Croydon Council Finance and Assets Division. Teachers Pension Administration Services to Schools 2016/17

Transcription

1 Croydon Council Finance and Assets Division Teachers Pension Administration Services to Schools 2016/17 Service Level Agreement for Academies authorising the LA to administer their Teachers Pension. For Academies with a Data Sharing Agreement between the LA and the external payroll provider

2 Welcome Thank you for considering Croydon s Teachers Pension Administration Service to Schools for 2016/17. Since the formation of the dedicated Teachers Pension Team in May 2009 (TP Team) we have seen further improvements in our service to Croydon schools and individual members of the scheme by pulling together all the various aspects of the teachers pensions scheme into one central location. We have also improved Croydon s standing in the local authority arena with representation on national discussion groups and active participation in workshops and pilot groups set up by Capita s Teachers Pension Darlington to modernise their service to employers and work towards the next generation of electronic transactions and data transfer. These successes and our improving efficiency and investment in the service allow us to provide a service that is unavailable from, and not offered by, any 3 rd party provider. The benefits of working with us is that we have a dedicated full time resource, committed and innovative practitioners, a wealth of experience and knowledge and a very close working relationship with schools built over many years dealing with education pay, conditions of service and the pension scheme. Our SLA includes the provision for a visit by a member of the Team although we are always available by telephone and , and we welcome feedback on the quality of our service. Listed below are some of the achievements of the service: unqualified results for the Audit Commission TR17 audits of teachers records each year in succession the Audit Commission cited the Teachers Pension Team s rapid improvement and achievement in increased productivity in performance management the TP Team were awarded Best Team Contribution to the Financial Service Division designed a comprehensive brochure detailing the development of the new team and its strategies and processes to assist other LAs with their own administration, together with a consultancy service 100% submission of the Annual Return of Teachers Service for all Croydon schools a week before the DfE deadline establishment of central records for all TP Forms, member instructions and pension membership status to aid quick investigations with and from TP Darlington use of electronic data transfer to provide missing service and update members records quickly with follow up confirmation training and assistance to schools using 3 rd party providers to set up their internal statutory TP administration processes retrospective investigations of archived material and files to capture previously missing teachers pension information, instructions and payments to complete Croydon s historic and current pension records through the above, successfully challenged TP Darlington on claims for retrospective uncollected pension contributions with no costs to schools or the Council a voice in, and collaboration with, the Octavo Partnership, HR and Finance Shared Service Centre, the LGPS Team, Schools Finance and Liberata payroll. Externally with the LGE, TP Darlington, the DfE and Capita This list is not exhaustive and we continue to develop and improve our service to schools and members alike, including the publication of teachers pension newsletters to all teaching staff. Nigel Cook Head of Pensions and Treasury November

3 SERVICE LEVEL AGREEMENT FOR THE PROVISION OF TEACHERS PENSION ADMINISTRATION 1. Service provider Page 1 2. Service details TP Team Page 1 3. Service delivery Page Assigned contacts 3.2 General quality standards 3.3 General performance standards 4. Performance monitoring Page 7 5. Charges Page SLA charges 5.2 Variation of costs and service 5.3 Costs and service not included in the SLA 5.4 Co-operating schools 6. Termination of SLA Page Duration and notice 6.2 Complaints procedure 6.3 Poor performance deductions Appendix 1 Responsibilities and Activities Page 11 i. Local Authority - Statutory Responsibilities under the TP Regulations ii. School responsibilities iii. Activities undertaken by the Local Authority Appendix 2 Formal Agreement Page

