Human Resources. Retirement Policy
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1 ITEM 9.1 APPENDIX Human Resources Retirement Policy Policy Manager Head for Workforce Policy Group Retirement Policy Sub-Group Policy Established New Combined Policy Last Updated New Combined Policy Policy Review Period/Expiry May 2015 This policy does / does not apply to Medical/Dental Staff (delete as appropriate) UNCONTROLLED WHEN PRINTED
2 Policy Development, Review and Control Policy Version Control Version Number Purpose/Change Author Date 1.0 Version Control was introduced in 2012 and previous versions of this Policy, prior to this date, are available in the Electronic Document Store. Christopher Smith 11 October 2012 Page 2 of 22
3 CONTENTS SECTION 1 Page No. 1. Retirement 1.1 Introduction 1.2 Objectives 1.3 Notification of Retirement 1.4 Preparation for Retirement 1.5 Pensions Application 1.6 NHS Retirement Fellowship SECTION 2 2. Phased Retiral 2.1 What is Phased Retiral? 2.2 Definition 2.3 Principles 2.4 Working Hours Reduction SECTION 3 3. Retiral Awards 3.1 General Statement 3.2 Aggregated Service 3.3 General Practice 3.4 Awards Under Previous Schemes 3.5 Presentation of Awards /8 8 APPENDIX 1: Employee Retirement Form 9 APPENDIX 2: Retiral Award Form 10 NHS Tayside Policy Approval Checklist 11 NHS Tayside Equality and Diversity Impact Assessment 12 Page 3 of 22
4 SECTION 1: 1. Retirement 1.1 Introduction NHS Tayside recognises the importance of a retiral policy that is clear, concise and free from all forms of discrimination for employees and the need to ensure that appropriate support is available to staff at the time of their retiral from work. With effect from 1 October 2011 there will be no default retirement age in NHS Tayside. This is seen as an important element of NHS Tayside s commitment to equal opportunities and the following procedures will ensure fairness and equity in relation to all staff groups. At the same time, NHS Tayside wishes to ensure that when employees retire appropriate recognition is given to their contribution to the Board and to the NHS in general. This policy and related procedures do not in any way affect the rights of individual employees who are members of the National Health Service Superannuation Scheme in Scotland to the benefits and provisions of that Scheme. 1.2 Objectives (a) (b) (c) To ensure fairness and equity approaching retirement. To manage the retiral process in a way which allows the employee to retire with dignity and facilitates appropriate celebration of attaining retirement status. To ensure appropriate recognition of long service and reward loyalty when employees retire. 1.3 Notification of Retirement Should employees wish to retire they must contact the Workforce Services and notify them of their intention. They must also notify their line manager by letter of resignation at least 6 months prior to the intended retiral date. Workforce Services will notify the employee s line manager when they receive any notification of retirement from an employee. The line manager will then follow the process as outlined in this policy. The line manager will then arrange an individual interview with the member of staff 6 months before the actual date of retirement in order that a Retirement Plan may be agreed. The employee s notification must be made using the standard form in Appendix 1. The line manager will respond in writing to the employee s notification of intended retirement date within 14 days arranging to meet with them to discuss the notification. The line manager will then write to the employee within 7 days of the meeting confirming the arrangements agreed. Page 4 of 22
5 1.4 Preparation for Retirement Pre-retirement courses are available for all employees up to one year before their planned retirement date. For further advice and/or information on these courses employees should access Staffnet. Further details are available from the Learning & Development Department. 1.5 Pensions Application Employees are recommended to give a minimum of 6 months notice of their intention to apply for their occupational pension before the retirement date to ensure that the pension is paid timeously. For further guidance please refer to the SPPA booklet which can be obtained from SPPA directly. 1.6 NHS Retirement Fellowship NHS Tayside actively supports the NHS Retirement Fellowship. On notification of their intention to retire employees will be provided with information about the local branch and will be encouraged to take advantage of the benefits and facilities offered by this organisation. Page 5 of 22
6 SECTION 2: 2. Phased Retiral 2.1 What is Phased Retiral? Phased retiral is an acknowledgement by the employer that staff who are approaching retirement would benefit from a planned reduction of working time. At this time help, support and access to a wide range of information and advice is available to support the transition from work to retirement. Manager and employee should agree the details for the phasing when they are discussing the employee s retiral. 2.2 Definition This policy applies to all employees who are finally leaving employment with the NHS in circumstances which normally but not exclusively provide an entitlement to apply for occupational and/or state pension. NHS Tayside recognises that the change from work to retirement may be one of the most important stages encountered during a person s life and hopes that this policy will provide the best support and practical information to enable our employees to experience as smooth a transition from work to retirement. 2.3 Principles All employees for whom the policy applies will be given the opportunity to access the benefits detailed in this policy. A phased reduction in working time is an entitlement, although the details may vary in accordance with the paragraphs below. 2.4 Working Hours Reduction To allow an employee to adjust to pending retirement a gradual reduction in working hours will be introduced three months prior to the agreed retirement date. For an employee working 5 days per week an example arrangement could be:- Third month before retiral 4 days (4/5 of the working week) Second month before retiral 3 days (3/5 of the working week) Last month before retiral 2 days (2/5 of the working week) The details of the phasing must be by agreement between employee and manager. For employees working fewer than 5 days per week the total entitlement will be pro rata, with the details of the phasing to be agreed between employee and manager. During this time employees will receive full normal pay. The manager and the employee can agree any individual retirement plan which may also include a reduced working day, rather than the number of days worked per week. The Human Resources Department may be contacted for advice regarding any individual plan. Any reduced working hours must be agreed on a phased basis. Annual leave and nonworking time should not be banked in order to allow the member of staff to have a prolonged period of time when they are not working at all during their phased period. Page 6 of 22
7 SECTION 3: 3. Retiral Awards 3.1 General Policy Statement When an employee retires, they have often given a significant period of their life to their NHS employer. In recognition of the service they have given, awards will be allocated to NHS Tayside staff on the basis of their aggregated NHS service as follows: Fifteen years and over Twenty Five years and over Thirty Five years and over 100 of vouchers 200 of vouchers 250 of vouchers This eligibility criteria will be effective from 1 January 2008 and will not be applied retrospectively. 3.2 Aggregated Service Aggregated service refers to the total amount of NHS service within the UK even where there has been a break in service. Service shall be counted on a date to date basis and shall be added together to make complete years. Eligibility under paragraph 1 will only be for the total amount of complete years, i.e. 15 years and 40 days will meet the criteria but 14 years and 300 days will not. In situations where it is not possible to verify the aggregated service through internal records, e.g. personal file, then the onus will be on the employee to bring to the manager written evidence from the previous employer detailing the relevant service, e.g. contract of employment, letter from the employer. Where a service has been transferred under TUPE to the NHS then the period when the employee worked for the contracted service which was transferred would be recognised as part of the entitlement for an award. If an NHS employee had worked for a contractor but left before the service was transferred back to the NHS then the period when the employee worked for the contracted service which was transferred would be recognised as part of the entitlement for an award. If the contracted service is not transferred back to the NHS then no part of the service will be recognised. 3.3 General Practice If an employee migrates from General Practice to the Board, on or after 01 January 2008, their service with General Practice would count towards an award. Consideration of this service will be dependent upon the employee being able to provide evidence to the line manager. 3.4 Awards under Previous Schemes The revised policy will mean that some staff who did not have the required length of service based on continuous NHS service may become eligible under the new criteria. Page 7 of 22
8 For example, a member of staff with 13 years NHS Tayside service who had 2 years previous service with another NHS employer would become eligible for a 15 year award. 3.5 Presentation of Awards The following general principles will apply:- It will be the responsibility of the employee s line manager and the employee to identify who is eligible for an award by submitting the form Retiral Award 1 to Workforce Services. Vouchers will be issued by the HR Directorate to the relevant line manager so that they can be presented to the member of staff. Staff whose aggregated service reaches 35 years or more will have their vouchers presented by a member of the Board. Line managers will notify the Office Manager for Corporate Services of impending awards, preferably up to four months prior to the date of the award. The employer will provide tea, coffee and biscuits as hospitality. Page 8 of 22
9 APPENDIX 1 EMPLOYEE RETIREMENT FORM Name: Address: Payroll Number: Job Title: Base: Line Manager: Proposed Retirement Date: It is my intention to retire on the above date. Prior to retirement I would wish to reduce my working hours. (Yes/No) (If yes) In accordance with NHS Tayside s Flexible Working Policy and details provided at 2.4 I wish to reduce my working hours as follows: (detailing how many hours/days per week you wish to work) Any request for a change/reduction in working hours or pattern will be considered in accordance with the requirements of service provision. Signed: Print Name: Date: Please complete the above form and then return to Page 9 of 22
10 Appendix 2 RETIRAL AWARD Name of Member of Staff: Pay No: Job Title: Workbase: Length of service being recognised (please tick) 15 years 25 years 35 years Detail aggregated service to be recognised: Employer Date to Date Years/Days Date of Retiral: Signature of member of staff verifying the service Date: Signature: PLEASE PRINT Countersignature of manager to verify service Signature of manager: Date: Name of Manager (BLOCK CAPITALS): Job Title: Workbase: Contact telephone number: Contact address: In counter-signing this form the manager must have seen and verified written evidence in support of the application and such evidence along with a copy of the signed form should be retained in the personal file. The original version of this form should be returned to either the HR Department, Ninewells Hospital. Page 10 of 22
11 NHS TAYSIDE - POLICY/STRATEGY APPROVAL CHECKLIST This checklist must be completed and forwarded with policy to the appropriate forum/committee for approval. POLICY/STRATEGY AREA: (See Intranet Framework) Human Resources POLICY/STRATEGY TITLE: Retirement Policy LEAD OFFICER Head for Workforce Why has this policy/strategy been developed? Has the policy/strategy been developed in accordance with or related to legislation? Please give details of applicable legislation. Has a risk control plan been developed? Who is the owner of the risk? Who has been involved/consulted in the development of the policy/strategy? Has the policy/strategy been assessed for Equality and Diversity in relation to:- Race/Ethnicity Gender Age Religion/Faith Disability Sexual Orientation Please indicate Yes/No for the following: Yes in all cases Current Policy due for revision Policy compliant with Equalities Act. Risk Control Plan not required Policy developed in partnership with staff side and consulted upon across NHS Tayside Has the policy/strategy been assessed For Equality and Diversity not to disadvantage the following groups:- Please indicate Yes/No for the following: Minority Ethnic Communities Yes in all cases (includes Gypsy/Travellers, Refugees & Asylum Seekers) Women and Men Religious & Faith Groups Disabled People Children and Young People Lesbian, Gay, Bisexual & Transgender Community Does the policy/strategy contain evidence of the Equality & Diversity Impact Assessment Process? Yes Yes Is there an implementation plan? Which officers are responsible for implementation? When will the policy/strategy take effect? Who must comply with the policy/strategy? How will they be informed of their responsibilities? Is any training required? If yes, has any been arranged? Are there any cost implications? If yes, please detail costs and note source of funding Who is responsible for auditing the implementation of the policy/strategy? What is the audit interval? Who will receive the audit reports? When will the policy/strategy be reviewed and by whom? (please give designation) Head for Workforce Immediately on approval All NHS Tayside employees Policy will be placed on Staffnet No Not applicable No additional costs arise from this revised Policy Current retrial awards are paid from endowments Workforce and Governance Group on behalf of the Area Partnership Forum and the Staff Governance Committee. Every two years WAG In two years time the Policy will be reviewed by the WAG. Name: Christopher Smith Date: 12 October 2012 Page 11 of 22
12 EQUALITY AND DIVERSITY IMPACT ASSESSMENT Name of Service Improvement / Redesign, Policy or Strategy Retirement Policy Location Area of Service Improvement / Redesign, Policy or Strategy Human Resources What are the main aims of you Service Improvement / Redesign, Policy or Strategy? To ensure a consistent framework for dealing with retiral issues. What are the intended outcomes from the proposed Service Improvement / Redesign, Policy or Strategy? To ensure staff receive recognition for their valued contribution to the NHS through the awards and phased retrial schemes and are able to retire without breaching with the Equalities Act. Review Team Who is assessing or considering the assessment? Jenny Alexander, Unison Margaret Harper, RCN Christopher Smith, Head for Workforce Names and Titles of Team Members As above When completed please attach to the policy prior to endorsement/approval at the relevant committee. MUST BE COMPLETED IN ALL CASES Page 12 of 22
13 Item No Considerations Detail Impact and Identify Groups Affected 1. Which groups of the population will be affected by the policy/strategy/service redesign 1.1 Will it impact on the whole population? No Document the Evidence Which Supports This Research you need to carry out in order to understand the impact more clearly. If not applicable please give reason why. Policy will only effect NHS Tayside employees. What Further Actions Require to be Taken? 1.2 If not which groups of the population do you think will be affected by this function/policy? 2 Minority ethnic population (including refugees, asylum seekers & gypsies/travellers) 3 Women and men 4 People in religious/faith groups 5 Disabled people 6 Older people, children and young people 7 Lesbian, gay, bisexual and transgender people 8 People with mental health problems 9 Homeless people 10 People involved in criminal justice system 11 staff N Y N N N N N N Policy affects all staff Page 13 of 22
14 Item No Considerations Detail Impact and Identify Groups Affected 2. What impact will the policy/strategy/service redesign have on lifestyles? Document the Evidence/Research Actions Taken/To be Taken For example will the changes affect: Diet & nutrition Exercise & physical activity Substance use: tobacco, alcohol or drugs Risk taking behaviours Education & learning or skills Other Page 14 of 22
15 Item No Considerations Detail Impact and Identify Groups Affected 3. Does your function/policy consider the impact on the communities? Things that might be affected include: Social status Employment (paid/unpaid) Social/family support Stress Income Document the Evidence/Research Actions Taken/To be Taken Page 15 of 22
16 Item No Considerations Detail Impact and Identify Groups Affected 4. Will the proposal have any impact on: Policy aims to ensure all staff 3 Discrimination who wish to retire are treated 4 Equality of opportunity consistently 5 Relations between groups 6 Other Document the Evidence/Research Policy applies to all staff Actions Taken/To be Taken Policy approved in partnership with staff side 5. Will the function/policy have an impact on the physical environment? For example will there be impacts on: Living conditions Working conditions Pollution or climate change Accidental injuries/public safety Transmission of infectious diseases Other Page 16 of 22
17 Item No Considerations Detail Impact and Identify Groups Affected 6. Will the function/policy affect access to and experience of services? For example 5 Healthcare Nil 6 Social services Nil 7 Education Nil 8 Transport Nil 9 Housing Nil Document the Evidence/Research Actions Taken/To be Taken 7. Consultation 1) What existing consultation data do we have? 3 Existing consultation sources 4 Original consultations 5 Key learning Policy requires to be consulted with staff Policy to be consulted upon in line with Policy on Policies Policy developed in partnership and there will be consultation across NHS Tayside, the WAG and APR before submission to SGC 2) What consultation, if any, do you need to undertake? Page 17 of 22
18 Item No Considerations Detail Impact and Identify Groups Affected 8. In relation to the groups identified What are the potential Nil impacts on health? Will the function/policy impact on access to health care? If yes - in what way? Will the function/policy impact on the experience of health care? If yes in what way? Document the Evidence/Research Actions Taken/To be Taken Page 18 of 22
19 Item No Considerations Detail Impact and Identify Groups Affected 9. Have any potential negative impacts been identified? Nil If so, what action has been proposed to counteract the negative impacts? (if yes state how) For example: Is there any unlawful discrimination? Could any community get an adverse outcome? Could any group be excluded from the benefits of the function/policy? (consider groups outlined in item 3) Does it reinforce negative stereotypes? (For example, are any of the groups identified at item 3 being disadvantaged due to perception rather than factual information?) Document the Evidence/Research Actions Taken/To be Taken Page 19 of 22
20 Item No Considerations Detail Impact and Identify Groups Affected 10. Data & Research Is there need to gather Nil further evidence/data? Are there any apparent gaps in knowledge/skills? Document the Evidence/Research Actions Taken/To be Taken 11. Monitoring How will the outcomes be monitored? Who will monitor? What criteria will you use to measure progress towards the outcomes? Outcomes will be monitored locally by managers Policy will be reviewed by the WAG in order to ensure continued fitness for purpose Policy to be formally reviewed in Recommendations State your conclusion of your Impact Assessment No further EQIA required. Page 20 of 22
21 Item No Considerations Detail Impact and Identify Groups Affected 13. Is a more detailed assessment needed? If so, for what reason? Nil Document the Evidence/Research Actions Taken/To be Taken 14. Completed function/policy Who will sign this off? When? Staff Governance Committee Policy to be submitted to SGC 15. Publication Policy will be posted on Staffnet Page 21 of 22
22 Conclusion Sheet for Equality Impact Assessment Positive Impacts (Note the groups affected) Negative Impacts (Note the groups affected) Policy aims to ensure a consistent approach to retiral Additional Information and Evidence Required From the outcome of the Equality Impact Assessment what are your recommendations? (refer to questions 10-13) No EQIA required. The Policy has been developed in partnership and will have a positive impact by ensuring compliance with the Equalities Act 2010 and ensuring a consistency of approach across NHS Tayside. This conclusion sheet should be attached to the relevant committee report. MUST BE COMPLETED IN ALL CASES Manager s Signature Christopher Smith Date 12 October 2012 Page 22 of 22
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