and/or recharges which fall due before 5 August 2015 should be processed
exactly as usual and via your normal reimbursement routes. Payments due after this
date will normally become the responsibility of the new Lead Employer, except where
the claim relates to an expense incurred before 5 August 2015. Such claims should
normally be presented no later than 31 August 2015.
If a Practice has a trainee Out of Programme (on sick or maternity leave) or due to
achieve a CCT between 5 August and on or before 30 September 2015 (as per
section “1.7” above) and this has been agreed directly in advance with the
Commissioner, then the Practice (or its agent, including the local CCGs/PCSS) will
continue to pay for these trainees and via existing processes. Health Education
England will continue to reimburse NHS England exactly as now and for this group of
trainees.
Trainees, at the point of returning from Sick or Maternity leave, will transfer to the
new Lead Employer. Trainees reaching CCT on or before 30 September will leave
the training programme. Military trainees are unaffected by these changes.
Trainees on maternity leave, sick leave or currently Out of Programme, will be
required to give a minimum of 12 weeks’ notice of their intention to return to the
training programme. This is so that the Lead Employers have sufficient time to
complete the relevant Pre-Employment checks.
2.1.2 Medical Indemnity Membership Recharges
GPSTs working in General Practice (these arrangements do not apply to those
working in Secondary Care settings) are responsible for selecting a provider of
Medical Indemnity Membership and arranging cover. They are also then expected to
pay for these services directly themselves. These parts of the process are
unaffected by the changes.
The only change is that going forward GPSTs working in General Practice will no
longer reclaim these expenses back from the Practice but rather from the Lead
Employer who will reimburse these in full, subject to the production of an appropriate
invoice and usually via the GPST’s next salary run.
Any reimbursement will be subject to tax and national insurance but the GPST may
be entitled to reclaim back from HMRC tax relief on these professional fees, at their
rate of tax, which is normally 40% for full time GPSTs.
Please note that the entitlement to reimbursement only relates to the proportion of
Indemnity Membership which covers a GPSTs placement in General Practice and not
the small additional/optional payment which trainees can make in order to cover other
exposure or risks outside of this placement (Secondary Care, Good Samaritan, etc.).
2.1.3 Education Allowance
This is effectively a form of Study Leave for trainees in General Practice and is
currently paid to trainees in two parts, with £250 being passed over during the course
of Year 1 or Year 2 and the remaining £500 being paid usually in Year 3. £200 of this
support is currently made in furtherance of Family Planning training.
Currently reimbursement is via the Commissioner and made directly to the trainee.
Going forward this will become the responsibility of the Lead Employer.
The approval process is via Education Supervisors’/Training Programme Directors
and the trainee will subsequently obtain and present to the Lead Employer an invoice
for reimbursement.
Full details of the study leave and education allowances, and reimbursement
processes, can be found at: http://www.lpmde.ac.uk/training-programme/generalpractice/during-training/employment-matters/study-leave
2.1.4 Travel & Other Related Expenses
The reimbursement of these costs will also transfer to the Lead Employer who will be
responsible for reimbursing GPSTs for all travel and other appropriate expenses
incurred as a direct result of their training.
Mileage costs will normally be paid at a rate of £0.24p per mile, for all travel
appropriately incurred as a result of their training placement but excluding
travel/commuting to and from their normal place of work.
Any other expenses incurred should be in accordance with the Commissioners
agreed policy or, if exceptional, agreed with the Lead Employer and Commissioner in
advance of any costs being incurred.
2.2
What impact, if any, do these arrangements have on the Performers List
Processes?
The establishment of a Lead Employer for all GPSTs does not change current
Performers List processes, the only exception to this is that we have agreed with
NHS England that the Lead Employer will now be responsible for undertaking all PreEmployment and DBS checks and for confirming the outcomes from this process to
the Local Area Teams and/or their nominated contacts.
The Lead Employer will be required to work collaboratively with all Local Education
Providers and other stakeholders involved in the Performers List process in order to
ensure compliance and, should these processes change, with whatever
arrangements are agreed and in place in the future.
Further guidance on these processes can be obtained from NHS England and via the
following link:
http://www.england.nhs.uk/wp-content/uploads/2014/08/sop-med-perf.pdf
3.
Secondary Care – Trusts
3.1
What impact do these changes have on current funding arrangements?
3.1.1
Salary
The Commissioner has decided not to change current funding flows within
Secondary Care which means that Trusts will continue to receive both Salary
Support and the Placement Fee directly and via the quarterly LDA.
