The Newcastle upon Tyne Hospitals NHS Foundation Trust. Employment Policies and Procedures. Retirement Policy, Procedure & Guidance

Transcription

1 The Newcastle upon Tyne Hospitals NHS Foundation Trust Employment Policies and Procedures Retirement Policy, Procedure & Guidance Version No.: 13.7 Effective Date: 20 February 2017 Expiry Date: 05 February 2018 Date Ratified: 17 February 2017 Ratified by: Employment Policies & Procedures Consultative Group 1 Introduction 1.1 This policy sets out the Trust s position on retirement. The policy forms part of the Trust s over-arching strategy to promote equal opportunities and avoid unlawful discrimination in its employment practices. 1.2 The Trust will ensure that decisions made as part of the retirement policy are: 2 Scope made objectively regardless of sex, race, colour, religion or belief, ethnic origin, age, disability, gender reassignment, marriage and civil partnership, sexual orientation or pregnancy and maternity, political affiliation, staff organisation/trade union membership free from unlawful discrimination under the Equality Act 2010 made in accordance the Trust s Equal Opportunities and Diversity policy 2.1 This policy applies to all employees of the Trust. 2.2 The arrangements covered by this policy are: retirement flexible retirement, including: wind down ; step down ; draw down and retire and return to the NHS. 2.3 In addition, the Trust s Flexible Working Arrangements policy contains details of the following flexible working arrangements which staff may wish to consider as part of a request to work beyond retirement age: reduced hours, including part-time hours, job share and term-time working flexible working career breaks Page 1 of 22

2 3 Aims This policy is intended to demonstrate the Trust s commitment to tackling age discrimination in retirement and promoting age diversity in its workforce. It is also intended as a guide to help managers and employees understand the retirement process and what flexible retirement arrangements may be considered so that they can: identify options consider the implications for the department and service plan ahead support preparation for the transition of employees from work to retirement 4 Duties Roles and responsibilities 4.1 The Executive Team is accountable to the Trust Board for ensuring Trust-wide compliance with policy. 4.2 Directorate managers and heads of service are responsible to the Executive Team for ensuring policy implementation. 4.3 Managers are responsible for ensuring policy implementation and compliance in their area(s). Managers should formally write to the retiring member of staff to acknowledge and thank the staff member for their service and contribution. 4.4 Staff are responsible for complying with policy. In addition, employees wishing to claim their pension must ensure they complete form AW8, available from the NHS Pension Service. 5 General Principles 5.1 The Trust encourages employees to prepare for their retirement both financially and personally and wishes to provide support to staff considering retirement. Appendix 3 gives further information and examples of bodies internal and external to the NHS who provide support regarding retirement issues. 5.2 Being flexible about retirement can mean reducing the workload of individuals without losing valuable knowledge, skills and expertise. 5.3 Early communication between an employee and their manager is an important prerequisite for effective retirement planning. The Trust annual appraisal system provides the opportunity to: discuss strengths, weaknesses, opportunities (SWOT analysis) explore formally the future intentions of staff regarding mid-term career plans including retirement discuss options for flexible retirement and the implications for the department/service Page 2 of 22

