HRPOL41

HRPOL41

Provide Parental Leave Policy & Procedure

Page 1 of 40

Version:

V3

Ratified by: Date ratified:

Staff Partnership Forum, Finance & Risk Committee 30/11/2020

Job Title of author:

HR Business Partner

Reviewed by Committee or Expert Group

Staff Partnership Forum, Finance & Risk Committee HR Business Partner

Equality Impact Assessed by: Related procedural documents

HRPOL14 Disciplinary Policy HRPOL24 Annual Leave Policy HRPOL30 Dignity at Work Policy HRPOL31 Attendance Management Policy

Review date:

November 2023

It is the responsibility of users to ensure that you are using the most up to date document template – i.e. obtained via the intranet.

In developing/reviewing this policy Provide Community has had regard to the principles of the NHS Constitution.

Page 2 of 40

Version Control Sheet Version V1

Date July 2017

Comment Revision

January 2018

Author Status HR Business Ratified Partner – Steve Tovey HR Advisor

V2

V3

November 2020

HR Business Partner

No amendments

Ratified

Amendment via SPF & FRC

Contents 1.

Introduction .................................................................................................................. 4

2.

Policy Statement .......................................................................................................... 4

3.

Scope and Conditions of Policy ................................................................................... 4

4.

Managers Responsibilities ........................................................................................... 4

5.

Employees Responsibilities ......................................................................................... 5

6.

Ante-natal Care ........................................................................................................... 5

7.

Maternity Leave ........................................................................................................... 6

8.

Maternity Leave .......................................................................................................... 7

9.

Maternity Pay............................................................................................................... 9

10.

Keeping in Touch (KIT) Days ................................................................................ 12

11.

After Maternity Leave ............................................................................................ 13

12.

Adoption Leave ...................................................................................................... 14

13.

Ordinary Paternity Leave (OPL) ............................................................................ 15

14.

Shared Parental Leave (SPL) and Statutory Shared Parental Pay (ShPP) ............ 16

15.

Parental Leave ....................................................................................................... 18

16.

Glossary of Terms .................................................................................................. 19

17.

Awareness Raising ............................................................................................... 19

18.

Review ................................................................................................................... 19

19.

Links to Other Policies .......................................................................................... 19

Appendix 1: Flowchart ...................................................................................................... 20 Appendix 2: Notification of Pregnancy/Adoption and log of ante-natal care requests ........ 21 Appendix 3: Application for maternity/adoption leave ........................................................ 22 Appendix 4: Keeping In Touch (KIT) Day Record.............................................................. 23 Appendix 5: Application for Ordinary Paternity Leave ....................................................... 24 Appendix 6: Declaration of Return to Work ....................................................................... 25 Appendix 7: Pregnancy/Breast Feeding Risk Assessment Template ................................ 26 ............................................................................................................................................. 26 Appendix 8: Application for Parental Leave ...................................................................... 29 Appendix 9: Shared Parental Leave – maternity leave curtailment notice ........................ 30 Appendix 10: Shared Parental Leave – notice of entitlement and intention (mother) ........ 31 Appendix 11: Shared Parental Leave – notice of entitlement and intention (partner) ....... 33 EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’ ........................... 35 EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 2: .............................................. 37

1. Introduction Provide recognises the importance of the family unit and is committed to supporting employees to combine their career and family responsibilities. Provide will, where as far as is reasonably practicable, develop and maintain working arrangements that enable staff to achieve a good work-life balance.

2. Policy Statement This policy sets out the organisation and its employees’ responsibilities in complying with legislation and statutory provisions for the following: • • • •

Maternity Leave Adoption Leave Paternity Leave and Additional Paternity Leave Parental Leave

3. Scope and Conditions of Policy Provide values the contribution of all its employees and every effort is made to encourage women to return to work from maternity leave, as well as enable those employees with children to balance their work and parental responsibility through the types of leave detailed in this policy.

Provide also recognises that arrangements for cover during any period of leave, as well as arrangements for communications during this leave, are important for ensuring smooth transitions at every stage.

This policy complies with legislative requirements and the NHS Agenda for Change Terms and Conditions of Employment.

