1 V1.2 March 2017

Leavers Policy

Including Exit Interview Procedure and Leaver’s Questionnaire

Version No

Author Date Comments Approved by

V1.0 Vickie Elston

25-05-16 First draft

V1.1 Vickie Elston

20.01.17 Incorporation of comments from NNE, NW, City, M&A, N&S and NHIS.

V1.2 Vickie Elston

08.02.17 Incorporation of comments from HR ArdenGem and NHIS.

Governing Body March 2017

RCCG/GB/17/051

2 V1.2 March 2017

Reader information

Reference HRXXX

Version V1.2

Title Leavers Policy including Exit Interview Procedure and Leaver’s Questionnaire

Authors/Nominated Lead Vickie Elston Governance Officer (Comms) Rushcliffe CCG

Approval Date March 2017

Approving Committee Governing Body

Review Date

Target audience All CCGs’ Staff

Circulation list All CCGs’ Staff

Associated documents N/A

Superseded documents N/A

Sponsoring Director

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Contents 1.0 INTRODUCTION ........................................................................................................ 4

2.0 STATEMENT OF INTENT .......................................................................................... 4

3.0 DEFINTIONS .............................................................................................................. 4

4.0 RESPONSIBILITIES ................................................................................................... 4

5.0 NOTICE PERIODS ..................................................................................................... 5

6.0 STAFF WHO LEAVE WITHOUT NOTICE .................................................................. 6

7.0 LEAVERS’ PROCEDURE ........................................................................................... 6

9.0 CALULATING ANNUAL LEAVE ................................................................................. 9

10.0 TERMINATION OF FIXED TERM CONTRACTS ........................................................ 9

11 RETIREMENT ...........................................................................................................10

12 DEATH IN SERVICE .................................................................................................10

13 RETENTION OF LEAVER’S HR FILES .....................................................................10

14 SMART CARDS .........................................................................................................11

15 EQUALITY IMPACT ASSESSMENT .........................................................................11

16 MONITORING COMPLIANCE AND EFFECTIVENESS .............................................11

17 REFERENCES AND ASSOCIATED DOCUMENTS ..................................................12

18 APPENDICES ...........................................................................................................12

APPENDIX A MANAGERS CHECKLIST FOR LEAVERS ....................................................13

APPENDIX B TEMPLATE LETTER TO ACKNOWLEDGE RESIGNATION ..........................16

APPENDIX C TEMPLATE LETTER FOR NON-RENEWAL - FIXED TERM CONTRACT ....18

APPENDIX D CALCULATING ANNUAL LEAVE FOLLOWING RESIGNATION OF

EMPLOYMENT ....................................................................................................................19

APPENDIX E EXIT INTERVIEW PROCEDURE ...................................................................21

APPENDIX F LEAVERS QUESTIONNAIRE ........................................................................22

APPENDIX G RETENTION OF LEAVER’S PERSONEL FILES ...........................................28

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1.0 INTRODUCTION

1.1 Rushcliffe Clinical Commissioning Group (CCG) recognises that employment may be

ended for a variety of purposes. If handled effectively it can reduce any negative impact caused by such actions whether ending of employment is initiated by the employee or the CCG.

1.2 The CCG is keen to monitor and evaluate the reasons why employees leave their

employment in order to identify trends and percentage turnover figures and in doing so determine where action may be taken to try and reduce turnover rates.

2.0 STATEMENT OF INTENT

2.1 The CCG recognise their duty of care to ensure a consistent and proactive approach

to managing the process of ending employment contracts for staff leaving the CCG and ensuring compliance with current legislation.

2.2 The policy will apply to all employees who hold an employment contract with the

CCGs through either a permanent or fixed term contract. Additionally, it will also apply to interim staff where applicable to their relevant terms of engagement, specifically in the area of recovery of CCG property and equipment at the end of a contracted assignment.

3.0 DEFINTIONS

The following definitions apply to this policy; 3.1 Resignation

For the purposes of this policy resignation includes an employee’s request to leave, including Retirement.

3.2 Employee

For the purposes of this policy employee includes individuals who hold an employment contract, individuals who hold a contract for services and interim staff contracted to undertake duties on behalf of the CCG. This includes individuals engaged in permanent or fixed term on full or part time hours.

3.3 Interim

This term is generally applied to those working as a self-employed contractor or through an agency on the basis of a contract of service.

4.0 RESPONSIBILITIES

4.1 The CCG will ensure that:

All employees whose employment with the CCG ends will receive the correct period of notice and/or payment in lieu of notice if appropriate.

All staff leaving employment with the CCG are invited to attend an exit interview.

All of its property and equipment is securely recovered from employees who are leaving employment including staff ID badges and any security access passes.

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The procedural mechanisms for the ending of employment are handled in a sensitive, professional and timely manner.

Exit interview data is reviewed and used, where possible, by the Senior Management Team to inform improvements to service delivery.