The Trust will continue to provide the same level of financial support as now and in
terms of partially and fully funded Trust posts.
This has been done in order not to destabilise current arrangements but also to
ensure that Trusts’ have the ability to cover unplanned vacancies should they occur
in the training programme and by local appointments.
However, as Trusts will no longer be the employer of GPSTs based at their sites
and will therefore not be responsible for paying their salaries, the Lead Employer
will recharge Trusts the actual salary costs, plus any agreed banding, monthly and
in arrears.
Trusts will therefore be expected to pass over to the new Lead Employers the
actual salary costs of staff employed and paid for by the Lead Employer but based
at the site of the Trust upon receipt of a recharge request. This will not incur either
party any additional costs, as the Trust will not be paying anything more than it does
now but will be merely making such payments via a third party, the Lead Employer.
The Trust is expected to make administrative savings in terms of no longer having
to provide the full range of employer, HR and payroll services to this cohort of
trainees as these responsibilities will transfer to the new Lead Employers.
If a Trust have a trainee Out of Programme (sick or maternity leave) or due to
achieve a CCT on or before 30 September 2015 (as per section “1.7” above) and
this has been agreed directly in advance with the Commissioner, then the Trust will
continue to be the employer of these GPSTs and therefore will not be recharged.
Trainees on sick or on maternity leave will transfer to their new Lead Employer once
they return to training.
Trainees on maternity leave, sick leave or currently Out of Programme, will be
required to give a minimum of 12 weeks’ notice of their intention to return to the
training programme. This is so that the Lead Employers have sufficient time to
complete the relevant Pre-Employment checks.
3.1.2
Study Leave
Trusts will continue to receive Study Leave funding directly and via the Placement
Fee and LDA.
The Lead Employer has no role in the management of these funds which will
continue to be managed by the clinical tutor and via the local postgraduate centre.
However, should a Trust wish to make a payment to a GPST or group of trainees
directly, then they will need to request that such payment is made by the Lead
Employer who will in turn will recharge the requesting Trust. It is important that both
the Lead Employer and LEP have a system in place that allows for this process.
3.1.3
Travel & Other Related Expenses
The reimbursement of these costs will also transfer to the Lead Employer who will
be responsible for reimbursing GPSTs for all travel and other appropriate expenses
incurred as a direct result of their training.
Mileage costs will normally be paid at a rate of £0.24p per mile, for all travel
appropriately incurred as a result of their training placement but excluding
travel/commuting to and from their normal place of work.
Any other expenses incurred should be in accordance with the Commissioner’s
agreed policy or, if exceptional, agreed with the Lead Employer and Commissioner
in advance of any costs being incurred.
All costs which fall due before 5 August 2015 should be processed exactly as usual
and via your normal payment routes. Payments due after this date will normally
become the responsibility of the new Lead Employer.
APPENDIX A: LEAD EMPLOYER SERVICE SPECIFICATION
All services provided by the Lead Employer will be documented and defined by process
flows which will be contained in a quality manual agreed between the Authority, the Lead
Employers’ and, if and where appropriate, the Local Education Providers’.
1.
PRE-EMPLOYMENT CHECKS
1.1
Ensure that all required pre-employment checks are carried out including immigration
status/right to work checks; one enhanced criminal records background check for
vulnerable adults and children and registration on the Primary Care Medical
Performers List; independent safeguarding authority checks and also ensure that
appropriate medical clearance, including clearance for those working within a
General Practice, is obtained in accordance with NHS Code of Practice.
1.2
Request via Inter Authority Transfer details of previous employment and when
returned, establish the correct salary, taking into consideration protection issues and
liaising with the Authority, as appropriate, to confirm any changes to salaries
required.
1.3
Notify Local Education Providers of the basic salary payable to the trainee and obtain
from them the pay band supplement applicable to the individual in the placement. All
pay protection cases should be discussed with the Authority in advance.
2.
CONTRACTS OF EMPLOYMENT
2.1
Ensure that each trainee has a personnel file/employee record.
2.2
Send out new starter packs to trainees.
2.3
Ensure that relevant HR policies, procedures and guidelines are available to trainees
on the Lead Employer website.
2.4
Issue contracts of employment to all GPSTs and to new starters within 8 weeks of
commencement in post.
2.5
The Authority will supply the nationally approved contract of employment template to
be used by the Lead Employer in the case of GP Practice Placements.
2.6
Deal with enquiries from trainees about their Terms and Conditions of Service and
contracts.