Abuse of this policy, for example, misrepresenting personal circumstances in order to secure the types of leave set out in this policy, may be grounds for dismissal and will be dealt with under the Disciplinary Policy and Procedure. Similarly, staff must not be treated detrimentally for taking such leave. Any such treatment of a staff member by another worker will constitute a potential disciplinary offence.

In applying for leave set out in this policy, staff may disclose information of a particularly personal nature. Managers are reminded of the need to treat this information with appropriate respect, sensitivity and confidentiality.

This policy applies to all employees excluding bank and zero hour workers.

4. Managers Responsibilities Managers are responsible for directing team members to the staff intranet.

All requests for time off must be considered by the line manager taking into account the organisations statutory obligations, as set out in this policy.

Managers are to remember that in many of the circumstances under this policy they will need to keep the information provided to them in strict confidence, and information will be disclosed only on a “need to know” basis and in consultation with the employee.

Managers are responsible for notifying Payroll of any periods of leave promptly, so to avoid any unnecessary overpayments.

Managers must (in conjunction with the employee and Health & Safety Manager) complete the required Pregnancy Risk Assessment documentation (Appendix 7), once they are aware an employee is pregnant. A Risk Assessment must also be carried out where an employee is returning to work, if they are continuing to breastfeed their baby, in order to identify if, and where, support or adjustments may be needed.

5. Employees Responsibilities Employees must make sure that they follow the correct procedures as detailed within this policy, when requesting time away from work.

Employees are encouraged to communicate as openly with their line manager in relation to the situations which may result in a request for leave under this policy.

Employees are expected to discuss with their line manager requests for time off, giving as much notice as possible, and taking into account service needs when booking appointments.

Employees should advise their line manager as early as possible of their pregnancy and (in conjunction with their line manager and Health & Safety Manager) complete the required Pregnancy Risk Assessment documentation. A Risk Assessment must also be carried out where an employee is returning to work, if they are continuing to breastfeed their baby, in order to identify where support or adjustments may be needed.

Employees who are pregnant are required to provide medical evidence of the Expected Week of Childbirth (EWC). This will usually be in the form of a MATB1 form provided by your Doctor or Midwife. The MATB1 must be sent to your manager by the 15th week before the EWC. If at any point after the birth during maternity/adoption leave an employee begins working for another employer, they must tell HR as soon as possible, so that they can establish how this will affect the employees Maternity pay.

If at any point after the birth during maternity/adoption leave an employee is taken into legal custody, they must tell HR as soon as possible, so that they can establish how this will affect the employees Maternity pay.

6. Ante-natal Care Once an employee has confirmed their pregnancy it is likely they will wish to access ante-natal care. This is a statutory provision in so far as employees are entitled to paid time off to attend ante-natal appointments, except the first appointment. For the purposes of this policy, paid

time off applies to all ante-natal appointments. This entitlement is irrespective of length of service.

Employees should advise their line manager of their pregnancy and complete the form in Appendix 2. This form will then be used as a record of ante-natal appointments requested.

Employees should seek permission from their line manager for time off to attend ante-natal appointments, and it is expected that employees will act reasonably when making appointments, so as not to cause any unnecessary disruption to the workplace. Line managers are requested to discuss appointment times with pregnant employees to make sure they have the ability to attend their ante-natal appointments, whilst reducing the impact on service delivery. Line managers can request to see an appointment card or letter after the first appointment.

Ante-natal care is not restricted to medical examinations and can include relaxation classes and parent craft classes advised by a GP, registered Midwife, or Health Visitor.

Employees with qualifying relationships have the right to unpaid time off for antenatal appointments. Employees must inform their line manager of these appointments with reasonable notice.

Qualifying relationships include: • The expectant father, • The spouse or civil partner of the pregnant woman, • A person in a long term relationship (including same sex) of the pregnant woman.

Employees do not need to have a length of minimum service prior to being entitled to attend these appointments.

Employees may be required to provide proof for antenatal appointments for which they require time off.

7. Maternity Leave All employees regardless of length of service are entitled to 52 weeks of maternity leave. This includes two weeks compulsory leave following the date of delivery. The pay entitlement during this period is dependent on various criteria outlined in section 8.

Maternity leave is provided as Ordinary Maternity Leave (OML) which is the first 26 weeks of maternity leave, and Additional Maternity Leave (AML) which covers the following 26 weeks, up to a total of 52 weeks.