4.2 The Line Manager is responsible for:

Ensuring that the leaver’s process is carried out in accordance with the Leaver’s Policy. Please refer to section 7.

Liaising with Human Resources if they are concerned about an employee’s reason for leaving, before acknowledging and accepting a resignation. Ensuring employees on a fixed term contract are informed if their contract is coming to an end in a timely manner and are made aware of suitable vacancies within the CCG.

Ensuring that an appropriate handover of work is completed for all staff. Additionally, Line Managers should ensure that all progress notes are up to date and outcomes completed prior to end of employment where reasonably practicable. Informing NHIS of all leavers to ensure user accounts are closed down, this should normally be on the planned leaving date.

4.5 The Employee is responsible for:

Notifying their Line Manager in writing of their intention to resign from post giving the appropriate notice period as detailed in their contract of employment.

Agreeing a mutually convenient appointment for an exit interview (not mandatory) prior to leaving the CCG.

Returning all CCG property to their Line Manager by their last day – see Appendix A for full details.

Reporting any lost, stolen or damaged property immediately to their Line Manager.

Ensuring an appropriate handover of any outstanding workload is carried out, including passing any notes or files to their Line Manager.

Where possible, using all outstanding accrued annual leave prior to leaving the CCG. 4.6 Human Resources are responsible for:

Notifying managers of any resignations submitted directly to Human Resources.

Providing advice and guidance to managers and staff on the appropriate interpretation of this policy and guidance.

Follow up action in respect of exit interviews if required

Carrying out an exit interview with the employee if requested

Receiving the Termination Form to ensure appropriate governance procedures have been implemented

(If not an ESR site) Processing the Termination in conjunction with payroll, ensuring that employees are terminated on the correct date and that employees are not over or under paid. Recovering payment for any overtaken annual leave.

5.0 NOTICE PERIODS

Employees who wish to resign from their post should give the required period of notice in writing to their Line Manager. The resignation letter should detail the effective date of resignation and the date of the individual’s last working day, if this is different. A shorter period of notice may be negotiated with the appropriate manager if it is in the interests of the service.

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BAND NOTICE PERIOD

1-4 1 month

5-7 2 months

8a – d 3 months

Bands 9 6 months

5.1 Unless a contract states otherwise, notice can be given on any day of the week. The

notice period runs from the start of the day following the day on which the notice was given e.g. if a month’s notice is given on a Monday, the period of notice will begin on the Tuesday and will expire after one month.

5.2 Normally, an employee’s last day in service will be the last day of the notice period. If

the employee uses any accrued annual leave immediately prior to their last day this will not affect their service end date.

5.3 Whilst an employee is working their notice, the CCG expects the employee to

continue to conduct themselves in an entirely appropriate manner, and uphold the high standards of performance required of employees.

5.4 If an employee’s performance during the notice period falls below the required

standards, the CCG may address this as a performance or disciplinary matter in line with the relevant CCG policies.

5.5 During the notice period, the CCG may adjust an employee’s duties, contact with

providers, patients or stakeholders, access to information or resources and impose any other reasonable practice, to better facilitate a handover of work or to protect business interests.

6.0 STAFF WHO LEAVE WITHOUT NOTICE

6.1 Staff who leave without giving notice or leave before the end of their notice period

without the permission of the CCG will be regarded as taking unauthorised absence and will not be entitled to be paid for the day(s) not worked within their contracted notice period.

6.2 If, in exceptional cases, the CCG decides to waive the need for an individual to work

their normal notice period this must be agreed with the Line Manager and a Human Resources Business Partner. Payroll must also be notified via the leavers form. The manager’s checklist must still be fully completed in this circumstance.

7.0 LEAVERS’ PROCEDURE

Acknowledging a resignation

7.1 Employees who resign from their post should give written notice to their Line Manager in accordance with this policy and the terms of their individual contract of employment.

7.2 The Line Manager should confirm acceptance of the resignation letter using the

acknowledgement letter (Appendix B) within 5 working days (after seeking HR advice if appropriate) and should confirm the employee’s last day of service. A leaver’s

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questionnaire (Appendix F) should be sent to all employees with the acknowledgement letter.

7.3 The Line Manager should ensure a copy of the resignation and acknowledgement

letter is retained on the employee’s personal file 7.4 The CCG reserves the right to instigate or continue with a disciplinary investigation/

hearing involving an employee who resigns from the CCG in line with CCG policy. The employee will be notified of this decision and given every opportunity to play a full part in the proceedings (refer to the Disciplinary and Grievance Policy for further information).

Completing a leavers form 7.5 The Line Manager should complete a Termination Form (HR4) as soon as possible

after acknowledging the resignation letter, in accordance with the payroll schedule in order to avoid any over payment of salary.