2.7
If problems arise with any part of the employment process liaise with the Authority.
2.8
Notify trainees of banding for posts prior to commencement of first placements.
2.9
The Authority, via its Operations function, shall ensure that the Lead Employer, Local
Education Providers and trainees receive notification of rotational movements twelve
weeks prior to the rotation date.
3.
OCCUPATIONAL HEALTH
3.1
Ensure that trainees, including those working within a General Practice, are able to
access the provision of Occupational Health services for both immunisations and
vaccinations and for regular health surveillance.
3.2
As required, provide OH assessments and advice for work/health related matters to
both the trainee and their Local Education Provider.
4.
ROTATIONS
4.1
Following confirmation from the Authority, via its Operations function, of rotation and
placement details, amend contracts as appropriate and complete payroll
documentation.
4.2
Liaise with Local Education Providers as appropriate and to agreed timescales.
5.
RESIGNATIONS
5.1
Any requests to resign from the training programme should be submitted to the
Authority for Postgraduate Dean approval. The Lead Employer is only permitted to
accept resignations from an employment perspective and it should be recognised
that this is separate to resignation from the training programme.
5.2
The Lead Employer will however acknowledge receipt of such requests and confirm
that the matter has been referred to the Authority for consideration.
5.3
Once a resignation request has been accepted by the Authority and confirmed in
writing to the Lead Employer, liaise with Local Education Providers with regards to
the period of notice to be served for “early” resignations from the training programme
and employment.
5.4
The Lead Employer is not responsible for recruiting to vacancies within the General
Practice training programme. Recruiting to short term vacancies (service locums)
which arise within the Secondary Care setting remains the responsibility of Local
Education Providers.
5.4
When calculating final salary payments take into account any annual leave
entitlement that a trainee may have outstanding on termination.
5.5
If received locally, send a copy of the resignation letter and acknowledgement to the
relevant Training Programme Director, Patch Associate Director, and the Authority
and to the Local Education Provider.
5.6
The Authority will advise the Lead Employer, via an agreed electronic process,
details of all new starters and/or leavers as they arise. The Lead Employer will
advise the Authority immediately in the unlikely event that they should become aware
of any new starters or leavers outside of this agreed process.
6.
LIAISON WITH THE AUTHORITY
6.1
Liaise with the Authority on a broad range of employment issues for example
employee / trainee performance.
6.2
Provide guidance to the Authority on the Terms and Conditions of Service for
trainees.
6.3
Deal with and liaise with the Authority through the Training Programme Directors
regarding the management of long-term absence due to ill health.
6.4
Liaise with the Authority, via the relevant Training Programme Directors’, on the
assessment of trainees salaries when they fall outside of the expected pay range
(e.g. for ST1 STR Point 5 and above are outside of the expected pay range).
7.
DATA MONITORING RETURNS
7.1
Submit completed returns to the Authority in accordance with agreed deadlines.
8.
TERMS AND CONDITIONS OF EMPLOYMENT
8.1
Handle all terms and conditions of service and contract enquiries in accordance with
the relevant policies.
9.
SALARY COSTS
9.1
The Lead Employer will be responsible for paying all GPST salaries, provided that
such trainees are on Authority approved London General Practice Training
programmes, covering both Primary and Secondary Care
9.2
The Lead Employer will be entitled to recharge the Authority (in the case of GPSTs
based in General Practice) and to recharge Trust Local Education Providers (in the
case of GPSTs based in NHS Trusts and Secondary Care settings) the actual salary
costs of these trainees, paid monthly and in arrears.
9.3
The Lead Employer will be responsible for providing all the usual payroll services that
you would expect an employer to provide, including but not limited to making all
agreed deductions from salary in support of a trainee’s Tax, National Insurance
and/or NHS Pension liabilities and for reimbursing trainees any agreed costs incurred
in furtherance of their training and which have been agreed in advance and as per
the relevant policy.
9.4
The Lead Employer will be responsible for investigating, in conjunction with the Local
Education Provider, any pay banding or payment queries.
9.5
In the case of Secondary Care Local Education Providers ensure that Lead Employer
salary recharge requests for NHS Trust funded posts which are occupied by a GPST
are actioned within agreed timeframes.
10.
MEDICAL INDEMNITY MEMBERSHIP RECHARGES
10.1
Individual GPSTs working in General Practice (these arrangements do not apply to
those working in Secondary Care settings) are responsible for selecting a provider of
Medical Indemnity Membership and arranging cover. They are also expected to pay
for these services directly themselves.