3 arrange appropriate help and support e.g. help with financial planning, advice about pension plan accordingly for future recruitment needs ensure appropriate notice is received to process pension (if payable) on time 5.4 For employees who are retiring, the manager must obtain confirmation in writing from the employee and notify the Human Resources Department immediately by completing a Leaver s Checklist Form (also available on the intranet via the Human Resources pages). Completed forms should be ed to: Human Resources Leavers from the Trust s address book in good time before the leaving date. 5.5 The Human Resources Department will arrange completion of all the necessary internal paperwork for terminating the employee s employment. The individual, in conjunction with the Payroll Department, must arrange completion of the necessary forms for release of pension (where payable), for example, form AW All retiring employees will be sent a confidential exit questionnaire to complete and return to the Human Resources Department. The questionnaire has been developed to seek employees views regarding their experience during employment. The information given will be dealt with in strict confidence and will be used only in an anonymised format to analyse information and trends on a Trust-wide basis. 5.7 The HR Department will coordinate the process for all requests to retire and return. It is a pre-requirement of all requests that the employee has completed a satisfactory appraisal within the last 12 months, and has not been the subject of formal action under any of the following: Capability Policy/Procedure; Employee Wellbeing Policy; or Disciplinary Policy within the last 24 months. 5.8 Where it is confirmed that an employee will retire and return (see section 7), the HR Department will notify the manager. The Human Resources Administrator will confirm any contractual change(s) in writing to the employee (copy to the manager) and will notify Payroll via the Electronic Staff Record (ESR) system. A return to work will be subject to NHS Employment Check Standards previous checks undertaken by the Trust may be accepted provided they have been undertaken in accordance with the NHS Standards and are evidenced on file (see Appendix 5). 5.9 All returners are subject to employment under the Trust s terms and conditions, policies and procedures and rules and regulations, including annual appraisal; capability; professional registration (where required); Revalidation (Medical and Dental Staffs); and prevention of illegal working All employees who retire and return must continue to participate in the Trusts annual appraisal system and (where required) maintain their professional registration. For medical staff this also includes continued participation in revalidation. Page 3 of 22

4 5.11 Employees who live in staff accommodation are reminded that they will need to make alternative housing arrangements to take effect from their retirement from the Trust. 6 Retirement 6.1 This section is intended to give brief details about the NHS pension scheme. The scheme is subject to change, therefore, the information provided here may alter - managers and staff should refer to a Pensions Officer at the payroll/pensions department and/or the NHS pensions website for more information. 6.2 Protection arrangements From 1 April 2015, members will be transferred to the 2015 section of the NHS Pension Scheme, with the exception of those with protection (as outlined below), who will remain in the 1995/2008 sections of the NHS Pension Scheme: Members of the 1995 and 2008 sections who, as at 1 April 2012 were either already over their Normal Pension Age (NPA) or 10 years or less from their NPA and in active membership on both 1 April 2012 and 31 March 2015 are entitled to full protection Members of both the 1995 and 2008 sections who, as at 1 April 2012, were more than 10 years, but less than 13 years and 5 months from their NPA and in active membership on both 1 April 2012 and 31 March 2015 are eligible for Tapered (limited) protection Those not in active membership of the 1995/2008 sections on both 1 April 2012 and 31 March 2015 may still qualify for Protection provided they re-join the scheme after a break of less than 5 years section of the NHS Pension Scheme The NPA under the 2015 scheme is equal to an employee s state pension age. This can be calculated at Contributors to the Scheme may choose to take their full pension benefits on or after their NPA If the employee does not claim benefits at NPA, the employee may continue to build benefits, up to the age of 75, by remaining in the pension scheme. Benefits must be claimed at age Members of the scheme may choose to take voluntary early retirement on or after the minimum retirement age (currently age 55). Early retirement will see a reduction in benefits as a consequence of benefits being paid earlier and for longer than expected. The rate of reduction Page 4 of 22

5 percentages are currently being considered A new provision of the Scheme (Early Retirement Reduction Buy Out ERRBA) allows for extra contributions to be made, in such circumstances benefits can be taken at an unreduced level, before the NPA (this is limited to within three years of NPA and benefits without reduction cannot be taken where this would result in a retirement age of less than 65) section of the NHS Pension Scheme The 1995 section of the NHS Pension Scheme has a NPA of 60 and, therefore, employees who pay pension contributions in this part of the scheme can receive their entitlement to retirement benefits at any time after their 60 th birthday Employees who joined the 1995 section of the NHS pension scheme before 6 April 2006 may choose to take voluntary early retirement from age 50 and receive reduced benefits. The pension and retirement lump sum are reduced because they are being paid earlier than expected The level of reduction varies from 3% of the lump sum and 5% of the pension at age 59 up to 27% of the lump sum and 37% of the pension at age 50. Dependents will receive appropriate benefits in full For employees who joined the 1995 section of the Scheme for the first time on or after 6 April 2006, or previously left the Scheme before 31 March 2000 with deferred benefits and rejoined again on or after 6 April 2006, the minimum age they can choose to retire increased to 55 with effect from 6 April section of the NHS Pension Scheme Contributors to the 2008 section of the NHS pension Scheme may choose to take their full pension benefits at age Employees in the 2008 section of the NHS pension scheme (joiners after 1 April 2008) may only choose to retire from the age of 55. The level of reduction of pension varies from 6% at age 64 and 40% at age 55. If the employee takes a lump sum, this is calculated from their pension after reduction. Dependents will receive appropriate benefits in full. 6.6 Special Class Status Special Class status is applicable to members of the 1995 section of the NHS pension scheme who work as a nurse, midwife, physiotherapist or health visitor. Qualification is dependent upon having been awarded special class status on or before 6 March 1995 and at no time following have had a break in pensionable employment of 5 years of more. In addition members must have Page 5 of 22