4 1. Service Provider Croydon Council Resources Department Corporate Resources Division Pensions and Treasury Compliance and Governance Team Teachers Pensions Team 11th floor, Zone A Bernard Weatherill House 8 Mint Walk Croydon CR0 1EA 2. Service Details Provision of the service detailed below is dependent upon the Academy notifying TP that the LA is authorised to administer their teachers pension scheme and has full access to their part of the TP electronic database (STU) to input, download and investigate data reports. The Academy must also enter into a Data Sharing Agreement with the LA and their Third Party Payroll Provider to allow the LA full access to their employees payroll and pension records for the purposes of administering their full Teachers Pensions, as if the LA were themselves providing a managed payroll service for schools. The Academy will also provide the LA with a stamp containing the Academy s full address for the completion and required sign-off of all TP forms and returns. Where the Academy consists of more than one school, the LA can deal directly with the individual school raising the TP query, or from whom information is required, for effective and speedy case resolution Service detail School Courier Service Free delivery/collection 4 th Friday of the month (in addition to any existing Interserve arrangement) TP Administration Send TR6 new starter form to TP via STU Check completed pension option form and pension details on Trent or with TP Set up new teacher on Altair database Issue Opt Out form to new starter if applicable Process transfer in or transfer out request from other pension scheme if applicable Changes to personal details Change from Full to Part time contract Additional Pension Benefits (setting up, amendment and cancellation) Additional Voluntary Contributions (setting up, amendment and cancellation) MEMELECT form to existing teachers Process all applications for the new flexibilities under the CARE scheme from 1/4/2015 Performance standard (processing forms) Can be used by school or LA for TP and/or LGPS documentation. Within 7 days of receipt of documentation Within 7 days of receipt of documentation Within 10 days of receipt of documentation (unless there are delays in obtaining information from outgoing scheme(s) ) Within 5 days of receipt of notification Within 5 days of receipt of notification. On receipt of TP instruction arrange payroll adjustment from specified start date. On receipt of Prudential instruction arrange payroll adjustment from specified start date - 4 -

5 Process Opt Out and refund/repayment of contributions to existing teachers Process Certificates of Re-Employment Process valuation requests for Divorce and provide other pension values/payments for and from other agencies Send TR8 leaver form to TP Darlington via STU Process all Retirement Application forms Process all other TP forms unless for end of current financial year Within 10 days of receipt of request and documentation Within 7 days of receipt of documentation TP Member Information Pack, literature, leaflets and forms Death in service Manage whole process and liaise with school, TP Darlington and family to award short term pension and arrange payment of full pension benefits to beneficiaries. Act quickly, efficiently and sensitively to support family through process and engage TP Darlington for priority action. Issued on request without charge either to school or member direct as specified When notified of death in service, on same day notify TP Darlington and arrange final salary and short term pension payments. Liaise with school and/or family with Death Benefit application, and then send form and documentation to TP Darlington with service details of member. Deal with queries as they arise to complete process within 2 weeks depending on information available and received. Pension records Missing service queries historic and current Investigate on receipt with aim to resolve within 4 weeks depending on availability of information Submit corrections and missing service details to TP Darlington via STU at their request or from members and/or schools Maintenance of pension records and member instructions Queries arising from schools about Annual Pension Statements Providing complete, or extract from, previous annual return to school Checking and confirming pension details held on Trent records, archived payroll system or manual ledgers and record cards. Contributions related issues Claim from TP Darlington for recovery of arrears of pension contributions or inter fund adjustment from LGPS Claim from TP Darlington for recovery of arrears of additional pension contributions Prudential claim for recovery of arrears of AVC contributions (Follows on from first item) Provide information to TP Darlington as soon as available, check pension record and issue corrected service record to member At same time as notifying TP Darlington, copy documentation to central records and/or Altair database for easy retrieval and for audit purposes On receipt, investigate with TP Darlington and arrange for statements to be re-issued or provided as required Provide information within 7 days of request Check all applicable records and provide information within 7 days of request depending on availability of information. Investigate claim, reasons and method of resolution within 10 days of receipt. When confirmed, seek recovery of EE arrears through sundry debt process and recovery of ER contributions through re-charge process within 2 months or in current financial year, whichever is sooner. As above but recovering EE contributions only within 2 months of notification and investigation As above but recovering EE contributions only within 2 months of notification and investigation - 5 -

6 Terms and Conditions Advice on pension records with changes to contract or personal circumstances (from school or member) Receive and Implement changes arising from TP Regulations or Government legislation Policies and Procedures TP Administration Handbook Procedural changes arising from changes to Council/Government/TP Administrator policies Issuing advice on pension administration Statutory Information Annual Return of Teachers Service and Salary Initial telephone advice or within 3 days from request by letter or within 10 days To be completed within 6 weeks of receipt of changes including internal consultation and preparation of new material Updated as required and issued to all schools as deemed necessary To be completed within 6 weeks of receipt of changes including internal consultation and preparation of new material. Through direct communication with schools as new advice arises Completed accurately and fully for the Academy, or all schools within an Academy s remit, within deadline set by TP Darlington NOTE: the term school covers Academies and individual schools within an Academy Trust Where reference is made to Trent and archived payroll material, this relates to information prior to moving to Academy status for: (1) schools that previously used the Croydon Payroll, (2) schools that previously used external providers providing annual returns to the LA, and (3) all employment and pension records prior to Service Delivery For the purposes of the Teachers Pensions Regulations 2010 and 2014 the Academy is the statutory employer for its members of the teachers pension scheme and is wholly responsible for the administration of the scheme.this covers all teachers regardless of fte, qualification and contract status. However where the Academy authorises the LA to undertake its TP administration on behalf of the employer and its teaching staff, this administration role will pass to the TP Team. The service the Academy will receive as part of the SLA will include: Free administration, checking and query resolution Unlimited access to support Submission and checking of Annual Return Reconciliation against contributions paid TR6 & TR8 completion and notification to TP Case resolution with TP where there is a dispute in service records or contributions* Free pension workshops including with sessions with your teachers on request An annual visit to your school(s)/academy free of charge as part of the SLA In addition, where the Academy buys into a Third Party Provider who has a Data Sharing Agreement with Croydon LA, we will prepare your Annual Return of Teachers Service and your TP monthly contribution schedules and submit both returns to TP on the Academy s behalf. This includes error or query reports from TP. *This also includes dealing with unforeseen charges from TP for queries relating to previous years errors - 6 -