10.2
These GPSTs are entitled to reclaim these expenses back from the Lead Employer,
who will reimburse these in full, subject to the production of an appropriate invoice
and usually via the GPSTs’ next salary run.
11.
EDUCATION ALLOWANCE (PRIMARY CARE)
11.1
This is effectively a form of Study Leave for trainees in General Practice and is
currently paid to trainees in two parts, with £250 being passed over during the course
of Year 1 or Year 2 and the remaining £500 being paid usually in Year 3. £200 of this
support is currently made in furtherance of Family Planning training.
11.2
The approval process is via Education Supervisors/Training Programme Directors
and the trainee will subsequently obtain and present to the Lead Employer an invoice
for reimbursement.
12.
STUDY LEAVE (SECONDARY CARE)
12.1
Study Leave for GPSTs based in Secondary Care will continue to be managed by the
clinical tutor via the local postgraduate centre. The Trust Local Education Provider
will continue to receive this funding direct from the Commissioner via the LDA and
Placement Fee.
12.2
In those circumstances where a Trust Local Education Provider wishes to make a
Study Leave payment direct to an individual or group of GPSTs, then the Trust can
request in writing that such a payment be made by the Lead Employer, who will make
the payment via normal payroll processes and then recharge the Trust accordingly.
13.
CAR MILEAGE ALLOWANCE
13.1
Process claims and payments in accordance with an Authority-approved Lead
Employer policy.
14.
REMOVAL AND ASSOCIATED TRAVEL EXPENSES
14.1
Process claims and payments in accordance with the Authority’s removal and travel
policy.
15.
MANAGEMENT OF ATTENDANCE
15.1
Ensure accurate monitoring, recording and management of all sickness absence for
trainees in accordance with the relevant policy and scheme of delegation and for
reporting purposes using agreed IT systems wherever practicable.
15.2
Continue to provide HR support and services to trainees whilst on sick leave and to
those taken on temporarily within training programmes to cover such absences.
15.3
Liaise with the Training Programme Director regarding what action, if any, to be
taken in relation to trainees who have been on sick leave for 14 days or more (e.g.
days taken as a 14 day (or more) block or days adding up to 14 days (or more) taken
over a 12 month period of time).
15.4
Provide the Authority and Training Programme Director with a bi-monthly report of
trainees who have been on sick leave, by name, specialty, duration of sickness and
action taken, subject to appropriate data sharing agreements being in place between
both the Lead Employer and the Authority.
16.
MATERNITY, PATERNITY AND ADOPTION LEAVE
16.1
Process requests for maternity, paternity and adoption leave in accordance with the
relevant policy and scheme of delegation.
16.2
Notify the Authority and Local Education Provider of a trainee’s request to take
maternity, paternity or adoption leave.
16.3
Notify the Authority and Local Education Provider of the trainee’s date of return
changes.
16.4
Continue to provide HR support and services to trainees whilst on maternity leave.
17.
LESS THAN FULL TIME WORKING AND TRAINING
17.1
Requests from a trainee to work and train Less Than Full time should be managed in
accordance with the Authority’s policy.
17.2
Once an application has been approved by the Authority, issue an amended contract
of employment to the trainee.
18.
HANDLING TRAINEE CONDUCT, PERFORMANCE AND HEALTH CONCERNS
18.1
Concerns about the conduct, performance and health of trainees must be handled in
accordance with the relevant policy.
18.2
The Training Programme Director, Patch Associate Director and the Authority must
be involved in any decision to restrict the practice of a trainee or to exclude a trainee
from work or registration on the Performers List.
18.3
The Training Programme Director and the Authority must be informed in a timely way
of any concerns about the conduct/capability of trainees. Information must be
provided via the six monthly employer’s portal and ad-hoc Serious Incidence reports.
19.
GRIEVANCE AND DISPUTES
19.1
All grievances and disputes must be handled in accordance with the relevant policy.
19.2
The Authority, Training Programme Director and the Patch Associate Director must
be informed of all grievances so that any impact on education and training can be
considered.
20.
BULLYING AND HARASSMENT
20.1
All bullying and harassment complaints must be handled in accordance with the
relevant policy.
20.2
The Authority and Training Programme Director must be informed of any bullying and
harassment complaints from or about a trainee so that any impact on education and
training can be considered.
21.
REQUESTS FOR SPECIALISED EQUIPMENT
21.1
Where requests from trainees for specialised equipment comprise a training
programme adjustment, these must be brought to the attention of the Authority.
