LEAVER GUIDANCE

FINAL DRAFT v2 - OCTOBER 2009

Contents Page 1

Introduction 1.1 Purpose

3

2

Line Manager Responsibilities

4 4 4 4 4 4 4 5 5 5 5 5 6

2.1 Responsibility 2.1.1 Leaver’s checklist 2.1.2 Period of notice 2.1.2.1 Retirement 2.1.2 Annual leave 2.1.3 Relevant paperwork 2.1.4 Trust property 2.1.5 Handover of work 2.1.6 Informing relevant departments 2.1.7 Exit interview 2.1.8.1 Confidentiality 2.1.9 Personal file 3

Employee Responsibilities 3.1 The leaver’s checklist 3.1.1 Period of notice 3.1.2 Annual leave 3.1.3 Trust property 3.1.4 Handover of work 3.1.5 Exit interview 3.1.6 Recovery of outstanding payments

7 7 7 7 7 7 8 8

4

APPENDIX 1 – Leaver’s checklist

9

5

APPENDIX 2 – Exit interview: Suggested Topics

10

2

1.

INTRODUCTION

1.1 PURPOSE The purpose of this guidance is to outline the process for employees leaving the Trust and the responsibilities of their line managers, to ensure a standard and consistent approach is adopted. This procedure applies to all staff employed within the Trust who are leaving through resignation, retirement, end of fixed term contract and dismissal. From the Trust’s perspective, a sound leaving procedure helps to ensure that: • managers understand their responsibilities and have a clear process/checklist to follow • staff understand what is expected from them • security of information, premises, etc. is maintained • all badges, borrowed IT equipment and other assets are returned to the organisation in a timely manner. From an employee’s perspective, leaving a job is an important and potentially stressful event, particularly in cases of retirement or dismissal. How the Trust manages this process has an impact on the employee’s lasting impression and experience of the organisation. An ineffective leaving process can introduce risks to the security of information, and costs may be incurred to the Trust where equipment is not satisfactorily returned in a timely manner. A well-managed leaving process helps to ensure that the transition is as smooth and stress-free as possible for both the leaving member of staff and the line manager. This guidance incorporates best practice on data and information management.

3

2.

Line Manager Responsibilities

2.1 Responsibility It is important to be clear about the responsibility for leavers, particularly in terms of the individual employee and their line manager’s role within the process. As the line manager you are responsible for the entire leaving process, and for ensuring that all of the areas outlined in the leaver’s checklist (at Appendix 1) are followed and completed. In cases of planned departure the leaving process should begin where possible at least 4 weeks before the employee’s end date, with appropriate notification to the leaving employee of what is required from them and when. The leaver’s checklist is comprehensive and has to account for different working situations across the Trust. As a result, not all the issues highlighted will apply to each leaver, so it is up to you to determine which issues are applicable. 2.2 The leaver’s checklist Use the leaver’s checklist at Appendix 1 to ensure you cover all of the following areas for which you are responsible: 2.2.1

Period of notice The employees notice period is detailed in their contract. This should be taken into account when a leaving date is discussed. • Resignation: A letter of resignation should normally be received from the employee. You will need to acknowledge this in writing, confirming the employee’s last date of employment and any leave entitlement. • Dismissal: This will normally result from an investigation, and will require a letter from you to the employee. Please seek HR advice. • End of fixed term contract: This is also a dismissal and requires that you send a letter containing the last date of the contract to the employee. Please seek HR advice. • Retirement: If the employee is retiring and is a member of the NHS Pension Scheme, it is essential that the appropriate correspondence is sent to Payroll 4 months before the date of retirement. Please see the Trust Retirement Policy for a template and information on the full retirement procedure.

2.2.2

Annual leave The employee will normally be requested to take any outstanding annual leave before the agreed leaving date. You need to discuss this with the employee when they hand in their notice. If the employee is unable to take all their annual leave prior to their leaving date due to service provision or individual circumstances, you must arrange for payment for outstanding annual leave to be made with their final salary payment. If the employee has taken more annual leave than their entitlement for the period of the year that they have worked before their leaving date, the equivalent amount of pay will be deducted from their final salary payment. You will need to notify Payroll of any annual leave to be paid or overtaken by filling in Sections 14 or 15 of the Termination Form.