7.6 The Line Manager should record any outstanding/over payment of annual leave on

the Termination Form (see section 8) 7.7 The Termination Form should be emailed to Human Resources. A copy will also be

retained on the personal file. 7.8 For staff on annualised hours/term time contracts, the Line Manager must discuss the

hours worked/paid with the employee. If these cannot be equalised prior to leaving, the over/under payment must be recorded on the Leaver’s form.

7.9 Any outstanding expenses including travel should be submitted in the normal way.

Any outstanding payments will be made the month after the employee’s termination date.

7.10 If an employee resigns and any issue of fraud is suspected, the Line Manager should

notify the Local Counter Fraud Specialist immediately and their Human Resources Business Partner.

Exit Interview 7.11 Line Managers must offer all leavers the opportunity to attend an exit interview. If the

employee does not feel comfortable with their Line Manager conducting the exit interview, another Senior Manager or HR Business Partner would be made available or the leaver would be given the option to complete the leavers questionnaire and submit to Human Resources themselves.

7.12 Employees should be advised at the outset that if their exit interview contains

information that is of a serious concern to the organisation, the CCG will reserve the right to act accordingly on that information.

7.13 The exit interview process will provide tangible information for analysis in order to

identify recruitment and retention issues or common themes which result in resignation or ending employment. It will also help gain positive feedback and identify areas of good practice which can be shared across the organisation.

7.14 Analysis of exit interviews will help inform the CCG’s recruitment and retention

strategy with a view to continually improving the employee experience within the

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CCG. Additionally, it will help to inform the future planning and organising of work within the CCG, in particular the specific core roles and responsibilities of each post. Individual employee identity will be withheld unless the employee is notified differently by their line manager or Human Resources.

Leavers Checklist and & Returning CCG Property

7.15 Line Managers, or their nominated deputy, must arrange to meet with all leavers at the earliest convenience to complete the Manager Checklist (Appendix A).

7.16 The checklist may need to be completed over more than one meeting. The final

checking and sign off should be undertaken by the Line Manager or nominated deputy and employee on the leaver’s last working day.

7.17 Once fully completed and signed off, a copy of the Manager's Checklist should be

placed on the main personal file. The employee must also be given a copy of the form.

7.18 The Line Manager or nominated deputy must ensure that they secure recovery of

all CCG property and equipment from any leaver and to disable their access to all CCG secure systems and accommodation on or before their last day, for example; ID badge, uniform, door entry fobs or cards, keys and any other property / IT equipment. This must be recorded on the leaver’s checklist.

. 7.19 Should a leaver fail to return any item of CCG property, the Line Manager or

nominated deputy should immediately report this to the CCG’s Head of Governance who will advise on an appropriate course of action for recovery. This could result in non-returned property being reported to the Police as stolen.

8.0 EMAIL ACCOUNT 8.1 An NHSMail email account, along with other IT system access, need to be revoked

when a user leaves the organisation. It is the line manager’s responsibility to request this via the NHIS portal in the ‘IT Accounts’ section or via email direct to the NHIS service desk; mailto:HIS.servicedesk@notts-his.nhs.uk There are 3 options you are able to request in relation to the individual’s NHSMail email account:

DISABLE – (this is an account amendment) Used when a member of staff is on long term absence. The account can be enabled by the NHIS service desk up to 180 days, if not enabled during this time it will be automatically deleted. DELETE – Delete the email account When an email account is deleted it cannot be recreated at a later date with the same details and the emails cannot be retrieved. MARK AS A LEAVER – Releases the email account from the current organisation for joining to another organisation. If not marked as a joiner by another organisation within 30 days, it will be automatically deleted. Any emails in the mailbox will be retained, if this is not

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appropriate the email account can be released as an empty mailbox by contacting the National NHSmail Helpdesk on 0333 200 1133 or helpdesk@nhs.net. The relevant action needs to be identified on the Manager’s Checklist (Appendix 1).

9.0 CALULATING ANNUAL LEAVE

9.1 Line Managers should calculate the employees annual leave entitlement in accordance with the provisions outlined in the CCG’s Annual Leave and Special Leave Policy

9.2 Any outstanding annual leave should be taken prior to the agreed last day of

service and should not extend the employees notice period.

9.3 If the employee is unable to take all their annual leave prior to their leaving date due to service provision or individual circumstances, Line Managers must arrange for payment for outstanding annual leave to be made with final salary payment via the Leavers Form.

9.4 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, this should be recorded on the Leavers Form so the equivalent amount of pay can be deducted from the employee’s final salary payment.

9.5 In calculating the annual leave due on termination of employment, account must

be taken of the employee's normal working days each week and also public holidays. Examples are shown in Appendix D.

10.0 TERMINATION OF FIXED TERM CONTRACTS

Process for ending a fixed term contract

10.1 Line Managers should seek advice from Human Resources in relation to employment rights if an employee has been on a fixed term contract for a certain amount of time.