During maternity leave an employee retains all their contractual rights and benefits, except remuneration.

Full details of eligibility, maternity leave and pay entitlements are set out in the NHS Staff Council Terms and Conditions of Service (Agenda for Change), Section 15 – please contact HR for a copy or you can access the document online at: http://www.nhsemployers.org/Aboutus/Publications/Documents/NHS_Job_Evaluation_Handb ook_third_edition.pdf

Requests for Maternity Leave must be submitted using the form in Appendix 2.

8. Maternity Leave All employees regardless of length of service are entitled to 52 weeks of maternity leave. This includes two weeks compulsory leave following the date of delivery. The pay entitlement during this period is dependent on various criteria outlined in section 8.

Maternity leave is provided as Ordinary Maternity Leave (OML) which is the first 26 weeks of maternity leave, and Additional Maternity Leave (AML) which covers the following 26 weeks, up to a total of 52 weeks.

During maternity leave an employee retains all their contractual rights and benefits, except remuneration.

Full details of eligibility, maternity leave and pay entitlements are set out in the NHS Staff Council Terms and Conditions of Service (Agenda for Change), Section 15 – please contact HR for a copy or you can access the document online at: http://www.nhsemployers.org/Aboutus/Publications/Documents/NHS_Job_Evaluation_Handb ook_third_edition.pdf Requests for Maternity Leave must be submitted using the form in Appendix 2.

Timing of Maternity Leave Employees must notify their line manager and the Human Resources Department (HR) of their intention to take maternity leave at least 28 days before the absence begins, or as soon as is reasonably practicable. It is a statutory provision that an employee should notify their employer of their intention to start maternity leave by the 15th week before the EWC, or the date she intends her maternity leave to start. The employee may change her mind about the date, provided she gives 28 days’ notice. Any changes should be submitted to the line manager and HR by completing another Request for Maternity Leave Form (Appendix 3).

Employees have a right to choose when their maternity leave will start, though it cannot be more than 11 weeks prior to the EWC. Employees may work up to the expected date of birth of their baby, should they wish to do so.

Maternity leave for most employees will commence on the date they have notified to their employer, however the exceptions to this are: •

Where a pregnant employee is absent from work “wholly or partly because of pregnancy or childbirth” after the beginning (Sunday) of the 4th week before the EWC. In these circumstances the maternity leave period will be automatically triggered. This is regardless of how long the absence is. The maternity leave would commence the Monday after the absence start date. Managers are expected to complete a P3 to notify Payroll of this change.

•

The baby is born before the employee has notified the organisation of the commencement of maternity leave, or the baby is born before the maternity leave is due to start. In these circumstances, the employee must notify the organisation and provide a verified copy of

the birth certificate as soon as reasonably practicable of the date of childbirth and maternity leave is deemed to start the day of the birth. A birth certificate will be deemed as verified if the original is seen by a line manager, copied in the presence of the line manager, and the copy then signed by the line manager to confirm that the original has been sighted.

Birth prior to the 4th week before the EWC Where childbirth occurs prior to the fourth week before the EWC, the following conditions will apply: •

When the employee has worked in the actual week of childbirth and is entitled for payment in respect of work done, the maternity leave will start on the first day of the employees’ absence.

•

When an employee has been absent from work on certified sickness absence during the actual week of childbirth, or on annual leave, maternity leave will start the day after the date of birth.

•

When childbirth has occurred prior to the eleventh week before the EWC and the child is in hospital, the employee may choose to split her maternity leave entitlement, taking a short period of leave immediately after childbirth, returning to work and then taking the balance of leave following the child’s discharge from hospital.

Still Birth and Miscarriage When a still birth occurs after the 24th week of pregnancy, the employee will be entitled to the same amount of maternity leave and pay as if the birth had been live.

Where an employee has a miscarriage before the 25th week of pregnancy, normal sick leave provisions will apply as necessary.

Annual Leave and Maternity Leave It is expected that an employee will discuss with her line manager how to plan her annual leave, so that prior to commencing maternity leave, all outstanding annual leave for the current annual leave year (up to 31st March) has been taken. This discussion is important in order for adequate rest breaks from the workplace to be taken, and also in terms of supporting service delivery.

