(Revised version for F&S)
This instruction applies to: / Reference:
NOMS Headquarters
Prisons / AI 09/2011
PSI 29/2011
Issue Date / Effective Date
Implementation Date / Expiry Date
20 January 2015
(Revised) / 19 April 2013 / 18 April 2015
Issued on the authority of / NOMS Agency Board
For action by / All staff responsible for the development and publication of policy and instructions
NOMS HQ
Public Sector Prisons
Contracted Prisons
Governors
Heads of Groups
Deputy Directors Custody
HR Shared Services
Instruction type / HR function
For information / All staff in NOMS HQ and prison establishments.
Provide a summary of the policy aim and the reason for its development/ revision / The aim of the policy is to inform staff employed in NOMS of the Exit Management arrangements in place and specifically their entitlements on resignation, termination, retirement or a death in service.
Contact / Shared Services HR Contact Centre
Tel. 0845 010 3504 (VPN 7190 3504)
Associated documents / PSO 8550 Staff Grievance
PSO 8410 Flexible Working Hours
PSI 62/2010 – AI 28/2010 Staff Resourcing
PSI 15/2012 – AI 03/2012 Travel and Subsistence
PSI 16/2013 - AI 06/2013 Annual Leave Policy
PSI 28/2013 – AI 12/2013 Outside Activities policy
My Services
Replaces the following documents which are hereby cancelled: None
Audit/monitoring: Governors and Heads of Group will ensure local records are kept and monitored to demonstrate compliance with the mandatory actions set out in this Instruction.
Introduces amendments to the following documents: None
NOTES: F&S Revision 19 April 2013 - This PSI/AI is a re-issue of the version issued in 2011 there are no changes to the policy but it has been altered to take account of revisions that have occurred under Fair and Sustainable. All copies held of the original 2011 version must be destroyed.
Update: 20 January 2015 - Due to a report from the Public Administration Select Committee into the Business Appointment Rules, the Government has recently published a revised set of Business Appointment Rules. As a result amendments have been made to paragraph 6.18.
All Mandatory Actions throughout this instruction are in italics and must be strictly adhered to.
PAGE 3
CONTENTS
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Section / Title / Applicable to1 / Executive summary / All staff
2 / Resignation
· Notice Periods and Notification
· Withdrawal of Resignation
· Resignation during Sick Absence
· Resignation during Maternity and Adoption Leave
· Resignation for Domestic or Health Reasons
3 / Termination
4 / Retirement
· Minimum Retirement Age (Pension Age)
· Removal of the Normal Retirement Age
· Transition Arrangements
· Notification of Retirement
· Partial Retirement
· Actuarially Reduced Retirement
· Early Retirement or Severance
· Pension Information
5 / Death of a member of staff
6 / Leaver Actions
· TOIL/Flexible Working Hours/Annual Leave
· Recovery of Official Property
· Recovery of Outstanding Loans, Advances, Allowances and Overpayments
· References
· Exit Survey
· Employee responsibilities After Leaving
· Business Appointment Rules
1. Executive Summary
Background
1.1 This Instruction updates policy for exit management in line with legislation by removing the default retirement age from 1 October 2011 for all staff and introducing transitional arrangements from 6 April 2011. It explains the actions to be taken by line managers and members of staff when staff resign or retire from the Service, or have their employment terminated. It also sets out details of action to be taken when a member of staff dies in service. It applies to all those directly employed by NOMS below SCS grade (including HMPS), and replaces all previously issued instructions on this subject. This instruction does not replace any specific instructions relating to staff leaving NOMS through other mechanisms including, voluntary transfers to other Government Departments, assignments on Interchange, machinery of Government moves and TUPE transfers.