10.2 Line Managers should meet with any employee whose contract which is due to

expire and is not being renewed. A sample letter to invite the employee to attend a meeting can be found in Appendix C.

10.3 The meeting must take place within sufficient time to allow for the employee to be

issued with their contractual notice. 10.4 The purpose of the meeting should be to:

Confirm the end date of the contract

Give the employee an opportunity to discuss this decision and raise any relevant issues

Advise the employee of any other vacancies available in the CCG and how to access applying for them

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10.5 Following the meeting the Line Manager must write to the employee confirming the outcome.

10.6 If the fixed term contract is related to a particular business need, then the manager

should be in a position to show that the termination of employment has come about as a result of the end of that need and is required to include this in a letter informing the employee of the termination of service.

10.7 The outcome letter to the employee should include information regarding their right to appeal against the decision to terminate their employment.

10.8 Line Managers must still follow the Leavers procedure described in section 7

excluding the acknowledgement of resignation. 10.9 Line Managers should ensure that employees on a fixed term contract which is

coming to an end have access CCG vacancies.

11 RETIREMENT

11.1 Employees wishing to retire must follow the normal process for resignation. The notice period requirement may be increased in line with the pension scheme guidance to allow the calculation and receipt of any lump sum and retirement benefits on leaving.

11.2 Line Managers should still follow the leaver’s process for retirees including an exit

interview. 11.3 There is no automatic right to return to employment following resignation for the

purpose of retirement. Those employees wishing to retire and take their pension and then return to work for the CCG should discuss options for return with their line manager and may be subject to a selection process.

12 DEATH IN SERVICE

12.1 Benefits are only payable when an employee who dies in service was a member of the NHS Pension Scheme at the time of their death and has contributed to the scheme.

12.2 The Line Manager should work with NHS Pensions and their HR Business Partner to

ensure that the appropriate forms are completed to ensure that pension payments are paid appropriately in accordance with the members wishes and NHS pensions guidelines.

13 RETENTION OF LEAVER’S HR FILES

13.1 The retention of leaver’s files should be in accordance with the Department of Health Records Management NHS Code of Practice (see Appendix H).

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13.2 Files should be stored and retained in a secure location or archived following the CCG arrangements.

13.3 Files which have reached the day by which they are no longer required to be kept

must be destroyed by confidential means such as shredding or by disposal through locally arranged approved confidential waste management processes.

14 SMART CARDS

14.1 When a member of staff leaves the CCG but is remaining in NHS employment they will take their smartcard with them. The Line Manager must inform the Registration Authority Manager that the employee has left the CCG but stayed within the NHS. The Registration Authority Manager will deactivate the profile via ESR and PBAC rendering the card inoperative until reactivated at another NHS site.

14.2 When a member of staff leaves the CCG and is leaving the NHS they should

return their smartcard to their Line Manager who will record that the card has been received on the manager’s checklist (Appendix A). The Line Manager must then return the smartcard to the Registration Authority Manager who will remove the account from the system.

14.3 Loss, disclosure or suspected theft of a smartcard should be reported to the

Registration Authority Manager immediately. The Registration Authority Manager will deactivate the smartcard and issue a new one. An incident report must be created and forwarded by the Line Manager as appropriate.

15 EQUALITY IMPACT ASSESSMENT

15.1 All relevant persons are required to comply with this document and must demonstrate

sensitivity and competence in relation to the nine protected characteristics as defined by the Equality Act 2010. If you, or any other groups, believe you are disadvantaged by anything contained in this document please contact the Equality and Diversity Lead who will then actively respond to the enquiry.

16 MONITORING COMPLIANCE AND EFFECTIVENESS

16.1 Monitoring arrangements for compliance and effectiveness will be carried out by the

Senior Management Team. 16.2 Human Resources will be responsible for the analysis of data captured in the exit

interviews. 16.3 Employee turnover will be reported in the Workplace Report to the CCG Governing

Body. Individual employee identity will be withheld unless the employee is notified differently to their line manager or Human Resources.

16.4 An internal audit will be undertaken by Human Resources on an annual basis looking

at return rates for leaver’s questionnaires against number of staff who have left.

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Additionally, an audit will be undertaken by Security Management Services to identify any security risks in relation to the return of CCG property and equipment.

17 REFERENCES AND ASSOCIATED DOCUMENTS

17.1 References

Agenda for Change Terms and Conditions of Service Equality Act 2010 Employment Act 2002 and 2008 Employment Relations Act 1999 and 2004 Fixed Term Employees (Prevention of less favourable treatment) Regulation 2002 Employment Rights Act 1996 NHS Pensions Agency Regulations Records Management Code of Practice 2016

17.2 Cross reference to other procedural documents Sickness Absence Policy Annual Leave and Special Leave Policy

Standards of Business Conduct Policy Disciplinary Policy Grievance Policy Fraud, Corruption and Bribery Policy Recruitment and Selection Policy Retirement Policy Risk Management Policy and Procedure Flexible Working Policy

All current policies and procedures are accessible in the policy section of the public website.