7 or missing service details, whether or not the Academy was part of previous SLA agreements. It is then down to the Academy/school to determine whether they wish to recover any charges from their former or current 3 rd party provider, if applicable. See also Section Contact details The two named contacts in the TP Team are: Diane Whyte, Teachers Pensions Senior Administrator (Tel: ) Monday-Wednesday in the office, and Vicki Langston, Teachers Pensions Senior Administrator & NHS Pensions Senior Officer (Tel: ) Tuesday, Thursday & Friday in the office (both are contactable on Monday-Friday through the dedicated teachers pension team mailbox below) both of whom are your first point of contact for TP advice and support and are available to deal with your pension queries. Academy and schools senior management, bursars and administration staff have access to the TP Team Monday-Friday from 9:00 to 17:00 at Bernard Weatherill House by telephone and . Contact can also be made at any time through a dedicated teachers pension team address at teacherspensionsteam@croydon.gov.uk to which both members of the team have full access General Quality Standards TP Team members are well trained and hold many years experience of working with schools in order to provide the full range of the service that schools require. Continuous professional development forms part of staff s job responsibilities and the team attends workshops and seminars provided by TP Darlington or DfE to uplift their skills as well as using their knowledge to participate in pilot groups and multi-agency discussion groups to trial new developments in TP administration. The TP Team undertakes to continually review and improve the quality of its service to: Strive to operate at the highest standards of professional competency, conduct and confidentiality. Provide advice and assistance in accordance with the statutory requirements of the TP Regulations. Maintain and develop central records and a database of all members service, salary and instructions in line with the LA s obligations Take ownership of and resolve missing service queries or errors on the national teacher database with TP Darlington. Promote the importance of customer care. Be innovative and provide new ideas and solutions for the benefit of schools, including consideration of requests and suggestions from schools

8 3.3 General Performance Standards Unless otherwise stated, the TP Team will work to the targets set out below in delivering the service: Designated office hours: Staff are available to respond to queries during the designated office hours of the service which are 9:00 to 17:00, Mondays to Fridays. Written enquiries: Provide an answer to a written enquiry within 5 days of receipt. Where a full reply cannot be given within this timescale the enquiry will be acknowledged giving an indication of progress so far and the likely response timescale. s: Provide an answer to an within 5 days of receipt. If a more urgent response is required then a response will follow either the same day or as soon as possible after the query has been investigated. This does not preclude additional contact by telephone. School visits: Members of the TP Team are happy to arrange a visit with a school to talk through their TP administration and required paperwork. We can also arrange a Pensions Workshop with one or several schools to cover both the Teachers and Local Government Pension Schemes and offer personal consultations with staff. 4. Performance Monitoring Feedback from the Academy, Headteachers and administrative staff on the quality of service is welcomed at all times, enabling the TP Team to ensure that quality standards are maintained and improved. Specifically the TP Team intends to send out an annual performance monitoring questionnaire to schools to score the SLA performance, with results published following the collation of the feedback. 5. Charges 5.1 TP SLA Charges Buying into our all-inclusive TP Administration Service, will cover all the activities specified and the Academy will not incur any further costs for additional hours/days, even in the event that a school may have a protracted problem. Unlike some other service providers, Academies have the reassurance that they are not charged separate fees for complex issues demanding dedicated staff time or separate and additional correspondence with/from TP Darlington, DfE or the LGE. There is no minimum charge and no hidden cost. The charges for the year commencing 1 April 2016 to 31 March 2017 are: 18 per teacher at your school (headcount in post anytime from 1 April to 31 March). Why these charges? Since May 2009, TP Team has improved the quality and accuracy of the LA s administration of the teachers pension scheme and annual return information. This adds to the quality of information available to central government departments and the Council in planning and improving service. However, considerable time and effort is spent on schools who are not part of the payroll SLA and who sometimes provide inaccurate and incomplete information. This requires considerable time and resource from within the TP Team and in effect these schools are being subsidised by schools within the payroll SLA. Therefore, any additional work undertaken by the TP Team, as a result of Academies and/or schools outside the payroll SLA being unable to provide accurate and timely returns in the specified format, will be charged either through the TP SLA or by separate charges outside the SLA