1.2 When staff leave voluntarily through resignation, have their appointment terminated or retire, the following principles form the basis of the action to be taken:
· Although civil servants do not have the right to a period of notice, the Service intends that members of staff will be treated no less favourably than employees who do have this right and will normally provide an appropriate period of notice;
· The specific period of notice depends on the reason for leaving and the length and type of employment;
· Preventing overpayments or delays in the payment of salaries and other such payments requires prompt action by staff, line managers and Shared Services;
· Staff should make every effort, and be encouraged by line management to ensure they take any annual leave owing and have a nil TOIL/Flexible working hours balance before leaving;
· Any member of staff who is dismissed after 1 year’s continuous service has the right to bring a claim to an Employment Tribunal.
Desired outcomes
1.3 This Instruction aims to ensure that exit processes are effectively managed.
Application
1.4 All staff must be familiar with all sections of the exit management policy.
1.5 All managers with line management responsibility for exit management processes are required to read and follow all sections of the exit management policy as required.
Mandatory actions
1.6 All staff must be aware of the mandatory actions that apply to employees on leaving NOMS.
1.7 All line managers must comply with the mandatory actions in all sections of this instruction when dealing with exit management processes.
1.8 Governors and Heads of Group must ensure that the mandatory actions in all sections of this instruction are followed.
Resource Impact
1.9 There will be no direct resource impact on staff in NOMS headquarters or in prison establishments resulting from this Instruction.
Contacts
For further information about this PSI please contact:
Shared Services HR Contact Centre
Tel. 0845 010 3504 (VPN 7190 3504)
(Approved for Publication)
Carol Carpenter
Director of Human Resources, NOMS
2 Resignation
Resignation – Notice Periods and Notification:
2.1 Notice must be given in writing to the line manager who must complete and send the appropriate notification to Shared Services as soon as possible to ensure that adjustments to pay and superannuation can be made, thus preventing under/over payments.
2.2 Staff below Band 9 who decide to leave the service are required to give at least one month’s notice.
2.3 Staff at or above Band 9 are required to give at least 3 months notice of resignation, except where they were already in post in one of these grades/pay bands on the 1st April 1990, in which case they are required to give one month’s notice only.
2.4 Staff subject to casual appointments are required to give a minimum of five weeks’ notice.
Withdrawal of Resignation:
2.5 Staff do not have a right to withdraw notice of resignation, although line management will consider any such request sympathetically. Where withdrawal of resignation is accepted by line management, the appropriate notification must be completed and sent to Shared Services as soon as possible. Where this occurs on or near to the effective date of leaving, line management should contact Shared Services by telephone and then follow up with the completed formal notification the same day.
Resignation during Sick Absence:
2.6 An employee who resigns during sick absence or who commences sickness absence during notice of resignation will be allowed paid sickness absence for the period of notice, subject to the normal provisions for the payment of sick pay, and providing the period of sickness absence does not extend beyond the notice period.
Resignation during Maternity, Paternity/Maternity Support and Adoption Leave:
2.7 An employee who resigns during a period of maternity, paternity/maternity support, or adoption leave is required to give the period of notice required within their letter of appointment and as set out in paragraphs 2.2 to 2.4. There are additional considerations in respect of potential repayment of any contractual maternity, maternity/paternity support, or adoption pay received. These are set out in each of the relevant policies.
Resignation for Domestic or Health Reasons:
2.8 Where it is known that a member of staff feels it necessary to resign for domestic or health reasons that may be considered to be short-term problems, consideration should be given as to whether there are any possible alternatives to resignation available e.g. a working pattern change or period of unpaid absence. Additional support and advice can also be obtained through Occupational Health and/or referral for counselling. Alterations to working patterns and other attendance variations are subject to the normal application and approval procedures.
3. Termination
3.1 The minimum period of notice that must be given for termination of appointment depends on the continuous service between the date the individual started work with NOMS and the date on which notice is given. Any reckonable continuous service with other Government Departments and Agencies must be included in the calculation of the notice period.
3.2 Where the minimum period of notice cannot be given, staff will be paid compensation in lieu of the unexpired period of notice. This does not apply:
· where the person leaves voluntarily with the agreement of NOMS before the end of the period of notice;
· where the person is dismissed on disciplinary grounds where there is no automatic right to a period of notice;
· where the person is summarily dismissed as the result of disciplinary proceedings or otherwise justifiably at common law;
· to staff on those fixed-term appointments which do not expressly provide that in practice such notice will be given if the employment is terminated prior to the maximum period of employment fixed by the contract, for whom separate compensation may be payable under the Civil Service Compensation Scheme.