18 APPENDICES

For the avoidance of any doubt the appendices in this policy are to constitute part of the body of this policy and shall be treated as such although they may be updated to ensure continuing relevance without being subject to the full ratification process. Appendix A Managers checklist for leaver’s Appendix B Template letter to acknowledge resignation Appendix C Template letter for non-renewal of a fixed term contract Appendix D Exit interview process Appendix E Leaver’s questionnaire and process Appendix F Records Management Code of Practice 2016 Appendix G Annual Leave Calculator

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APPENDIX A MANAGERS CHECKLIST FOR LEAVERS

This checklist is to be completed for all leavers including those on fixed term or temporary contracts, secondment to the CCG or contracted workers e.g. interims or temporary staff. The check list should be completed in all cases whether due to resignation, retirement, redundancy end of contract or dismissal. For any exceptional cases please seek advice from Human Resources. A signed copy of the form should be retained on the personal file. LEAVER NAME: DEPARTMENT:

DATE OF LEAVING/ DATE OF DEPT TRANSFER:

CURRENT LINE MANAGER: NEW MANAGER (IF APPLICABLE):

NB: Please mark end column N/A if the listed item is not applicable to the post.

ACTION DATE MANAGER’S INITIALS/COMMENTS

Leave

r’s P

roced

ure

Manager acknowledges resignation or retirement, and arranges a date to conduct an exit interview.

Manager ensures employee is sent a leaver’s questionnaire.

Manager completes Termination Form (HR4) with employee, including calculating annual leave allowance.

Manager completes exit interview with employee and returns completed paperwork to be retained in the personnel file.

Eq

uip

men

t

Remote Access – Agree arrangements for handover and return and sign when all received. Notify NHIS to disable pin code access with effect from leaving date.

Laptops/Ipads – Agree arrangements for handover and sign when all received. Notify NHIS to wipe and reconfigure. This may also involve decommissioning considerations if the equipment cannot be supported going forwards.

IT Hard and Software - USB stick, removable media, SD cards, information storage devices, copies of programmes and CCG issue devices. Agree arrangements for handover and return and sign when all received.

Mobile Phone, Blackberry, pager, charger, headphones and any accessories - Agree arrangements for handover and return and sign when all received.

Equipment supplied by the Trust to carry out role – please list. Agree arrangements for handover and return and sign when all received. Check staff inventory for assets allocated

Office/Desk telephone – Arrange to amend telephone lists and update any voicemail messages.

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S

ecu

rity

Car Park Permit - Agree arrangements for handover and return and sign when all received.

Keys, entry cards and fobs and door access codes - Confirm return of security access resources and arrange for reprogramming of door codes if applicable.

ID Badge – Agree arrangements for handover and return and sign when all received. ID badge must not be posted.

Computer Access – e-mail, login, system access. Manager to notify local organisation administrator to ensure all accounts are expired from leaving date. Manager to identify if account is to be disabled, deleted or marked as a leaver.

Owner of Mailboxes/Distribution Lists – Identify if employee is an owner and email local organisation administrator to remove and assign a new owner.

Passwords – Leavers should ensure that they pass to their Line Manager or successor any administrator or database passwords for key information systems.

Smartcards - Confirm process detailed in section 13 has been followed.

Official Trust Branded Ink Stamps/Business cards - Agree arrangements for handover and return and sign when all received.

Go

vern

an

ce

Shared Resources (Files and Folders) - Agree arrangements for handover and return and sign when all received.

Handover – Manager to arrange to meet with employee to arrange full handover of all outstanding actions and to ensure where appropriate actions are closed.

Progress notes - confirm all progress notes are complete and up to date.

Shared Resources – Ensure that files and folders are retrieved, moved to a shared drive or deleted.

Emails – the employee should ensure that any emails that may be required by the organisation are transferred to a shared drive or forwarded to the successor/line manager.

Organisational Chart – Inform appropriate member of staff to update organisational chart.

Fin

an

ce

Relocation Expenses - If employee is leaving after less than 2 years and has received relocation expenses, manager to notify payroll immediately

Training Expenses – If employee has received training fees which require recovery if the employee leaves within an agreed minimum period of service, manager to notify payroll to arrange deduction from final salary

Petty Cash Holders – Manager to notify Finance Manager of leaver and ensure return of cash boxes, keys and remaining cash float.

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Authorised Signatories – authorised signatories sheet to be amended and resent to Human Resources.

Lease Car Holder - Manager to notify Finance Manager of leaver and lease car management company.