6 special class status at retirement and have had this status for five years leading up to retirement. Female members of the 1995 section of the NHS Pension Scheme with special class status are able to retire from age 55 onwards without having pension benefits reduced. Male members of the 1995 Section with special class status may retire from age 55 years onwards without having a proportion of benefits reduced. The proportion of membership paid without any reduction at age 55 is any membership earned on or after 17 May 1990 any membership before that date will be reduced if paid before age Mental Health Officer Status Mental Health Officers (MHOs) who were members of the 1995 section of the Scheme on or before 6 March 1995 with at least 20 years MHO membership may retire with benefits from age 55 provided they remain in a MHO job and may count each year of MHO membership over 20 years as two years for benefit purposes. 7 Flexible Retirement 7.1 The NHS Pension Scheme offers members a number of options when thinking about or approaching retirement: a) Wind Down Defer retirement by reducing the number of hours worked and continue to build pension entitlement. b) Step Down Step down to a different role, perhaps with less responsibility, whilst remaining in NHS employment. Members of the 1995 section of the NHS Pension Scheme can move into a less demanding role and protect pension income, or start a new pension. This requires pay to be reduced by 10% or more for 12 months or more, and requires a member to be over the minimum pension age. Applications to have the higher rate of pay protected for pension purposes must be made within 15 months of the date there is a reduction in pay c) Draw Down Applies only to members of the 2008 and 2015 sections of the NHS Pension Scheme. Members can take part of their pension benefits and continue in NHS employment. Members can take between 20% and 80% of their pension benefits and continue to build up future membership in the Scheme. Members can draw down on up to two occasions before retiring completely. Benefits are reduced if taken before the Page 6 of 22

7 member s NPA. In addition, if pensionable pay is reduced by at least 10% and the minimum retirement age of 55 has been reached, an employee may partially retire and take some pension benefits. Pensionable pay must remain reduced for at least a year. d) Retire and Return to the NHS Retire with pension benefits and return to NHS employment. (Option includes the Staff Bank to work on an as-and-when basis). Members of the 1995 section of the pension scheme will not be eligible to continue contributing to the NHS Pension Scheme. Members of the 2008 and 2015 sections of the pension scheme will be able to continue contributing to the NHS Pension Scheme. 7.2 By helping employees flex their retirement, managers can retain their knowledge, skills and experience for longer. 7.3 Managers should ensure staff are aware of the pension options available and the potential opportunities for remaining in Trust employment as an alternative to retirement. Managers also have a duty to consider the impact a retirement and return may have on the following: - operation of the department - needs of the service - the economic circumstances facing the Trust and/or department Advice should be obtained from the Human Resources Department when considering a retire and return. 7.4 The following will need to be included in consideration of a retirement and return : a) the NHS Pension Scheme requires members who have requested payment of their pension to have a 24-hour break from NHS employment. They then cannot work more than 16 hours a week in the first calendar month (starting the day after the 24-hour break) otherwise the pension will be suspended. b) immediately following retirement the employee must have a break of at least 14 continuous calendar days. This requirement is separate to the 24-hour break required by the Pensions agency, though the employee can choose to include the 24-hour break within the 14 day break if they wish. c) employees must take all accrued annual leave before their retirement date otherwise any days not taken will extend the retirement date and delay payment of the pension accordingly. Page 7 of 22