The exceptions to this will be: •

Where the employee is taking less than 52 weeks maternity leave and are due to return to work, within the same annual leave year.

•

When the employee has planned to take annual leave prior to the start of maternity leave and the baby arrives during that period of annual leave. In this case, the maternity leave will begin on the day of the birth (unless before the 4th week before the EWC – see paragraph 7.9). Any annual leave that had been booked but fell after the date of birth will ideally be taken prior to the employees recommencement in the workplace.

Annual leave accrued during the period of maternity leave should be taken on the employees return to work, ideally prior to recommencement in the workplace. It is recognised however,

that this is subject to the needs of the service and approval by the line manager and, subject to approval by the line manager, could be taken in part prior to maternity leave.

Prior to the start of maternity leave a discussion should take place between the line manager and employee, to agree the arrangements for taking the employees’ accrued annual leave on their return from maternity leave. They should confirm these arrangements to HR in Appendix 3. For the purposes of this policy accrued annual leave is the annual leave accrued during maternity leave up to the date of return from maternity leave.

If a change in hours has been agreed on the employees return from maternity leave, all accrued annual leave should be taken before any such change can be implemented.

Fixed Term Contracts and Maternity Leave/Pay Employees subject to fixed-term contracts which expire after the 11th week before the expected week of childbirth and who satisfy the qualifying conditions of OMP shall have their contracts extended so as to enable them to receive 52 weeks maternity leave.

For those employees who do not meet the eligibility criteria for OMP but do meet the eligibility criteria for SMP, the contract will still expire on its due date. The organisation will still be obliged to pay SMP. If an employee takes up employment after the birth of their baby, but before the end of 39 weeks, they must inform the organisation so that their SMP payment can be stopped. The SMP will end the day before taking up the new employment.

Where an employee’s fixed term contract has ended but they are being paid SMP, they will not be entitled to accrue annual leave for those weeks, since they will no longer be an employee.

9. Maternity Pay Maternity pay is paid in the same way as normal pay and is subject to deductions of income tax, National Insurance contributions and superannuation where appropriate.

Statutory Maternity Pay If you have had at least 26 weeks continuous service with the organisation by the beginning of the 15th week before your expected week of childbirth (EWC), you are entitled to SMP. Employees with over one years’ continuous service, who have notified the organisation that they do not intend to return to work following maternity leave, will also qualify for SMP only.

SMP is paid at the rate of: • 6 weeks at 90% of your normal pay (known as higher rate SMP) • 33 weeks on flat rate SMP, or 90% of your average weekly earnings, whichever is lower • 13 weeks unpaid The rate of SMP changes each year, please contact HR, Payroll or visit www.gov.uk to find out the current rate.

You do not have the right to SMP if: • You do not have 26 weeks continuous service with this organisation by the beginning of the 15th week before your EWC • Your earnings before tax are below the lower earnings limit for National Insurance contributions • You have failed to provide your line manager with a MATB1 form or confirmation letter from your doctor or midwife by the 15th week before the EWC. • You work more than ten keeping in touch (KIT) days during your paid maternity leave • You go into police custody.

If you do not qualify for Statutory Maternity Pay then you may be eligible for Maternity Allowance and you would need to contact the Job Centre to confirm if you are eligible and the process for claiming this.

Occupational Maternity Pay (OMP) If you do not qualify for SMP due to level of earnings, but have at least one year’s continuous service with the organisation by the 11th week before your expected week of childbirth (EWC) and you intend to return to work for the organisation for a minimum of three months, you will receive: • • •

8 weeks full pay less SMP 18 weeks on half pay 26 weeks unpaid leave

Continuous service within another NHS employer (which Provide recognises as continuous service) is taken into account, subject to having no more than three months break between appointments. However the duration of the break will not count towards your total length of service.

If someone has more than 1 years NHS service but has not accrued 26 weeks continuous service with Provide by the 15th week of the EWD, they would receive: • • •

8 weeks full pay less SMP 18 weeks on half pay 26 weeks unpaid leave

You are still entitled to SMP throughout this period, however this would need to be claimed either via Job Centre or your previous employer (where the service was accrued). If you require support with claiming this, please speak to your line manager or seek advice from the Human Resources Department.