9 Of particular importance is the reconciliation and provision of the Teacher s Pensions Annual Return against existing service records as these potentially affect teachers over their entire working life and in retirement. It is important that we get things right first time, particularly for pensions and for retiring teachers whose pension benefits may be miscalculated due to incorrect service data. 5.2 Variation of Costs and Service In the event of the TP Team being required to introduce major changes as a result of legislation or Council policy, revised charges and specifications may be negotiated between both parties, for inclusion in this agreement. No increased or additional costs arising will be introduced without the Academy s knowledge. 5.3 Costs and Service not included in the SLA Provision of non-la services, e.g. external pension consultants' fees, training workshops provided by TP or another external agency Charges made by TP Darlington for compound interest on arrears of pension contributions where the non-collection is due to incorrect procedures in a school, incorrect information provided to the LA, or where the fault lies with the member, school or previous 3 rd party provider. See also Section 3. Service Delivery. Fees for solicitors and barristers to represent the school in a tribunal or court of law on a pension related case, unless specifically agreed by the Council. Charges by other bodies for any service related to teachers pension matters 5.4 Co-operating Academies Academies that co-operate on various levels, i.e. they are the employer for several schools under the Academy s title who have different arrangements for their TP administration, cannot obtain free advice on behalf of, or for, another school that does not buy this SLA. 6. Termination of the SLA 6.1 Duration and Notice This SLA is valid for one year, from 1 April 2016 to 31 March To extend the SLA thereafter you do not need to do anything, as we automatically roll Academies over to the next year, unless we receive notice that you wish to leave, as detailed below. The notice period to terminate this agreement is one month. Notice can be given in each term, as follows: For the summer term: by 31 May SLA to expire 30 June For the autumn term: by 31 November SLA to expire 31 December For the spring term: by 28 February SLA to expire 31 March Termination without giving notice as above can only be invoked after exhausting the complaints process

10 In the interests of an effective, responsive service, the TP Team reserves the right to review aspects of the SLA during the life of this agreement, and implement reasonable changes, taking into account the views of schools before doing so. 6.2 Complaints Process Where possible, a complaint should be made informally to the person responsible for the relevant service item, with a view to seeking satisfactory performance. The formal process in cases of non-performance or poor performance of the SLA is a three stage process: Stage 1: Academy to notify the Compliance and Governance Manager in writing of service issue. If performance standard or an agreed reasonable timeframe/standard is not met, stage 2 can be invoked. Stage 2: Academy to notify the Head of Pensions and Treasury in writing of service issue. If the performance standard or an agreed reasonable timeframe/ standard is not met, stage 3 can be invoked. Stage 3: Academy to notify the Director of Finance & Assets in writing of service issue. If the performance standard or an agreed reasonable timeframe/ standard are still not met, the Academy is entitled to withdraw from the SLA without giving notice. A pro-rata refund will be made; in addition, a poor performance deduction may be applicable, following the process below. Where an item was initially resolved, but re-occurs within 3 months, the relevant next stage of the process can be invoked. 6.3 Poor Performance Deduction In the event of the TP Team not performing to the specified performance standard and after exhausting the complaints process, the Academy will be entitled to a deduction from the cost of the SLA. The Director of Finance and Assets will review stage 3 complaints and will set at his discretion the percentage amount to be deducted from the SLA, taking into account frequency, duration and severity of the poor performance. That decision will be final. Corporate Resources Division Teachers Pensions Team November