8 7.5 The Trust reserves the right at its absolute discretion to decline a request for flexible retirement. Each request will be considered individually on its own merits. There may be circumstances where a request for flexible retirement cannot be granted, for example, where medical Consultant wishes to retire and return without performing on-call duties, or where an employee wishes to return on hours of work that do not suit service delivery. 7.6 To request flexible retirement, an employee must complete the pro-forma available here and submit it to their line manager. The individual must also, in conjunction with Payroll Services, complete and submit form AW8 to apply for release of their pension benefits. 7.7 An employee must provide as much relevant information as possible in their application so that management can make an informed decision without delay i.e. state the date on which the change is requested from (bearing in mind the notice required both contractually and for the NHS Pensions Agency to process the pension if required) and identify if a previous request to flexibly retire has been made. If an employee unreasonably refuses to provide the information required the request may be deemed to have been withdrawn. In such circumstances, a further request may not be made for a further 12 months. 7.8 To avoid any delay in deciding a request and subsequently organising any pension payments (if payable), an employee must give at least six months notice to the Trust and Pensions Agency. 7.9 Following receipt of the request the manager will send an acknowledgment in writing (see Appendix 2) and hold a meeting with the employee. This meeting must be held within a reasonable timescale (the whole process including any appeal should be concluded within 3 months from first receipt, except where an extension has been agreed by both parties and relevant documentation is completed). The purpose of the meeting is to discuss the request, review the working pattern proposed and how it may be accommodated. If there are likely to be problems in such a working pattern these should be explored and/or possible alternatives identified where appropriate. No speculative approval should be given to the individual until the final decision has been made by an Executive Director and, therefore, will not be communicated at this initial meeting A request to retire flexibly which is related to a nursing and midwifery post must be discussed by the Directorate Manager/Matron with the Director of Nursing and Patient Services, prior to any meeting between the employee and their line manager. A request to retire flexibly which is related to a medical post must be discussed with the Medical Director prior to any meeting An employee has the right to be accompanied by a trade union representative or a work colleague if they wish. If an employee fails to attend two consecutive scheduled meetings without notification or without reasonable explanation, the application will be treated as withdrawn. In such Page 8 of 22

9 circumstances, the employee will be notified in writing and a further request may not be made for a further 12 months Following the meeting with the line manager, the Directorate Manager/Head of Department/Clinical Director will: a) consider the request b) complete the recommendation section on the application c) send the completed form to the Senior HR Manager for a decision 7.13 All applications that are supported will be decided by an Executive Director (in the case of Medical and Dental staff, this will be the Medical Director) the Senior HR Manager will inform the line manager of the outcome. The Senior HR Manager will decide all applications which are not supported and inform the line manager. Only after either of these has occurred should the employee be informed of the outcome of their request no speculative outcome should be expressed by the manager and/or Directorate Manager/Head of Department/ Clinical Director beforehand The Human Resources Department will process all the contractual paperwork and ESR for terminating the employee s employment and issuing any agreed terms for returning to work. Return to work will be subject to the provision and completion of all documentation required to meet the NHS Employment Check Standards. Previous checks undertaken by the Trust may be accepted provided they have been undertaken in accordance with NHS Standards and are evidenced on file (see Appendix 5). The individual must request payment of NHS Pension (where applicable) via completion and submission of form AW Where a request for flexible retirement is not agreed, management will confirm their decision in writing on the application form including the employee s right of appeal If the employee believes their request has not been properly considered, they has the right of appeal. This must be submitted in writing within 14 calendar days of receiving the decision to the Head of Human Resource Services. The letter of appeal must set out the grounds of appeal and include any other relevant information An appeal hearing will be arranged within a reasonable timescale (the whole process including any appeal should be concluded within 3 months from receipt of the original request except where an extension has been agreed by both parties and documentation at Appendix 2 is completed). The appeal will be heard by an Executive Director who has not been involved in deciding the application. They will be accompanied by a representative from the Human Resources Department. The employee has the right to be accompanied by a trade union representative or a work colleague if they wish. If an employee fails to attend two consecutive hearings without notification, or without reasonable explanation the application will be treated as withdrawn. In such circumstances the employee will be notified of the Trust s decision in writing. Page 9 of 22