OMP plus SMP If you have both 26 weeks continuous service with this organisation by the beginning of the 15th week before the EWC, and at least one year’s continuous service within the NHS at the beginning of the 11th week before the EWC, and you intend to return to work for the organisation or the NHS for a minimum of three months, you will receive:

• • • •

8 weeks full pay 18 weeks half pay, plus flat rate SMP (or average weekly earnings, whichever is the lower amount) 13 weeks on SMP flat rate 13 weeks unpaid

Maternity Allowance (MA) If you are not eligible for SMP, then you may be able to receive Maternity Allowance.

To find out if you qualify for MA, and to find a claim pack you will need to contact your local Job Centre Plus or visit www.dwp.gov.uk.

Working For Another Employer Whilst On Maternity Leave Should an employee of Provide wish to work for another employer, including undertaking selfemployed or contracting work, they must inform their line manager. By undertaking other work, the employee forfeits their entitlement to maternity pay, and maternity pay will cease from the start of the first week of paid employment with the alternate employer. Ordinarily, employees would still remain entitled to the remainder of the maternity leave period, though this would be unpaid. Should an employee undertake work for an employer who did not employ them in the qualifying week, maternity pay will cease from the start of the first week that they work for the new employer.

Superannuation If an employee is in the pension scheme, and chooses to continue to pay into that scheme whilst on maternity leave, they will be expected to repay those contributions owed in respect of any unpaid absence. The contributions will be based on the pay received immediately before the period of unpaid leave and will be deducted over the number of months that are owed.

Payroll will write to the employee on her return to work, advising of the amount owing and the period over which it will be deducted.

Childcare Vouchers If an employee is in the Childcare Vouchers Scheme and chooses to continue with this scheme whilst on maternity leave, they can only continue to do so whilst the employee is receiving occupational maternity pay, providing that once the sum for the Childcare vouchers has been deducted from the occupational maternity pay the employees total remuneration remains above National Minimum Wage. Once an employee is receiving statutory maternity pay, the employee must cease receiving childcare vouchers and the payments must be stopped.

Employees should be aware that due to the introduction of the government’s tax free childcare (TFC) and the changes to the childcare voucher scheme, employees will be able to reduce their childcare vouchers to zero for up to 52 weeks during a period of maternity leave without losing their eligibility for the childcare voucher scheme. Further guidance can be found for the government’s tax free childcare can be seen at https://www.gov.uk/help-with-childcare-costs.

Employees need to be aware that the childcare vouchers scheme will not be available to new joiners from 1st April 2018 and if you leave the childcare voucher scheme to join TFC you will not be able to re-join the childcare voucher scheme.

10. Keeping in Touch (KIT) Days Before an employee goes on maternity leave they will need to agree with their line manager how to keep in touch during their period of leave. Keeping in touch will help employees to stay up-to-date with changes in the workplace, making it easier for them to adjust when they return.

An additional way to keep in touch during maternity leave is to do some paid work called ‘Keeping in touch’ or KIT days. KIT days are days that can be worked during maternity leave, without bringing the maternity leave to an end.

Work undertaken on a KIT day does not need to be limited to the employees normal duties, but can be used to undertake training to update skills, attend meetings or other work events.

Any work done on any day during the maternity leave period will count as a whole KIT day. For example, if an employee attends a one hour training session, but does no other work that day, she will have used one KIT day. Where the work is on a shift that starts in the evening on one day and finishes in the early hours of the next day, this will count as one KIT day.

There is a limit of ten KIT days during the maternity leave period. Once an employee works more than ten days, this will automatically end the entitlement to maternity leave and pay.

Pay for work undertaken during KIT days is paid at 1/365th of an employees annual salary (note, KIT days are not paid at hourly rate, and for a full time employee this is the equivalent of approximately 5.5 hours pay), and can be claimed in addition to maternity pay, as long as the amount received does not exceed more than the usual full basic pay for that day.

Pay for KIT days will be calculated by Payroll taking into account the amount of maternity pay being received. Claims should be made by submitting a P3 Staff Change Form stating the date and number of hours worked.

Where an employee is in receipt of OMP and chooses to work a KIT day during that period, they will only be paid for the hours worked and will not receive their OMP for that day.