22.
ANNUAL LEAVE
22.1
Arrange a suitable method to collect annual and other statutory leave information
from Local Education Providers and trainees, as requested.
22.2
Maintain accurate records of annual leave changing placements and entitlements as
necessary. These records must be shared with the Authority, as requested, in order
for CCT date calculations to be undertaken.
23.
EMPLOYEE RELATIONS
23.1
Manage all formal and informal grievance and discipline issues in accordance with
the agreed policies, schemes of delegation and timescales, ensuring that the Training
Programme Director and Patch Associate Director are kept informed at each stage.
23.2
Where employment or other legal claims are submitted, follow the Protocol for
Handling Employment Tribunal and other Legal Claims as set out in Error! Not a
valid bookmark self-reference. of the Service Level Agreement.
24.
PERFORMER LIST PROCESSES
24.1
The establishment of a Lead Employer for all GPSTs’ does not change current
Performers List processes and these will continue as now. The Lead Employer will
be required to work collaboratively with all Local Education Providers and other
stakeholders involved in the Performers’ List process in order to ensure compliance
and, should these processes change, with whatever arrangements are agreed and in
place in the future.
25.
SMARTCARDS
General
25.1
A Smartcard is a credit card-sized plastic card containing an electronic chip for
security. It is printed with a trainee’s name, photograph and unique user identity
number and the trainees can take the Smartcard with them from job to job. Each
trainee only has one Smartcard, (UUID) even if (s)he works for more than one NHS
organisation or has more than one position within an organisation.
25.2
As an NHS CRS Smartcard user, by signing the RA01 form the trainee agrees to
accept the terms and conditions of its use.
Role of Lead Employer
25.3
The Lead Employer will send the RA01 forms to trainees alongside the other joining
paperwork.
25.4
The Lead Employer will confirm with the Local Education Provider that trainees have
had their pre-employment checks and that these have a satisfactory outcome.
25.5
The Lead Employer will arrange for all necessary photographs to be taken at Pre
Employment Check surgeries. The Lead Employer will scan the photo and send a
copy of this to both the Local Education Provider and the trainee.
25.6
The Lead Employer will tell the trainee to take the copy of the photo, together with
the completed RA01 form, to the Local Education Provider (the LEP should have
already received directly from the Lead Employer a copy of the photo earlier) for the
card to be issued.
25.7
The Lead Employer will only be responsible for issuing Smartcards for GPSTs who
misplace their original Smartcard when the GPST is based in a setting where there is
no local card issuing facility. For those based in a Trust, or in Practices where there is
an agreed card issuing facility already in place, replacement cards would be issued
there.
26.
AD HOC REQUESTS
26.1
To undertake other functions and/or recharges agreed with the Commissioner from
time to time and in accordance with its duties and responsibilities as a Lead
Employer for GPSTs.
APPENDIX B: OBLIGATIONS OF LOCAL EDUCATION PROVIDERS
1.
HONORARY CONTRACTS
1.1
The Local Education Provider will issue the GPST with an honorary contract when
and where such an arrangement is necessary to allow such trainees access to sites
and/or training delivered at locations not managed by the Lead Employer but the Local
Education Provider.
2.
ANNUAL LEAVE
2.1
Receive and process annual leave forms from trainees.
2.2
Send acknowledgement to trainees when annual leave has been approved, following
local guidelines.
2.3
Record annual leave in the agreed format and send to the Lead Employer on a
monthly basis, by the 3rd day of each month at the latest.
2.4
Deal with queries arising out of annual leave procedures within 5 working days.
3.
ROTATIONS
3.1
Notify the Lead Employer of banding by supplying the banding assessment for the
posts that trainees are rotating to in the Local Education Provider at least 8 weeks
before trainee commences with the Local Education Provider.
3.2
Notify the Lead Employer if trainees fail to start in post within 24 hours of the expected
commencement date.
3.3
Local Education Providers are obliged to take any trainees who are rotated to them by
the Authority.
4.
RESIGNATIONS
4.1
A Local Education Provider is not authorised to approve applications to resign from the
training programme or GPST employment. The Local Education Provider should
merely acknowledge receipt and confirm that the matter has been referred to the
Authority and postgraduate Dean for approval, copying in the Lead Employer.
4.2
Once such a request has been approved by the Authority and confirmed with the Local
Education Provider via the Lead Employer, the Local Education Provider will confirm to
the Lead Employer the amount of any annual leave outstanding and within 5 working
days of receiving approval.