10 7.19 The employee will be informed of the decision as soon as practicable taking into account the requirement to complete the whole process within 3 months from first receipt If the appeal is upheld, the details of the flexible retirement arrangements will be notified in writing. The letter will state a description of the new working pattern and when it commences If the appeal is not upheld, the employee will be notified in writing. The letter will explain the grounds for the decision For a timeline and overview of the flexible retirement process, see Appendix Following initial approval to retire and return any further requests to extend the duration of the contract will be processed through RCG for non-medical staff. Approval will be required from the Medical Director for Medical Staff 8 Early Retirement on the Grounds of Ill Health 8.1 Employees may be eligible to apply for ill health retirement if they have two years membership of the NHS pension scheme and are too ill to work in their current post. The minimum pension age does not apply in the case of ill health retirement (for more information regarding eligibility, please contact a pensions officer at payroll). 8.2 If an employee is terminally ill and not expected to live longer than a year and has been accepted by the Pensions Agency for early retirement, then they may apply to exchange their ill health benefits for a one off lump sum payment. 8.3 Benefits received can be withdrawn if an employee takes up further employment within the NHS after retiring early due to ill health. 8.4 There are two tiers of ill health retirement: Tier 1 If an employee becomes permanently incapable of performing their current job role due to ill health they may receive their accrued benefits (1995 and 2008 sections)/pension (2015 section), but without reduction to take account of early payment. There is no enhancement to benefits. Please note where an employee requests flexible retirement in such circumstances and the request is subsequently agreed, the Trust will implement any return to work as outlined in paragraph 5.7 above. Page 10 of 22

11 Tier 2 If an employee s illness makes them permanently incapable of doing any regular work due to permanent ill health: For members of the 1995 section of the NHS pension scheme the pension includes Tier 1 benefits plus an enhancement of two thirds of prospective membership to NPA. Minimum pension enhancement of four years or to age 60 (whichever is less) until Total membership may not exceed prospective membership at age 60. For members of the 2008 section of the NHS pension scheme, the pension includes Tier 1 benefits plus an enhancement of two thirds of prospective membership to age 65. Total membership may not exceed prospective membership at age 65. For members of the 2015 section of the NHS pension scheme, the pension includes Tier 1 benefits plus an enhancement of one half of prospective membership to NPA. Total membership may not exceed prospective membership at NPA 8.5 It is important to note that the decision regarding an application for ill health retirement rests solely with the NHS Pensions Agency and not the Trust. 8.6 If an individual returns to NHS employment before the normal pension age and their earnings are above a certain level, some of the ill-health pension may be reduced (abated). Abatement applies where earnings from reemployment plus the unearned portion of the ill health pension exceeds earnings before retirement. 8.7 If a Tier 2 ill health pension is granted, and the individual is subsequently able to undertake work at a later date, there are restrictions based on the kind of work an individual can do and the amount of money they can earn. These restrictions differ primarily on whether the individual returns to NHS or non NHS employment. Individuals must make themselves aware of the rules governing the continued receipt of a tier 2 ill health pension and understand that they will be subject to an annual review by the NHS Pensions Agency. Further information can be obtained by the NHS Pensions Agency. 9 Procedure Notice of Retirement from Employee (Voluntary Resignation) 9.1 If an employee wishes to retire from employment with the Trust, they must give notice in writing to their manager of the date they intend to retire on. 9.2 The minimum amount of notice required is the number of weeks required in accordance with the terms of the individual s contract of employment. Page 11 of 22

12 9.3 Where an employee intends to retire and take their NHS pension on their retirement date, the minimum amount of notice required is six months and, ideally, should be longer whenever it is reasonably practicable to do so. This is to enable the pension to be paid on time. The employee must make contact with the Payroll Department, at least six months before their intended retirement date, to ensure completion of necessary documentation for release of pension (for example, form AW8). 9.5 Managers should ensure that the Human Resources Department is notified in writing as soon as an employee notifies their intention to retire. A Leaver s Checklist Form should be completed (available on the intranet via the Human Resources website). Completed forms should be ed to: Human Resources Leavers from the Trust s address book. The Human Resources Department will then contact the employee to confirm arrangements for leaving the Trust. 10 Equality and Diversity The Trust is committed to ensuring that, as far as is reasonably practicable, the way we provide services to the public and the way we treat our staff reflects their individual needs and does not discriminate against individuals or groups on any grounds. This policy has been properly assessed. 11 Monitoring Compliance with the Policy Standard / Process / Issue Identify the number of employees retiring from the Trust in the last 12 month rolling period whose request to flexibly retire was denied Monitoring and Audit Method By Committee Frequency Reporting Director of Heads of Annually of Human Human informatio Resources Resources n from Meeting ESR 12 Consultation and review of this policy This policy has been reviewed in consultation with the Employment Policies and Procedures Consultative Group 13 Implementation of the policy (including raising awareness) A summary of the key changes will be notified to managers following implementation. Further advice and guidance will be available from the Human Resources Department. 14 References 1) Equality Act ) NHS Pensions Page 12 of 22