Please note that NOMS will follow the appropriate terms under the CSCS for staff exiting underCSCS arrangements.
3.3 The minimum periods of notice set out in paragraph 3.4 apply to staff whose appointment ends because of:
· Retirement on age grounds;
· Dismissal on grounds of inefficiency;
· Whose probationary appointments are terminated;
· Expiry of a Fixed Term Appointment.
3.4 The minimum periods of notice are as follows:
Staff with less than four years’ service - five weeks
Staff with four or more years’ service - one week plus one week for every year of continuous service, to a maximum of 13 weeks
3.5 There is no automatic right to a period of notice for those staff who are dismissed on disciplinary grounds.
3.6 Staff subject to casual appointments must be given at least five weeks notice unless they are dismissed on disciplinary grounds.
3.7 Staff who are retired on medical grounds will be given the period of notice set out in paragraphs 3.4 to 3.6 subject to the following minimum periods:
· Five weeks during probationary service. This may be extended by up to a further three weeks where the member of staff is considering an appeal;
· Nine weeks in other cases, unless a shorter period is agreed.
4. Retirement
4.1 This section sets out the policy on age retirement. The policy sets out the rules relating to the minimum retirement age, the normal retirement age (prior to its withdrawal on 1 October 2011) and arrangements beyond the normal retirement age. Please note that transitional arrangements apply to staff who have been given notification before 6 April 2011 that they will be retired on the basis of age. Please see paragraphs 4.9 to 4.12. Members of staff who are subject to Agenda for Change terms and conditions are not covered by the age retirement provisions set out in this policy and should refer to the separate Agenda for Change retirement provisions.
Minimum Retirement Age (Pension Age):
4.2 The minimum retirement age of any member of staff is the earliest age at which staff who are members of the Principal Civil Service Pension Scheme (PCSPS) can retire with immediate payment of superannuation benefits without them being reduced because of early payment. This is referred to as the ‘Pension Age’ by the PCSPS. The Pension Age varies depending on the grade and date of joining the Civil Service.
4.3 The Pension Age is usually 60 for members of Classic, Classic Plus or Premium, 65 for members of NUVOS, or 55 for Operational Staff who have an entitlement to reserved rights under the 1987 ‘Fresh Start’ arrangements.
4.4 Staff may choose whether they retire at the relevant minimum retirement age or to continue working. Members of staff must submit completed notification of retirement to Shared Services if they intend to retire at their minimum retirement age or at any time after this (see paragraphs 4.25 and 4.26 for notification procedures).
4.5 The Service will advise staff when they are approaching the minimum retirement age applicable to their grade and date of joining the Civil Service. Notification will be sent by Shared Services a minimum of six months before the minimum retirement date. Staff who decide to continue working beyond their minimum retirement age will receive no further notification of their eligibility to retire and receive superannuation benefits.
4.6 Staff who are members of a partnership pension account can draw their partnership pension at any time between the ages of 55 and 75. Further information is available on the Civil Service Pensions website (see paragraphs 4.49 and 4.50 for details).
Removal of the Normal Retirement Age:
4.7 The Service will continue to operate a normal retirement age of 65 years for Prison Officer grades (Band 3 – Band 5) who will attain that age on or before 30 September 2011. Staff in these grades who will not attain 65 years of age on or before 30 September 2011 will not be subject to a normal retirement age. However, transition arrangements apply. Please see paragraphs 4.9 to 4.12. There is no longer a normal retirement age for staff in any other grade.
4.8 Staff who are not subject to a normal retirement age can choose to continue to work beyond their minimum retirement age until they decide to retire or leave NOMS for any other reason. There are no variations to HR policies for those staff who are working beyond their minimum retirement age. In particular, Attendance, Conduct and Discipline, and Performance will be managed in accordance with the normal policies.