4.3
Recruiting to short term vacancies (service locums) which arise within the Secondary
Care setting remains the responsibility of Local Education Providers.
5.
SICKNESS AND ABSENCE
5.1
For any obligations detailed below in respect of absence reporting, (e.g. sickness,
maternity, paternity, adoption), the Local Education Provider will use the GRID system
wherever practicable.
5.2
Notify the Lead Employer of sickness and absence for all trainees as follows:
a.
In a monthly return by the Lead Employers payroll deadline.
b.
Send copies of self-certified/doctor’s certified certificates to Lead Employer within 5
working days of receipt.
c.
Complete Return to Work interviews for all trainees following any period of sickness
absence. Complete Return to Work interview forms and forward a copy to the Lead
Employer within five working days of completion.
5.3
Manage and take appropriate action in dealing with trainee absence relating to
persistent short term, long term and patterns of absence. Liaise with the Lead
Employer and with Authority and agree with both parties appropriate courses of action.
5.4
Support trainees in returning to work following periods of absence by fully participating
in Return to Work programmes.
6.
MATERNITY, PATERNITY, ADOPTION & FAMILY LEAVE
6.1
When a trainee notifies either a Lead Employer or Local Education Provider of
maternity leave, that Party must notify either the Lead Employer or the Local Education
Provider, whichever the case may be. The Local Education Provider must carry out a
formal risk assessment within 10 working days of notification. The trainee and Lead
Employer must be notified of risk assessment outcomes within 5 working days.
6.2
Receive and process the relevant forms from the trainee.
6.3
Send acknowledgement to the trainee when leave has been approved.
6.4
Record leave in the agreed format and send to the Lead Employer on a monthly basis,
by the 3rd day of each month.
6.5
Deal with queries arising out of leave procedures within 5 working days.
6.6
Send paternity leave applications to payroll for processing pay.
7.
DISCIPLINARY, GRIEVANCES AND INVESTIGATIONS
7.1
Inform the Lead Employer and the Authority within 1 working day of any potentially
serious matters relating to the conduct and behaviour of trainees.
7.2
If requested by the Lead Employer and/or the Authority, conduct or comply with
investigations commissioned into alleged issues in line with the Lead Employer
Disciplinary Policy and with regard to the Protocol Error! Not a valid bookmark selfreference..
7.3
If requested by the Lead Employer and/or the Authority, conduct disciplinary hearings
in line with the Lead Employer Disciplinary Policy.
7.4
If requested by the Lead Employer and/or the Authority, deal with grievances raised by
trainees in line with the Lead Employer Grievance Policy.
8.
PROVISION OF INFORMATION
8.1
Provide the Lead Employer with contact information for key personnel at the Local
Education Provider and update the Lead Employer of any changes on a monthly
basis.
8.2
Provide the Lead Employer with relevant information for trainees relating to
departmental induction arrangements within 10 working days of the GPST
commencing employment.
8.3
Advise the Lead Employer within 28 working days of any inaccuracies in the financial
charges received and advice on corrections that need to be made.
9.
PAYROLL
9.1
Support the Lead Employer as necessary in investigating any pay banding or
payment queries.
9.2
Banding appeals should be managed in accordance with Advanced Letter (MD)
8/2001 and NHS Employers “Junior doctor banding appeals – Good practice
guidance for junior doctors and employers”.
9.3
In the case of Secondary Care Local Education Providers’ ensure that Lead Employer
salary recharge requests for NHS Trust funded posts which are occupied by a GPST
are actioned within agreed timeframes.
10.
INDUCTION / MANDATORY TRAINING
10.1
Complete the Local Education Provider and local induction for all trainees on the first
day of the rotation (the dates will need to be agreed in advance between the Lead
Employer and the Local Education Provider).
10.2
Ensure that trainees attend the Local Education Provider’s mandatory training
sessions.
11.
RISK ASSESSMENT
11.1
Complete risk assessments and associated actions for trainees as circumstances
require such as for expectant mothers and trainees returning from sick leave.
12
EMPLOYMENT COSTS
12.1
The Local Education Provider agrees to continue to contribute towards any
employment costs relating to the appointment of trainees employed by the Lead
Employee but based within their Trust or on a GPST training programme aligned to
their Trust.
13.
EDUCATION SUPPORT (PRIMARY CARE)
13.1
The Local Education Provider agrees to work collaboratively with the Lead Employer
on all matters relating to the processing of Education Support claims which under
these arrangements is now the responsibility of the Lead Employer.