Managers Declaration I confirm that I have fully completed this checklist with the above named employee in line with CCG Policy and that the instructions within have been carried out in full. Name: ________________ Signature: ________________ Date: ________ Employees Declaration I confirm that I have returned all CCG property and equipment held by me. I declare the information given on this form is complete and correct. I understand that if I knowingly provide false information this may result in disciplinary action and I may be liable for prosecution and civil recovery proceedings. I consent to the disclosure of information within this form to and by the CCG and the Local Counter Fraud Specialist purposes of verification and prevention, detection and prosecution of fraud. Name: ________________ Signature: ________________ Date: _________

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APPENDIX B TEMPLATE LETTER TO ACKNOWLEDGE RESIGNATION

Dear Name ACKNOWLEDGEMENT OF RESIGNATION Thank you for your letter dated [DATE] informing me of your wish to resign from your post as [JOB TITLE] with X CCG. I acknowledge receipt of your resignation letter and confirm that taking into account your notice period of [X MONTHS] your last day of service with the Trust will be [DATE]. Your pro rata annual leave entitlement in the current leave year is [DAYS/HOURS] CHOOSE ONE OF THE FOLLOWING SENTENCES, AS APPLICABLE: As you have used up all of your pro rata annual leave entitlement, your last working day and final day of service will be the same. As you have exceeded your pro rata annual leave entitlement for this year the extra number of DAYS/HOURS taken will be deducted from your final salary payment. As it has been agreed that you will be paid your remaining [X DAYS/HOURS] of leave before your last working day, this will also be your final day of service. As you have [X DAYS/HOURS] annual leave remaining, at your last working day will be [DATE] and your last day of service will be [DATE]. Exit Interview If attending exit interview We have agreed to meet on at [TIME] at [VENUE] in order that we can conduct an exit interview. We will also complete a leavers form for payroll purposes when we meet in order to ensure correct payment of your final salary. As an organisation we are very keen to understand your experience of working in the CCG and your reasons for leaving. Your comments will help us to highlight any areas concern in order to improve the working lives of our staff. If you would prefer to meet with another manager or a representative from the HR team to carry out your exit interview, please let me know. I will also arrange a separate meeting with you on your last working day in order to complete a leaver’s checklist to ensure that you have the opportunity to return any outstanding CCG property or equipment in your possession. Please refer to appendix 1 of the CCG’s Employee Leaver’s Policy for further details. All exit data will be analysed. Information data gathered will be reported on to the Governing Body on a quarterly basis and may be shared, where pertinent, with other relevant parties. Information will be kept anonymous where possible and appropriate.

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Following recording and analysis, exit interviews will be appropriately stored and destroyed in line with Department of Health Records Management NHS Code of Practice and the Data Protection Act 1998 Or if not attending exit interview I understand that you have chosen to decline the opportunity to attend an exit interview with a manager or a member of the Human Resources team. Finally, I would like to thank you for your service with X CCG and I wish you every success for the future. Yours sincerely NAME OF LINE MANAGER Job Title Copy: Name, Job Title, organisation Personal File Enc: Leaver’s Questionnaire

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APPENDIX C TEMPLATE LETTER FOR NON-RENEWAL - FIXED TERM CONTRACT

Dear Name FIXED TERM CONTRACT As you are aware, your fixed term post as [JOB TITLE] in the [DEPARTMENT NAME] is due to expire on [DATE]. At the present time, X CCG is not in a position to renew or extend this contract because [STATE APPROPRIATE REASON]. I therefore, invite you to attend a meeting on [DATE] at [TIME] in [VENUE] to discuss the proposed cessation of your fixed term contract. The meeting will be attended by [MANAGERS NAME]. The purpose of the meeting will be to discuss the reasons why the contract is ending and explore any possible alternative options such as redeployment. You will also have the opportunity to ask any questions or raise any relevant issues. The final decision regarding your contract will take into account any representations you make at this meeting and you have the right to be accompanied by a work colleague, a representative of a trade union or an official employed by a trade union. I would be grateful if you could confirm your attendance at the meeting by contacting [me/my secretary] on the above telephone number. If you have any questions in the meantime, please do not hesitate to contact me. Yours sincerely NAME Job Title Enc (if appropriate) Copy: Name, Job Title, Organisation

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APPENDIX D CALCULATING ANNUAL LEAVE FOLLOWING RESIGNATION OF EMPLOYMENT

When an employee resigns from post they will generally have a last working day and a last day of service. Sometimes this date will be the same if there is no outstanding annual leave to be taken but in many cases it will be different. These dates are defined as; Last working day - the last day an employee reports for a shift or duty. Last day of service - the last working day plus any outstanding annual leave. The last working day and last day of service should be calculated as detailed in the following examples. Calendar used for examples

Example One – An employee who works five days a week, Monday - Friday

Employee resigns giving one month’s notice to leave on Thursday 28 July

Annual leave outstanding at Thursday 28 July = eight days

Last working day will therefore, be Wednesday 20 July

Last day of Service will therefore, be Thursday 28 July Example Two – An employee who works three days per week, Monday, Tuesday and Wednesday

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Employee resigns giving one month’s notice to leave on Friday 29 July

Annual leave outstanding at Friday 29 July 2016 = eight days

Last working day will therefore, be Monday 11 July

Last day of Service will therefore, be Friday 29 July Example Three – Employee has no outstanding annual leave

Employee resigns giving one month’s notice to leave on Friday 29 July

Annual leave outstanding at Wednesday 29 June 20126 = nil days

Last day of service will therefore, be Friday 29 July Example Four – Employee has taken more annual leave than accrued up to last working day.