2.2.3

Relevant paperwork You need to complete a Termination form as soon as the leaving date is known. This ensures that Payroll are notified that the employee is leaving the organisation and all other relevant arrangements are made in a timely manner. In cases involving retirement, a memo must be sent to Payroll in advance to ensure any Pension payments will commence on time – please see the Retirement Policy. 4

2.2.4

• • • • •

Trust property You are responsible for ensuring any Trust property that the leaving employee holds is returned, including identity cards car park passes mobile phones, keys and fobs lease cars any Trust information held by the employee, including paper or electronic staff or client files. You also need to be aware of the leaver’s access to door security codes (which may need to be changed).

2.2.5

Handover of work Where relevant, you must make sure that an adequate handover of work tasks takes place between the leaving employee and their successor, to ensure business continuity. This will include the passing over of any business or personal information held by the employee (in electronic and paper format).

2.3.6

Informing relevant departments The security of Trust data must be maintained by:

•

• •

•

• • 2.3.8

• • •

• •

Informing the IT Department that the person is leaving the Trust, so that access to ITbased systems such as e-mail and Insight can be terminated. This can be done by sending notification that the person is leaving, by email to the IT helpdesk ([email protected]). If the employee has access to other electronic systems not administered by the IT department (e.g. Safeguard, ESR etc), notification should be sent to the relevant systems administrator of the date access should be terminated. Notify the Telecoms Department. This is to enable the leaver to be removed from the switchboard listing of Trust staff/extension numbers, and for the mobile phone and other devices e.g. Blackberry (if any) to be disabled and/or a final account issued for Line 2 on mobiles (the personal use line). This should be done by sending an email to Telecoms ([email protected]) advising name of employee, workbase, date of leaving, landline extension number, mobile number and other device(s) number(s). Notify the Security Department. This is to enable the leaver to be removed from the Trust database of Photo ID Cards. This should be done by sending an email to the Fire & Security Department ([email protected]), advising name of employee, workbase & date of leaving. Where an employee is an authorised signatory, the Finance Department must be notified of their imminent departure as soon as possible, by letter (see Authorised Signatory Policy on Finance Department site on the intranet). HR and the Finance Department will also require a contact address for any payments or correspondence, which you should ensure you put on the Termination Form. Exit interview You must, as soon as possible when a staff member submits their notice, offer an exit interview. The aims of an exit interview are: to provide all employees leaving the Trust with the opportunity to give honest feedback without fear of detriment to improve the understanding of why staff leave the Trust to give feedback so that you, the line manager, can be aware of any issues that might have arisen and to take positive and negative learning points on the way your team works and on the services it provides. to use the information obtained to make improvements to the Trust through changes in policy and practice to bring any inappropriate practices to the attention of appropriate Senior Trust staff members 5

•

to consider whether changes to the role and job description are necessary. Care and sensitivity must be maintained in handling the exit interview. In some situations, for example a case of dismissal, this may mean that it would be inappropriate to conduct an exit interview. In these circumstances the manager should consult with Human Resources. The exit interview must be with someone with whom the leaver feels they may speak frankly. In most instances this will be the line manager – however, exceptionally, the leaver should be able to approach HR as an appropriate alternative if necessary. Interviews should be structured to ensure that the appropriate information is captured whilst at the same time ensuring that the leaver has adequate opportunity to raise any issues they feel to be relevant or of concern. The interview should contain questions about why the employee is leaving, their experience of working for the Trust, and also about any recommendations that the employee may have for improvements in the Trust’s policies, procedures, systems and processes. Please see a list of suggested topics at Appendix 2. Where the leaver feels it may be beneficial for the interview to be held somewhere else, this should be considered. Information from the exit interview should be added to the employee’s personal file. 2.3.8.1 Confidentiality In order to allow members of staff to speak freely and give their honest opinions, it is important that they are able to speak in confidence. However, before you make a statement about confidentiality, you need to inform the member of staff that you would have to take forward any issue which is judged to be sufficiently serious to require further action (e.g. a Whistleblowing matter).

2.3.9

Personal file Once an employee has left the Trust, their personal file should be updated and then sent to the Human Resources Department. The personal file will then be kept in accordance with the SHSC Management of Personal Files Policy.