14.
STUDY LEAVE (SECONDARY CARE)
14.1
Study Leave for GPSTs based in Secondary Care will continue to be managed by the
clinical tutor via the local postgraduate centre and the Trust Local Education Provider
will continue to receive this funding direct from the Commissioner and via the LDA
and Placement Fee.
14.2
In those circumstances where a Trust Local Education Provider wishes to make a
Study Leave payment direct to an individual or group of GPSTs, then the Trust
should request in writing that such a payment be made by the Lead Employer who
will then recharge the Trust accordingly.
15.
SALARY COSTS
15.1
Local Education Providers will no longer be responsible for paying (directly in the
case of Trusts) the salary costs of any GPSTs receiving training or working at their
sites as part of an Authority approved GPST General Practice Training Programme.
15.2
Salary payments will become the responsibility of the Lead Employer who will
recharge the Authority (in the case of GPSTs based in General Practice) and Trust
Local Education Providers (in the case of GPSTs based in NHS Trusts and
Secondary Care settings), based on actual salary costs, monthly and in arrears.
Secondary Care
15.3
In terms of Secondary Care, both the Authority and the Trust Local Education
Provider will continue to support General Practice training financially and at the same
level as currently. Trusts will continue to receive the Authority’s financial contribution
via the Learning and Development Agreement.
15.4
The only change to process going forward is that Trust Local Education Providers will
no longer be responsible for paying the salaries of GPSTs based at their sites as
these trainees will be employed by the Lead Employer who will also pay their
salaries. Accordingly, Trust Local Education Providers will be recharged the actual
salary costs of these staff by the Lead Employer, monthly in arrears.
15.5
The only exceptions to this are those GPSTs either on maternity/sick leave after 5
August 2015, or those trainees who are due to reach CCT between 5 August and 30
September 2015.
15.6
In these cases, Trust Local Education Providers will continue to be the employer and
to pay the salaries for this group of staff, where appropriate. The Lead Employer will
not make any recharges for this group of trainees and those off sick or on maternity
leave will transfer to the new Lead Employer upon their return to training.
Primary Care
15.7
In terms of Primary Care, all actual salary costs will be the responsibility of the Lead
Employer, who will recharge the Authority, monthly and in arrears. Practices, CCGs,
and other NHS bodies or functions will not have any further role in making such
payments or in these responsibilities, after 5 August 2015.
15.8
The exceptions to this are those GPSTs either on maternity/sick leave after 5 August
2015, or those trainees who are due to reach CCT between 5 August and 30
September 2015.
15.9
In the case of trainees on sick or maternity leave, Practices will continue to employee
and pay these trainees as now and these new arrangements, including transferring to
the new Lead Employer, will not kick in until these trainees return to training.
15.10 Practices (and/or their agents) will be entitled to recharge NHS England the actual
salary costs of these staff, monthly and in arrears and as per the processes detailed
by the Commissioner within the GPST Operational Guidance document.
16.
MEDICAL INDEMNITY MEMBERSHIP RECHARGES (PRIMARY CARE)
16.1
Local Education Providers (Primary Care) will no longer be responsible for
reimbursing GPSTs the costs associated with their Medical Indemnity Membership.
16.2
GPSTs will be entitled to reclaim these expenses back via their Lead Employer, who
will reimburse these in full, subject to the production of an appropriate invoice and
usually via the GPSTs’ next salary run.
17.
SMARTCARDS
17.1
The Local Education Provider will upon receipt of the completed RA01, and
confirmation of the satisfactory completion of all pre-appointment checks, issue a
Smartcard to the trainee.
17.2
Smartcards are linked to place of work. It is only issued once; the trainee will present
the card to their new place of work. The majority of trainees will have a Smartcard.
17.3
The Lead Employer will only be responsible for issuing Smartcards for GPSTs who
misplace their original Smartcard when the GPST is based in a setting where there is
no local card issuing facility. For those based in a Trust, or in Practices where there is
an agreed card issuing facility already in place, replacement cards would be issued
there.
18.
EMPLOYMENT TRIBUNAL PROTOCOL
18.1
The Local Education Provider agrees to follow the Authority’s Employment Tribunal
Protocol (Appendix C) whenever a Trainee’s grievance or grievances cannot easily
be resolved through internal HR processes and/or when an employment tribunal or
other claim is received, threatened or anticipated by all or any of the Parties issued
by and/or relating to one or more Trainees.