Manager must record on the leavers form the days/hours of excess leave taken

Payroll will deduct any excess leave taken from the final salary payment

Using example one above, if the employees last working day was Thursday 28 July but, they had taken two days excess annual leave, they would receive pay up to Tuesday 26 July. Example Five – When employment is being terminated by the CCG The manager should notify the employee using the following wording (using example one above); “Your employment has been terminated on Thursday 28 July and this date will be regarded as the last day of employment with this Trust”

“In addition you are entitled to eight days annual leave and this will extend your service to Tuesday 9 August”

“You are entitled to eight weeks‟ notice on full pay”

“You have the right to appeal against this dismissal and should you wish to lodge an appeal you should write to the Director of Human Resources within 16 working days of receiving this notification, stating the grounds for your appeal” If dismissal was on the grounds of ill health the following should be added;

“The notice will be paid as a lump sum in compensation for loss of employment and will be without deduction of income tax or National Insurance. This period of notice will not extend your service with the CCG” Please note: Service is not extended by the number of weeks‟ notice; neither will annual leave be accrued in respect of notice paid as a lump sum.

21 V1.2 March 2017

APPENDIX E EXIT INTERVIEW PROCEDURE

Employee resigns from their post in writing for reason of resignation including retirement or employment contract is ended by the employer. If the ending of employment is due to the expiry of a fixed term or temporary contract then the Line Manager should meet with the employee as per section 9 of the Leavers Policy. Employee to ensure that their annual leave card is included with their resignation letter.

Line Managers must seek advice from HR if concerned about the reason for resignation.

The Line Manager writes to the employee (Appendix B) to acknowledge their resignation, confirm any outstanding /exceeded annual leave, invite them to attend an exit interview and to enclose a copy of the leaver’s questionnaire for completion.

The Line Manager must arrange mutually convenient time and date for the interview to take place in a quiet, private and accessible venue.

The employee should complete the leaver’s questionnaire and bring it with them to the exit interview for discussion.

If the employee declines to attend an exit interview with their line manager or another manager in their service, the Line Manager should offer the opportunity for the exit interview to be held with a member of the Human Resources Department.

If the employee still declines to attend an exit interview the Line Manager should notify the Human Resources Department and the employee should send their leaver’s questionnaire directly to Human Resources.

At the exit interview the Line Manager should state the purpose of the interview as follows;

Gain an understanding of employees‟ experience of working for the CCG

Establish reasons for leaving

Improve the working lives of employees of the CCG.

The Line Manager must advise the employee that if the exit interview contains information that is of a serious concern to the organisation, or warrants further action in line with CCG Polices the information disclosed will need to be shared with other parties and may lead to further investigation.

The exit interview format should be explained to the employee as follows;

Discuss and agree how long the meeting will take

The completed questionnaire will be used as the framework for discussion

The questionnaire can be completed at the meeting if required

Additional notes can also be recorded during the meeting if applicable

The Line Manager must notify the employee that the information gathered at the meeting will be logged and recorded centrally by Human Resources and used to inform the Governing Body of leaver’s outcomes. Employee identity will remain anonymous for this purpose unless their manager or HR notifies them otherwise.

Completed exit interview paperwork and leaver’s questionnaire is to be retained in their personnel file with a copy provided to the employee.

The Line Manager should agree a timescale for providing any reply if the employee raises issues or concerns requiring response.

Leaver’s questionnaires will be analysed. Following recording and analysis questionnaires will be appropriately stored and destroyed in line with Department of Health Records Management NHS Code of Practice and the Data Protection Act 1998.

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APPENDIX F LEAVERS QUESTIONNAIRE

Leaver Questionnaire

Confidential

1. About you

Full name: Job title:

Base location: Line manager:

Service line / dept: Start date:

Leaving date:

Contract Type How are you completing this questionnaire?