13 15 Additional documents Equal Opportunities & Diversity Policy Flexible Working Arrangements Policy Page 13 of 22

14 Appendix 1 Trust confirmation of receipt Dear I acknowledge receipt of your request for flexible retirement which was received on:.(date). I will arrange to discuss your request with you as soon as possible. You may be accompanied at the meeting by a work colleague or trade union representative if you wish. Yours sincerely Manager Page 14 of 22

15 Appendix 2 The Newcastle Upon Tyne Hospitals NHS Foundation Trust Flexible Retirement Extension of Time Limit Form Dear (insert Employee name) Due to comment, I wish to extend the amount of time to consider and conclude your flexible retirement request until comment I would be grateful if you could complete and sign the declaration below and return it to me as soon as possible. Declaration I do / *do not agree to the extension. (* Please state reason below) Sign: Date : Page 15 of 22

16 Appendix 3 Further Information Further information about retirement and related issues can be found as follows: NHS Pensions contact your pensions officer at the Payroll/Pension Department, North of Tyne Payroll Services, Northumbria House, Cobalt Business Park, Silverlink, Newcastle upon Tyne, NE27 0QJ. Tel; NHS Pensions Agency, Hesketh House, 200/220 Broadway, Fleetwood, Lancashire FY7 8LG Tel , member helpline , Website: State Pensions - Are You Over 50? A practical guide to advice, support and services available through central and local government covering: - options at work - learning, volunteering and leisure activities - financial planning - health and fitness - support available if you are a carer - help and advice from government and voluntary organisations Website: The Pensions Advisory Service (TPAS). An organisation that helps the public with pensions problems. Provides information and guidance on State Pension, company, personal, stakeholder and occupational pensions. Address: 11 Belgrave Road, London SW1V 1RB Tel Website: NHS Retirement Fellowship The NHS Retirement Fellowship is a registered charity, for the benefit of all employees of the NHS, together with their partners. The branch provides a venue for healthcare staff to continue friendships formed during employment and offers the opportunity for individuals to meet new people from a shared NHS background. For further information see Page 16 of 22

17 Appendix 4 Procedure Note for Handling Employees that Retire and Return to Work 1. Introduction This procedure note sets out the employment checks that are required when an employee retires and returns to work. The checks are in line with NHS Employment Standards. 2. Scope This procedure note applies to all employees who retire and return to work. 3. Process 3.1 Recruitment An employee who retires and is subsequently re-employed will be subject to all pre-employment checks in accordance with the NHS Employment Check Standards. Previous checks undertaken by the Trust may be accepted provided they have been undertaken in accordance with the NHS Standards and are evidenced on file. 3.2 Flexible Retirement - Return to Work If an employee retires and agreement is made for them to return to work in the same or another post, they will be subject to the following employment checks: Occupational Health (a new check is required when the period of the break is three months or more or where the individual is returning to work in a different role) DBS and Children s and/or Adults Barred List check (where applicable) is only required where the individual has had a break in service of 3 months or longer, as long as their previous DBS check remains fit for purpose e.g. is at the correct level, with the appropriate Barred List checks (please refer to the Trust s Pre-employment checks and Use of the Disclosure and Barring Service policy for further information) Right to Work Verification of Identity Qualifications required for the post Professional registration (where applicable) Page 17 of 22