APPENDIX C: EMPLOYMENT TRIBUNAL CLAIM PROTOCOL
1.
THE PROTOCOL
a)
It is anticipated that the claims made will be as a consequence of a decision made by
the Authority/TPD/Local Education Provider. The Lead Employer in the majority of
cases will be engaging trainees on the direction of the Authority, decisions on hours
and pay are also agreed with the Authority. In such events it is expected that the
Lead Employer will not bear any costs in defending such cases and will be
indemnified as detailed in Clauses J & K of this Agreement.
b)
The Parties (The Lead Employer, Local Education Provider and the Authority) agree
to follow the protocol below whenever a Trainee’s grievance or grievances cannot
easily be resolved through internal HR processes and/or when an employment
tribunal or other claim is received, threatened or anticipated by all or any of the
Parties issued by and/or relating to one or more Trainees.
c)
The Party on which the claim/s is/are being served will notify the other Parties within 5
working days of service.
d)
The Parties shall jointly consider the claims/allegations made and determine,
following receipt of legal advice from the Lead Employer’s solicitors , how best to
proceed in relation to the claims. The Authority reserves the right to also seek advice
and guidance from Health Education England’s (HEE’s) retained Solicitors. LEPs are
also free to obtain their own legal advice but at their own cost.
e)
The Parties also agree to fully co-operate in any investigations necessary to conclude
any claim.
f)
As part of this consideration of how to proceed in relation to the claims, HEE may
decide that further exploration of the facts is necessary and the claims will then be
investigated by an independent officer appointed by HEE (and agreed with the Lead
Employer) to properly consider the allegations and to assess how these have been
handled previously. The independent officer will report the findings of the
investigation to an independent panel, with the membership of the panel agreed by
all parties on which the claim/s is/are being served. All Parties agree to co-operate
fully with such an investigation and respond in a timely manner to ensure the
Employment Tribunal deadlines are met.
g)
Any possible conflicts of interest should be referred to the independent officer for
determination in the first instance.
h)
The Parties agree that where such proceedings include or consist of allegations of
discrimination on any protected ground, the investigation is intended to demonstrate
compliance with the obligations on public sector bodies to take steps to eliminate
discrimination.
i)
Following any investigation as set out in clause 1.4 above and the subsequent
determination by an independent panel set up by HEE (referring to legal advice
where necessary) of whether the claims and allegations or any of them are made out,
the Parties agree to jointly review both the investigation report and the panel’s
decision to decide whether to continue to defend the claims or instead work towards
a settlement in the event that some or all of the complaints and/or allegations set out
in the claim/s and/or associated grievances have substance or are upheld.
HEE will coordinate and respond to any claim that is submitted.
j)
All decisions to settle, unless it is a contractual payment will require the approval of
the Trust Development Authority and Treasury.
k)
Should the Parties decide to settle the claim(s), all three will endeavour to apportion
liability for all sums incurred based on fault and by agreement. However if
agreement cannot be reached, HEE shall appoint or reconvene the independent
panel at clause 1.4 - made up of three suitably experienced persons (agreed by all
parties) in order to determine the apportionment of fault and liability between the
Parties involved.
l)
Should the Parties decide (following the investigation and panel outcome) to continue
to defend the claim(s) in an Employment Tribunal or Court, the Parties agree to
cooperate to co-operate to ensure the correct Respondent/s to any such claim is/are
identified and that the claim(s) are defended appropriately.
m)
Where the Tribunal or Court has published a decision in which any claims are upheld
or partially upheld, the Party or Parties shall apportion and pay (or agree to the prior
deduction of) costs incurred in accordance with findings of fault within that published
decision. However, where agreement cannot be reached as to the meaning and
effect of any Tribunal or Court findings, the independent panel will be re-convened to
consider the findings and decision of the Tribunal or Court and it will determine how
the legal costs and any damages or compensation awarded or settlement reached
based on those findings will be apportioned between the relevant Parties.
n)
If the Tribunal or Court dismisses the claim or claims in their entirety, legal fees will
be apportioned in line with any findings of fault by the Panel. If the Panel is unable to
identify any fault on behalf of the Parties, the Authority will fund any legal fees.
o)
The Panel’s determination shall be binding on the Parties as to each of their
contribution to legal fees, settlement sums, damages and compensation and each
Party agrees to pay the sums determined as due or to suffer, without complaint, prior
deduction from sums due to it under this Agreement in satisfaction of this Protocol.