Temporary / Fixed Term - full time With your manager

Temporary / Fixed Term - part time With a HR Business Partner

Permanent full time By yourself

Permanent part time

Staff Group Ethnic Origin

Admin and clerical White – British Black or Black British – Caribbean

Medical White – Irish Black or Black British – African

Nursing White – any other white background Black or Black British – Other

Pharmacy Asian or Asian British – Indian Other Ethnic Group – Chinese

Other, please specify: Asian or Asian British – Pakistani Other Ethnic Group – Other

Asian or Asian British – Bangladeshi Mixed – White & Black African

Mixed – White & Black Caribbean Mixed – any other background

Mixed – White & Asian I do not wish to disclose

Religion

Atheism Buddhism

Christianity Hinduism

Time in current post Islam Jainism

Less than 6 months Judaism Sikh ism

6-12 months Other I do not wish to disclose

1-2 years

2-5 years Gender

More than 5 years Male Female

Transgender I do not wish to disclose

Sexual Orientation

Heterosexual Gay

Lesbian Bisexual

I do not wish to disclose

Length of time employed in NHS Length of time employed by Arden and GEM or predecessor

organisation

Less than 2 years 1 Less than 6 months

2-5 years 2 6- up to12 months

Over 5 -10 years 3 1-2 years

Over 10 years 4 Over 2 years-5 years

More than 5 years

23 V1.2 March 2017

2. Reason for leaving Reasons for leaving If the reason was dissatisfaction, please indicate:

Alternative employment Training

Promotion Relationship with colleagues

Career development / promotion Relationship with manager

Further Education/Training Pay

Moving out of area Staffing levels

Retirement Career prospects

Personal reasons Working environment

Caring responsibilities Job content

Ill health Too much work

End of Temp/Fixed Contract Too little work

Dissatisfaction Working hours/pattern/rota

I do not wish to disclose Travel to work

Other (please state below) Other (please state below)

I do not wish to disclose

Please detail any additional information after selecting a reason above

24 V1.2 March 2017

If the reason for leaving was personal or related to

maternity/caring leave, does this decision involve lack

of facilities such as:

Please indicate where your new employment is,

if applicable

Care support Other Commissioning Support Unit

Career break NHS Organisation

Job share Private sector – healthcare

Flexible hours Public sector - other

Private sector - other

College/university

Not working

Voluntary sector

3. Management arrangements Does your current job description

accurately represent the duties

expected?

Were your duties clearly defined?

Did you feel you had

adequate support from your

manager?

Yes Yes Full support

No No Adequate support

Little support

No support

Did your manager

Always Usually Seldom Never

Show fair treatment?

Give praise for work well done?

Deal promptly with complaints/problems?

Give help and encouragement when needed?

Explain the job to you properly to enable you to perform?

Inform you as to progress?

Listen to your suggestions/criticisms?

Conduct formal performance reviews?

Please rate the following

Very high High Fair Poor

Morale in your team

Morale in your department/service line

Morale within Arden and GEM

Were your views taken into consideration by your

manager?

Were you given the opportunity to discuss work issues

with your manager?

Always As they arose

Generally As part of your performance reviews

Occasionally As part of a 1-to-1 meeting

Never Never

Did you feel you were informed on: Do you feel Arden and GEM CSU has a good reputation

as an employer?

Arden and GEM -wide issues

(through Team Briefing/Department

Meetings)

Yes No Yes

Departmental issues Yes No No

(Tick)

Male 1

Female 2 3. How are you completing

this questionnaire?

25 V1.2 March 2017

4. Pay & Facilities

How do you feel about the following

Very good Good Fair Poor

Pay for your job

Holiday entitlement

Sick pay

Pension scheme

Flexible working options

Lease car scheme

Support for carers

How do you feel about other facilities/services?

Very good Good Fair Poor

Office accommodation and equipment

Parking facilities

Meal and refreshment facilities

First aid

Security

Sports and social facilities

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5. Additional Comments

Use this page to record any additional information or expand on any of the preceding questions

27 V1.2 March 2017

Thank you for your feedback

Please return your completed form as follows: 1. To your line manager (or other nominated manager) when you attend your exit interview.

2. To the Human Resources Department, X (insert as appropriate), if you decline to attend an exit interview.

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APPENDIX G RETENTION OF LEAVER’S PERSONEL FILES

SOURCE: Department of Health Records Management NHS Code of Practice Part 2 (2nd

Edition) – Page 96 https://digital.nhs.uk/information-governance-alliance

TYPE/SUBTYPE OF RECORD

MINIMUM RETENTION PERIOD

DERIVATION FINAL ACTION

CODE

Leaver’s dossiers 6 years after individual has left Summary (ESR Record) to be retained until individual’s 70th birthday or until 6 years after cessation of employment if aged over 70 years at the time. The summary should contain everything except attendance books, annual leave records, duty rosters, clock cards, timesheets, study leave applications, training plans

The 6 year retention period is to take into account any ET claims, or EL claims that may arise after the employee leaves NHS employment, requests for information from the NHS pension’s agency etc. Claims of this nature can include periods of up to 6 years or more prior to the claim and where evidence could be needed from a number of sources, it is appropriate to retain as much as possible from the original file.

Destroy under confidential conditions See note 1

N