11 Appendix 1 - Responsibilities and Activities i. Academy Statutory Responsibilities and Activities As the statutory employer of its teachers under the TP Regulations 2010 and 2014, the Academy is responsible for ensuring that 3 rd party providers contracted to its schools for an HR and/or payroll service, operate to the statutory requirements for data collection, contributions and information. This SLA will enable the LA to undertake TP administration on behalf of the Academy to fulfill its statutory obligations as outlined in Section 2.Service Details. ii. Academy responsibilities: Wholly or partly covered by the Data Sharing Agreement Starters and leavers All Academy schools are required to provide the LA with information on individual teachers starting and leaving and the LA is responsible for forwarding this information to TP Darlington. The school is required to provide the LA with a termly list of new starters and leavers in the required format. Schools must assist and provide the LA with salary and service records for compiling the Annual Return of Teachers Salary and Service for the each financial year in the format designated by TP Darlington. If the frequency of returns changes in line with Government initiatives then schools must continue to meet their obligation through their contractual arrangement with their 3 rd party provider. Annual auditing by the Audit Commission, in the event of the LA requiring a copy of all contracts and supporting pension literature relevant to the teaching staff employed by the Academy. The LA may subsequently wish to advise the Academy on the employment practices of a school if the audit has reason to believe they may not be meeting the statutory requirements of the TP Regulations. If the Academy or one of its schools requires access to the paper or electronic personal files of its staff previously held and maintained by the LA, for the purposes of investigating a pension issue, there will be a reasonable charge for this service in recalling the file from archives if still available. The Academy is required to keep records of all relevant pension details on personnel files for all teachers, including leavers and to ensure that storage and retrieval of all data is in accordance with the requirements of the Data Protection Act. Staff files must be available at two working days notice (including school holidays) should the LA be required to access them for statutory, legal or other urgent reasons relating to pension investigations. The Academy and its schools will need to ensure that they retain a provider/providers, or include within their establishment staff, who are fully aware of the statutory requirements of the TP Regulations as they affect contractual and payroll matters and who: - operate at the specified standards of professional competency, conduct and confidentiality; - ensure that the content of the employment contracts complies with the current conditions and requirements for pension membership, - fully understand and implement eligibility criteria for membership and opting out of the teachers pension scheme, and

12 - provide full and accurate exit data to the LA in the event of a school terminating their contract and returning to the Croydon payroll. Actions arising due to pension advice from an external service provider and not the LA may result in the Governing Body becoming liable for the consequences arising from such advice (including any subsequent costs). iii. Activities undertaken by the Local Authority (LA) on behalf of the Academy where a Data Sharing Agreement exists Compilation and submission to TP Darlington of the Annual Return of Teachers Service and Salary Notification to TP Darlington of all teacher starters and leavers and those wishing to opt out of, or join the scheme Provide on request, pension information to all new starters to Academy schools affording them automatic membership of the scheme unless otherwise notified by the member Provide on request, pension information to all teachers leaving Academy schools or the teaching profession relating to their options for future pension benefits Maintain and develop current and historic records of teachers service and pension status Provision of data to TP Darlington on service and salary records for Academy teachers as required or requested by TP, the Academy, school or the member Consultation and negotiation with TP Darlington, DfE, LGE and other professional associations and trade unions on issues affecting the administration of the teachers pension scheme The LA will respond to requests from external agencies for information on current and former teachers pension records which specifically relate to the Academy s responsibility. Undertake, in respect of the Academy and its schools, those relevant activities which are or may become required by Government/Council/Resources & Customer Service Department policy. Where errors occur following receipt of information by the LA which is then submitted to TP Darlington on behalf of the Academy, the LA will not be liable for payment of any subsequent charges or compensation to the Academy, school or member. Any such charges will be dealt with in accordance to those set out in Sections 3 and 5.3 above

13 Appendix 2 Formal Agreement (following sign up through the Octavo portal) FORMAL AGREEMENT The Finance and Assets Division, and its officers in the Pensions Team, agrees to comply with the terms and conditions as defined by the published Teachers Pension Administration Service Level Agreement (the SLA). The Academy agrees to abide by the terms defined within the SLA and acknowledge that the Local Authority retain the right to reasonably amend the agreement from time to time, following consultation with schools. I. (please print name), on behalf of the. Academy, or on behalf of the Governing Body of... School, forming part of the.. Academy, confirm that the school purchases the Teachers Pension Administration Service Level Agreement with effect from. (enter date) and that the Academy will be re-charged for this service, at the start of the next financial year. A Data Sharing Agreement has been provided and duly signed by the appropriate parties as part of this Formal Agreement to enable the LA to fulfil its specified duties under this SLA. Signed. Title: Head Teacher Date. This agreement is countersigned by the Compliance and Governance Manager as acceptance and acknowledgement of the school s decision to purchase the Teachers Pension Administration Service Level Agreement with effect from:. (enter date) and all the services contained therein. This agreement also accepts and acknowledges receipt of the School s Data Sharing Agreement. Signed.. Title: Compliance and Governance Manager Date: