LEAVERS POLICY Documentation Control Reference Approving Body Trust Board Date Approved Implementation Date 1 Version Not Applicable Supersedes Consultation undertaken Date of Completion of Equality Impact Assessment Human Resources NUH Policy Sub Group Directors’ Group Finance ICT 18 August 2011 Date of Completion of We Are Here 18 August 2011 For You Assessment Date of Environmental Impact Assessment (if applicable) Not Applicable Target Audience All managers and staff Temporary Staffing Policy Supporting Documents and References September 2014
Review Date Leavers Policy Version 1 September 2011 1 Lead Executive Danny Mortimer Author/Lead Manager Christine Woolley Further Guidance/Information Directorate HR Managers
Leavers Policy Version 1 September 2011 2 CONTENTS Paragraph Title Page 1 Introduction 5 Policy Statement 5 Definitions 5 Notice Periods 6 Pay Documentation 6 Continuity of Service 8 Annual Leave on Termination 8 Exit Questionnaires 8 Security 8 Other Trust Property 9 Confidentiality 9 Dismissal for Misconduct 9 Referral to Professional Regulatory Bodies 10 References 10 Handover Meeting 10 Retention of Personal Files 11 Death in Service 11
2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 Leavers Policy Version 1 September 2011 3 Roles and Responsibilities 11 19 Monitoring and Evaluating the effectiveness of this policy 12 20 Equality and Diversity Statement 12 21 Equality Impact Assessment Statement 12 22 Environmental Impact Assessment Statement 13 23 We are here for you standard Mission Statement 13 24 Advice 13 18 Appendix 1 Leaver Checklist 14 Appendix 2 Equality Impact Assessment Report Outline 15 Appendix 3 Certification of Employee Awareness 21
Leavers Policy Version 1 September 2011 4 LEAVERS POLICY 1. INTRODUCTION 1.1 For a variety of reasons staff employed at Nottingham University Hospitals Trust either under paid contract of employment or an honorary contract will leave the Trust. This may be as a result of voluntary resignation, retirement, end of a fixed term contract, ill­health, capability, redundancy, dismissal for misconduct or dismissal for some other substantial reason. 1.2 When a person leaves NUH, the Trust is potentially exposed to a number of risks including financial loss, loss of physical assets and information security. The Trust must therefore have in place a number of checks and controls to ensure there are no preventable risks associated with the person’s departure. 2. POLICY STATEMENT 2.1 This policy describes the various checks and controls that managers must implement when a person leaves NUH in order to provide the Trust with assurance there are no preventable risks associated with the person’s departure. 2.2 A check list is provided as appendix 1 of this policy as final confirmation that all of the leaver checks have been completed. 2.3 Temporary workers supplied via and agency are covered under the Trust’s separate Temporary Staffing Policy. 3. DEFINITIONS 3.1 T Form – Termination form. A multi­part self carbonating form which serves as the Trust’s main document for alerting Pay Services and HR that an employee is leaving the Trust.
Leavers Policy Version 1 September 2011 5 3.2 C Form ­ Notice of change of circumstances form. A multi­part self carbonating form which serves as the Trust’s main document for alerting Pay Services and HR about any changes to an employee’s role, pay, hours, marital status, address etc. 4. NOTICE PERIODS 4.1 Contractual notice periods are confirmed in contracts of employment. For staff appointed or promoted after October 2009 notice periods are as follows. Band 1 Bands 2, 3 & 4 Bands 5 & 6 Band 7 and above 1 week 4 weeks 8 weeks 12 weeks 4.2 For appointments//promotions pre October 2009 managers and staff should refer to their original contracts of employment. 4.3 Notice periods for doctors can be obtained from the Recruitment Team in HR. 4.4 For employees who are retiring and who are intending to draw their NHS pension, Pay Services normally need at least 12 weeks notice to ensure that the Pensions Agency have the pension in place on retirement. 4.5 If the reason for dismissal is at the Trust’s behest notice periods will be in accordance with statutory provisions which is 1 week of notice for every completed year of service up to a maximum of 12 weeks. The exception to this is summary dismissal when no notice is given. 5. PAY DOCUMENTATION 5.1 A Termination form (referred to as a T form) should be completed as soon as a person’s last date of employment is known (copies from the Recruitment Team in HR). 5.2 The cut off date for processing pay is 7 th of the month. To avoid the possibility of an over­payment, authorised managers must take special
Leavers Policy Version 1 September 2011 6 care to ensure that T forms arrive in HR and Pay Services promptly. For any leavers in the month that are not known about until after the pay services cut­off date, the manager must contact the Pay Services clerk by e­mail or by telephone to provide advance notice that a late T form is on its way. 5.3 In the NHS, pay is calculated on a daily rate based on 7 days a week. The end of a normal week will therefore always be on the Sunday. So assuming that an employee has completed their contractual hours during their last week of employment then regardless of the last day they physically worked, the Sunday should be recorded as their last day of employment. 5.4 The T form must include the reason for leaving and a forwarding address for the leaver. 5.5 For doctors in training, HR will assume the doctor has completed the full programme of training at NUH and a T form will be processed as per the Deanery notification. It is essential that Heads of Service/supervising consultants immediately inform HR if a doctor leaves the Trust ahead of their planned rotation so that a T form can be processed and the doctor not over­paid. 5.6 For staff moving from one department to another, this does not require a T form to be completed. Under normal circumstances it is the responsibility of the appointing manager to complete the Notice of Change form (referred to as a C form) to confirm the new post details. 5.7 If the employee is participating in a salary sacrifice for the purchase or lease of property please alert pay services immediately so that appropriate arrangements can be made. 5.8 A P45 document will be sent to the ex­employee after their final pay has been processed. 5.9 For persons working on an honorary contract basis a T form should still be completed so that centrally held records can be updated.
Leavers Policy Version 1 September 2011 7 6. CONTINUITY OF SERVICE 6.1 NHS staff moving between different NHS organisations will have their continuity of employment protected provided the gap between leaving one organisation and another does not exceed 3 months. 7. ANNUAL LEAVE ON TERMINATION 7.1 With the exception of summary dismissals for gross misconduct and dismissals for ill­health the expectation is that all accrued annual leave up to the end of the individual’s notice period will have been taken. In the event that all annual leave cannot be taken, payment in lieu of untaken annual leave can be made. This must be clearly expressed on the T form. 7.2 In the event that an employee has taken more than their accrued entitlement to paid annual leave on their last working day, pay for the overtaken days or parts thereof will be deducted from the employee’s final pay. This must be clearly expressed on the T form. 8. EXIT QUESTIONNAIRES 8.1 NUH has an ambition to be the best employer. The Trust is therefore interested in feedback from leavers so this can inform future decisions relating to the employment of staff. Details on ways to complete the questionnaire can be found within the HR documents section on the NUH intranet. 9. SECURITY . 9.1 When an employee leaves, it is imperative that on the employee’s last day identity cards and any keys to Trust accommodation or storage/filing facilities are returned. The identity card must be returned to the campus security office. In the event that an identity card has not been returned the manager must inform the campus security office so that access can be removed remotely. 9.2 If any keys are not accounted for the manager must undertake a risk
Leavers Policy Version 1 September 2011 8 assessment and notify the campus security office so that arrangements can be made to temporarily protect the area pending the fitting of new locks. 9.3 Access to hospital IT Systems should also be disabled e.g. removal of access to Smartcards, Windows logon account and any clinical/information systems. 10. OTHER TRUST PROPERTY 10.1 On an employee’s last day all other Trust property must be returned. This will include
· Uniforms
· NUH mobile phone and any accessories
· Portable computer equipment and storage, VPN or remote access devices
· Any equipment provided for use at home
· Lease car*
· Trust medical equipment
· Text books/Reference materials
· Smart Card (unless the employee is moving to another NHS post, in which case the card should be taken to their next NHS employer.) * If the employee has a lease car or masterlease salary sacrifice car the manager must contact pay services as soon as possible 11. CONFIDENTIALITY 11.1 Employees who have had access to confidential information during the course of their employment must be reminded that this duty of confidentiality extends beyond their contract of employment and they must not disclose any confidential information seen during their employment once they have left. 12. DISMISSAL FOR MISCONDUCT 12.1 Anyone dismissed for personal or professional misconduct will be entered onto a Trust alert list. This is a list maintained by HR and reference is made against this list before any offers of employment for new recruits are made. It is the Trust’s policy not to re­engage anyone dismissed for
Leavers Policy Version 1 September 2011 9 misconduct without the express permission of the Director of Human Resources. 13. REFERRAL TO PROFESSIONAL REGULATORY BODIES 13.1 Any healthcare professional who is dismissed for misconduct or who resigns before the conclusion of a disciplinary investigation must be reported to the practitioner’s regulatory body. HR will provide support with this process. 14. REFERENCES 14.1 If a reference has been provided for the leaver, a copy should have been provided to the employee and a copy retained on the personal file. See separate reference guidance which forms part of the Trust’s Recruitment and Selection Policy. 15. HAND OVER MEETING 15.1 Before the employee’s last day, the manager should ensure that a handover meeting takes place. This is to ensure that any un­started or unfinished work is appropriately transferred to another employee. Except in cases of misconduct the leaver should also be allowed time to appropriately archive business e­mails and work documents so that documentation can be easily located, if necessary, after the post holder has left. 15.2 All relevant records must be organised and made available to the leaver’s successor and line manager. Any irrelevant material must be disposed in accordance with the appropriate Trust Retention and Disposal Policy for Corporate or Health Records. All personal e­mails must be deleted. 15.3 Where the leaver has acquired a great deal of expertise and or technical knowledge in the course of their employment it is important to capture this before the person leaves as the loss of this knowledge could create a risk to the organisation. In these circumstances the leaver should be provided with time and resources to produce handover records to include any informal or useful information built up over their time in post. For example the names of internal and external contacts who will be of value,
Leavers Policy Version 1 September 2011 10 any information about anomalies in systems or procedures, reference resources where information can be found such as internet site links. 16. RETENTION OF PERSONAL FILES 16.1 The law prescribes differential retention times for the different elements of information held on personal files. The maximum time is currently 6 years although Pay Services may need to keep some information for longer. Managers should therefore retain employee personal files in tact for 6 years following the leaving date. After 6 years information from personal files can be culled but a summary record should be retained to include name and address, date of birth, start and end dates, job role, reason for leaving and a copy of any references given 17. DEATH IN SERVICE 17.1 In the very unfortunate circumstances where a serving employee dies when still in service, the manager must notify HR and Pay Services straight away. The manager should also inform the Chief Executive’s office. 18. ROLES & RESPONSIBILITIES 18.1 Managers are responsible for ensuring that the checks described in this policy are completed for all staff leaving the employment of the Trust 18.2 Trust Directors are responsible for ensuring that the checks described in the policy provide sufficient assurances 18.3 The Director of Human Resources is responsible for ensuring the requirements of this policy meet best practice and legal requirements. 19. MONITORING & EVALUATING THE EFFECTIVENESS OF THIS POLICY
Leavers Policy Version 1 September 2011 11 19.1 The Assistant Director of Human Resources will monitor the effectiveness of this policy by undertaking spot checks of leaver files to ensure that leaver check lists have been appropriately completed. 20. EQUALITY AND DIVERSITY STATEMENT 20.1 All patients, employees and members of the public should be treated fairly and with respect, regardless of age, disability, gender, marital status, membership or non­membership of a trade union, race, religion, domestic circumstances, sexual orientation, ethnic or national origin, social & employment status, HIV status, or gender re­assignment. 20.2 All trust polices and trust wide procedures must comply with the relevant legislation (non exhaustive list) where applicable:
· Equality Act 2010
· Employment Relations Act (1999)
· Rehabilitation of Offenders Act (1974)
· Human Rights Act (1998)
· Trade Union and Labour Relations (Consolidation) Act 1999
· Part Time Workers ­ Prevention of Less Favourable Treatment Regulations (2000)
· Fixed Term Employees ­ Prevention of Less Favourable Treatment Regulations (2001) 21. EQUALITY IMPACT ASSESSMENT STATEMENT 21.1 NUH is committed to ensuring that none of its policies, procedures, services, projects or functions discriminate unlawfully. In order to ensure this commitment all policies, procedures, services, projects or functions will undergo an Equality Impact Assessment. 21.2 A copy of the Equality Impact Assessment for this policy can be found in Appendix 2. 21.3 Reviews of Equality Impact Assessments will be conducted in line with the review of the policy, procedure, service, project or function 22. ENVIRONMENTAL IMPACT ASSESSMENT STATEMENT
Leavers Policy Version 1 September 2011 12 22.1 The environmental impact of this policy has been considered and no further action is required at this time. 23. WE ARE HERE FOR YOU STANDARD MISSION STATEMENT: 23.1 This Trust is committed to providing the highest quality of care to our patients, so we can pledge to them that ‘we are here for you’. This Trust supports a patient centred culture of continuous improvement delivered by our staff. The Trust established the Values and Behaviours programme to enable Nottingham University Hospitals to continue to improve patient safety, outcomes and experiences. The set of twelve agreed values and behaviours explicitly describe to employees the required way of working and behaving, both to patients and each other, which would enable patients to have clear expectations as to their experience of our services. 24. ADVICE 24.1 Advice on the application of the Policy is available from any HR Manager or accredited representative.
Leavers Policy Version 1 September 2011 13 APPENDIX 1 Leaver Check list Name Job Title Department Check Complete? Comments/Further action T form completed/Pay service alerted separately if T form after cut off date Uniform Returned ID badge returned Smartcard returned (unless person is transferring to another NHS employer) VPN token returned Keys returned Switchboard notified ICT notified Invitation to complete exit questionnaire given Handover meeting completed Out of Office/e­mail forwarding switched on NUH mobile phone returned along with any accessories Portable computer equipment and any storage devices returned Lease Car returned Text books or reference materials belonging to the Trust Medical equipment Any other Trust property provided to the employee returned (please specify) If a dismissal for misconduct HR notified for inclusion on Alert Register If a dismissal for misconduct, Professional Regulatory Body informed
Leavers Policy Version 1 September 2011 14 APPENDIX 2 Equality Impact Assessment Report Outline 1. Name of Policy or Service Leavers Policy 2. Responsible Manager Christine Woolley 3. Name of person Completing EIA Christine Woolley 4. Date EIA Completed 19 th August 2011 5. Description and Aims of Policy/Service (including relevance to equalities) To provide assurances that there are no preventable risks associated with an individual’s departure. 6. Brief Summary of Research and Relevant Data There is no research or relevant data at the present time. 7. Methods and Outcome of Consultation Consultations have been carried out with the following: Policy Sub Group Directors’ Group Staff Side Finance Security ICT
Leavers Policy Version 1 September 2011 15 8. Results of Initial Screening or Full Equality Impact Assessment: Equality Group Age Gender Race Sexual Orientation Religion or belief Disability Dignity and Human Rights Working Patterns Social Deprivation 9. Assessment of Impact None None None None None None None None None Decisions and/or Recommendations (including supporting rationale) – complete as appropriate eg: This policy does not have an impact on the equality strands as the policy provides information for all staff levels, encourage employees with problems to seek help voluntarily and also to provide a clear framework for the management of these employees in a caring and supportive way, regardless of their equality status. From the information contained in the policy, it my decision that a full assessment is not required at the present time. 10. Equality Action Plan (if required) N/A 11. Monitoring and Review Arrangements (including date of next full review) It is recommended that this policy and EIA be reviewed after three years in order to assess its functionality and thereafter three yearly in line with the guidelines set out in this policy.
Leavers Policy Version 1 September 2011 16 Screening Grid Equality Area (Protected Characteristics) Is this policy or service RELEVANT to this equality area? YES / NO Assessment of Potential Impact: HIGH MEDIUM LOW NOT KNOWN positive (+) negative (­) Age YES LOW Disability YES LOW Gender Reassignment YES LOW Race YES LOW Religion or Belief YES LOW Sex YES LOW Leavers Policy Version 1 September 2011 Reasons for Assessment The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally.
17 Sexual Orientation YES LOW Marriage & Civil Partnership YES LOW Pregnancy & Maternity YES LOW Social Deprivation YES LOW Dignity and Human Rights YES LOW Working Patterns YES LOW Leavers Policy Version 1 September 2011 The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally. The Trust aims to treat all its employees equally.
18 Full Impact Assessment Grid Note: Only the equality areas marked as relevant in the screening need to be fully impact assessed Equality Area (Protected Characterist ics) from Screening Grid Age Key points of Does the policy / service or its research implementation: and Breach Prevent Promote consultation equalities discrimination equality / legislation? or inequality? good relations? Key issues for action [Will form basis of action plan] Disability Sex Race Religion Sexual Orientation Gender Reassignme nt Marriage / Civil Partnership Pregnancy / Maternity Social Deprivation Dignity and Human Rights Working Patterns
Leavers Policy Version 1 September 2011 19 Leavers Policy Version 1 September 2011 20
Action Plan Template Name of Policy or Service: Leavers Policy Equality Issue Action By Responsible Expected Monitoring Data groups or identified to be Whe Person Outcome Arrangements Required
communities taken n affected Leavers Policy Version 1 September 2011 21 APPENDIX 3 CERTIFICATION OF EMPLOYEE AWARENESS Document Title LEAVERS POLICY Version (number) 1 Version (date) September 2011 I hereby certify that I have:
· Identified (by reference to the document control sheet of the above policy/ procedure) the staff groups within my area of responsibility to whom this policy / procedure applies.
· Made arrangements to ensure that such members of staff have the opportunity to be aware of the existence of this document and have the means to access, read and understand it. Signature Print name Date Directorate/ Department The manager completing this certification should retain it for audit and/or other purposes for a period of six years (even if subsequent versions of the document are implemented). The suggested level of certification is;
· Clinical directorates ­ general manager
· Non clinical directorates ­ deputy director or equivalent. The manager may, at their discretion, also require that subordinate levels of their directorate / department utilize this form in a similar way, but this would always be an additional (not replacement) action.
Leavers Policy Version 1 September 2011 22