6

3. Employee Responsibilities 3.1 Responsibilities As the leaving employee you are responsible for: • working with your line manager to follow the leavers checklist (see Appendix 1), completing any tasks and returning any items requested in good time • signing and completing the leaver’s checklist when requested to do so by your line manager. The checklist should be worked through with your line manager, starting approximately 4 weeks before your leaving date where this is appropriate. The checklist should then be signed by you on your leaving date, and countersigned by your line manager, to confirm that everything has been completed and all items returned. 3.2 The Leaver’s checklist 3.2.1

Period of notice The period of notice employees are required to give the Trust is outlined in their Contractual Terms and Conditions. Resignation: If you fail to give the requisite period of notice, you may forfeit the balance of your outstanding annual leave entitlement, unless otherwise agreed by the Trust. In addition, where the contractual notice period required is greater than the annual leave outstanding, the Trust reserves the right to deduct from your final pay a sum equivalent to the shortfall in the notice period. Retirement: Your line manager will contact you in advance of your normal retirement date. Please see the Retirement Policy for guidance.

3.2.2

Annual leave You will normally be requested to take any outstanding annual leave before the agreed leaving date. You need to discuss this with your manager when you hand in your notice. If you are unable to take all your annual leave prior to your leaving date due to service provision or individual circumstances, your manager should arrange for payment for outstanding annual leave to be made with your final salary payment. If you have taken more annual leave than your entitlement for the period of the year that you worked before your leaving date, the equivalent amount of pay will be deducted from your final salary payment –your manager will notify Payroll that this is the case.

3.3.3

• • • • • • • • • •

Trust property As a leaver, you are required to return to your line manager the following items: identity cards car park pass door security fob keys to Trust property uniform/protective clothing and equipment Trust Mobile phone/Blackberry computer and other IT equipment bleep/pager files and other documents that you may hold as part of your job any other Trust property not specified here. 7

3.3.4

Handover of work Your line manager will arrange a meeting, where appropriate, for you to handover any documents and information about work that needs to be picked up by your successor.

3.3.6

Exit interview Your line manager will offer you an exit interview to ask your opinions about the Trust and to find out your reasons for leaving. Any information you give will be treated in confidence, unless you bring to the Trust’s attention any issue which is judged to be sufficiently serious to require further action (e.g. a Whistleblowing matter).

3.3.7

Recovery of outstanding overpayments On your leaving date, any fees and financial assistance owed to the Trust will be expected to be paid with immediate effect. Any salary overpayments will be deducted from your final salary payment.

8

APPENDIX 1 LEAVER’S CHECKLIST To be completed by the line manager with the leaving staff member. (LM = Line Manager SM = Staff member) Responsibility Date due 1

2

3

4

5

5

6

7

8

Period of notice Suitable period of notice given

LM or SM

Acknowledged in writing Annual leave All outstanding annual leave taken If not, has payment been arranged with Payroll? Any overtaken annual leave? If so, has Payroll been informed? Relevant paperwork Termination form completed with up to date contact details

LM or SM

Access to relevant work-specific emails and documents organised Trust Property All Trust property returned: including keys, fobs, mobile phone/Blackberry, uniform, equipment, documents, car park passes, ID cards, etc Handover of work Handover meeting held between employee and line manager/successor Informing relevant Departments IT – re: email account and any passworded web pages or other password protected facilities to which the employee has access

SM

SM LM LM LM LM

SM

LM/SM LM

Finance – re: authorised signatory status if relevant

LM

Telecoms – re: removal from Switchboard listings and disconnection of mobile devices

LM

Security – re: removal from ID badge database

LM

Any other departments providing access to electronic systems Exit interview Offered

LM

Conducted

LM or other suitable staff member

Personal file Updated

Date Completed

LM

LM

Sent to HR Outstanding debts or monies (e.g. Trust loans, etc.) Repaid

LM

if not, Payroll to be informed

LM

SM

9

APPENDIX 2 Exit interview: suggested topics •

Is there anything you would like to say about the reasons for your leaving at this time?

•

Could you tell me about your overall experience of working for the Trust?

•

Have you anything you would like to say about your experiences of the training you received as a Trust employee?

•

Do you have any comments about your recruitment and induction?

•

Do you have any comments to make about the way you were managed and supervised?

•

Is there anything you would like to say about your working conditions?

•

Can you tell me about your plans for the future?

10