18 4. Procedure All employment checks will be administered by the Human Resources Department as follows: 4.1 Notice of Flexible Retirement When notice of an individual s flexible retirement is received in HR by the HR Officer or Assistant HR Officer, they will give a copy of the flexible retirement form or details of the retirement arrangements to the appropriate HR Administrator. 4.2 Notification of Pre Employment checks to retiree The HR Administrator will produce a standard letter explaining to the retiree any requirements for pre employment checks prior to returning to work. The letter will include any required documentation and will ask the individual to complete the documentation and where applicable make an appointment to attend HR to present documentation relating to all pre employment checks in accordance with the NHS Employment Check Standards where applicable. The letter will be copied to the Manager for information. 4.3 Return to Work The individual will not be allowed to commence new working arrangements until all pre-employment checks are completed. Page 18 of 22

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20 Flexible Retirement Process Appendix 5 Time Employee Manager HR/Executive 6 months prior to potential retirement date Meet and discuss potential flexible retirement plans with manager. Contact the pension s agency for a pensions quote. Request form AW8 from Pensions Agency Acknowledge employee s wish to flexibly retire using standard letter at Appendix 2 of the policy. If a Nursing and Midwifery post, discuss request with the Director of Nursing and Patient Services, prior to meeting the employee. Meet with the employee within a reasonable timescale (the whole process including any appeal should be concluded within 3 months from first receipt) (can extend timeframe using standard letter at Appendix 3 of policy if necessary). Meet and discuss request with employee. Discussion must include: * That return from retirement is not a given, must discuss the needs of the service and the impact on the operation of the department and notify them that the request must be approved by the Designated Executive Director. * An exit strategy as to how and when the employee will leave the Trust. *Whether or not it will be possible for the employee to return on the same band/hours. Contact relevant Assistant HR Officer to inform them of a possible retirement and to ensure all issues have been discussed. When contacted by the manager ensure that they have discussed all the relevant issues with the employee and explain the process to follow including where the policy and forms can be found. Page 20 of 22

21 Time Employee Manager HR/Executive 5 months prior to potential retirement date Complete forms and send to manager. Request form AW8 from Pensions Agency (if not already requested), complete and submit to the Pension s Agency. Consider whether flexible retirement can be accommodated and sign the form to say whether they support the request. Send the Form to the appropriate DM/HoD/CD. DM/HoD/CD considers the request and makes a recommendation whether or not to support and forward to Senior HR Manager. Senior HR Manager to submit the forms to the Designated Executive Director on a monthly basis. Executive Director to make a decision on the flexible retirement request within 1 month of submission. 4 Months Prior to potential retirement date If return after retirement is agreed by Executive Director contact the pension s agency and inform them of agreed date. Attend HR when requested with documentation to start relevant preemployment checks. Note no speculative outcome should be communicated to the employee until approval from the Executive Director has been gained. If return after retirement is agreed notify the employee of the decision and process to follow. If return after retirement is not agreed notify the employee of the decision and their right to appeal. Refer the employee to the Retirement Policy regarding the appeal process. HR to communicate decision of Executive Director to manager If return after retirement is agreed contact the employee to start any relevant employment checks: *Right to work in the UK *Verification of Identity *Professional Registration and Qualifications *Occupational Health clearance *DBS clearance (if required) 1 month prior to potential retirement date Ensure all annual leave has been taken prior to retirement date as outstanding annual leave can affect the pension date. Complete a leavers checklist form on the Human Resources Section of the Trust s Intranet site and submit to Human Resources - Leavers inbox asap and/or prior to payroll deadline Ensure all checks are completed. Make the employee a leaver and return the employee on ESR after the 24 hours break or more into the agreed role and new hours. Issue the employee with new contractual terms. NB: Due to the approvals and pre-employment checks required the necessary paperwork may not be completed on the original requested retirement date. If this is the case retirement dates cannot be deferred but employees must be aware that their return will be deferred until all relevant approvals and checks have been completed. Page 21 of 22

22 Appendix 6 Checklist for Retirement For use by Manager and Employee Action By whom Completed & date Submit flexible retirement application form Employee or letter of intention to retire Complete and submit form AW8 to the Employee Pensions Agency Formally acknowledge receipt of application Manager of application/acknowledge retirement notice, in writing. Acknowledge service and contribution Meet to discuss flexible retirement Manager and Employee application (if applicable) Confirm outcome of flexible retirement Manager request in writing Agree how leaving is to be Manager and Employee recognised/communicated Use all accrued annual leave prior to retire Employee date Complete a leaver checklist Manager Complete an exit questionnaire and/or undertake exit interview Employee or Employee and Manager (for interview) Page 22 of 22

23 The Newcastle upon Tyne Hospitals NHS Foundation Trust Equality Analysis Form A This form must be completed and attached to any procedural document when submitted to the appropriate committee for consideration and approval. PART 1 1. Assessment Date: 20 May Name of policy / strategy / service: Retirement Policy 3. Name and designation of Author: Karen Pearce, Senior HR Manager (Projects) 4. Names & Designations of those involved in the impact analysis screening process: HR Heads, EPPCG, Natalie Barkwill HR Manager (Projects) 5. Is this a: Policy Strategy Service Is this: New Revised Who is affected: Employees Service Users Wider Community 6. What are the main aims, objectives of the policy, strategy, or service and the intended outcomes? (These can be cut and pasted from your policy) This policy sets out the Trust s position on retirement. It has been produced incorporating the Equality Act 2010 which came into effect on 1 October The policy forms part of the Trust s over-arching strategy to promote equal opportunities and avoid unlawful discrimination in its employment practices. The arrangements covered by this policy are: retirement flexible retirement, including: wind down ; step down ; draw down and retire and return to the NHS. Retirement equality analysis Page 1 of 4 October 2012

24 7. Does this policy, strategy, or service have any equality implications? Yes No If No, state reasons and the information used to make this decision, please refer to paragraph 2.3 of the Equality Analysis Guidance before providing reasons: No 8. Summary of evidence related to protected characteristics Protected Characteristic Evidence i.e. What evidence do you have that the Trust is meeting the needs of people in various protected Groups related to this policy/service/strategy please refer to the Equality fact files available via the link below (add link) Does evidence/engagement highlight areas of direct or indirect discrimination? If yes describe steps to be taken to address (by whom, completion date and review date) Does the evidence highlight any areas to advance opportunities or foster good relations. If yes what steps will be taken? (by whom, completion date and review date) Race / Ethnic origin (including gypsies and travellers) The policy is clear that it does not discriminate on the grounds of race/ethnic origin, sex, religion and belief, sexual orientation, age, disability, gender reassignment, marriage and civil partnership and maternity and pregnancy. It makes clear that staff who have a criminal record will not necessarily be prevented from obtaining employment with the Trust. Sex (male/ female) As above No No No No Religion and Belief As above No No Sexual orientation including lesbian, gay and bisexual As above No No Retirement equality analysis Page 2 of 4 October 2012

25 people Age As above No The Nursing profession is expected to lose, through retirement, many of its most experienced practitioners. 1 in 5 employees cited a desire for more flexible working as a reason for changing their job. Disability learning difficulties, physical disability, sensory impairment and mental health. Consider the needs of carers in this section The flexible retirement aspect of the policy provides flexibility and alternatives to full retirement for employees. As above No No Gender Reassignment As above No No Marriage and Civil Partnership As above No No Maternity / Pregnancy As above No No Retirement equality analysis Page 3 of 4 October 2012

26 9. Are there any gaps in the evidence outlined above. If yes how will these be rectified? No 10. Engagement has taken place with people who have protected characteristics and will continue through the Equality Delivery System and the Equality Diversity and Human Rights Group. Please note you may require further engagement in respect of any significant changes to policies, new developments and or changes to service delivery. In such circumstances please contact the Equality and Diversity Lead or the Involvement and Equalities Officer. Do you require further engagement Yes No 11. Could the policy, strategy or service have a negative impact on human rights? (E.g. the right to respect for private and family life, the right to a fair hearing and the right to education? No the policy positively promotes the right to a family life via flexibility PART 2 Print name Ms K Pearce Date of completion (If any reader of this procedural document identifies a potential discriminatory impact that has not been identified, please refer to the Policy Author identified above, together with any suggestions for action required to avoid/reduce the impact.) Retirement equality analysis Page 4 of 4 October 2012