Therefore, it would be more beneficial to take KIT days outside of the OMP period.

Where an employee works a KIT day in the SMP only period, your pay will be ‘topped up’ for the hours worked, subject to a maximum of a normal day’s pay.

KIT days cannot be worked during the 2 weeks immediately following the birth. This is compulsory maternity leave during which employees are prohibited from working.

KIT days must be agreed between the employee and their line manager. They are not mandatory but an employee’s request must be accommodated where reasonable and possible.

11. After Maternity Leave Returning to work If an employee takes their full entitlement to maternity leave there is not a requirement to notify Human Resources or their line manager of your return date. The employee will already have been notified of their expected return date by Human Resources and their line manager.

If an employee intends to return to work before the end of their agreed maternity leave period, they must notify their line manager and HR in writing of their intended return date at least 8 weeks before the date on which they propose to return. The letter must include details of any accrued annual leave they have agreed with their line manager to take. Please note, only statutory annual leave, and not contractual annual leave, accrues during periods of maternity leave.

The right to return from ordinary maternity leave is to the same job in which the employee was employed under their original contract of employment and on terms and conditions not less favourable than those which would have been applicable if they had not been absent.

The right to return from additional maternity leave is to the same job in which an employee was employed under their original contract of employment, or if this is not reasonably practicable, to another job which is both suitable and appropriate for them to do in the circumstances.

If, at the end of maternity leave, the employee wished to return to work on different working hours, the organisation will attempt to facilitate this, wherever possible. The employee will return to different hours in the same job, or if that is not possible the organisation will provide written notification of why this is not possible and the employee should return to a role at the same pay band and to work of a similar nature and status, to that which they held prior to maternity leave. Applications for changes in hours or working patterns must be submitted using the Application Form in the Flexible Working Policy, giving the notice defined within the policy.

Where it is agreed an employee will return on a flexible basis, including changed or reduced hours, for an agreed temporary period, this will not affect the employee’s right to return to her job under her original contract, at the end of the agreed period.

On the employees return to work (whether by taking annual leave or a physical return to work) the line manager should complete a P3 Staff Change Form with the date the employee returned to work and send this to Finance for processing and complete Appendix 6 of this policy and forward to Human Resources Department.

Not Returning to Work If an employee who is in receipt of SMP only or MA has stated they do not intend to return to work following their maternity leave and have provided a resignation letter giving notice of at

least that required by their employment contract, they do not need to do anything else. They will be notified by HR of their last day of service and Payroll will send their P45 once they have been paid their final salary payment.

If an employee has stated that they do intend to return to work with this organisation after their maternity leave, and then fail to do so on the notified return date, this will be treated as unauthorised absence. The exception to this will be where the employee has notified their manager of sickness absence as per the requirements in the Attendance Management Policy and Procedure, and has provided a sickness certificate prior to the end of maternity leave.

If an employee has stated that they intend to return to work with this organisation after their maternity leave, then fail to do so for the 3 months as required by Agenda for Change, this will result in them being liable to refund the whole of the OMP they received less any statutory maternity or payments to which they are entitled under Section 8 of this document.

It should be noted that the amount to be repaid is net of income tax and superannuation but not National Insurance contributions. The DSS regulations state that National Insurance contributions paid on maternity payments that are required to be refunded in such circumstances must remain payable. This applies to the employer’s contribution as well as the employee’s. It should be noted that a return to employment is for a minimum period of three months, and must be to a permanent post. A return to work as a Bank nurse or on an ‘as and when required’ basis (i.e. zero hours) is not recognised for this purpose.

‘Double Maternity Leave’ In some cases there may be a situation where an employee becomes pregnant whilst on maternity leave and may be eligible to take a second period of maternity leave, consecutively to the first period of maternity leave, or without physically returning to work due to pre-agreed annual leave. In these cases an employee should seek advice from the Human Resources Department regarding pay and leave entitlements.

12. Adoption Leave The provisions of the maternity section of this policy (with the exception that OMP and SMP are replaced by Occupational Adoption Pay and Statutory Adoption Pay) apply to the adoption of a newly matched child and to the person who has primary care responsibilities for that child.

The other parent may be entitled to paternity leave provisions (see section 13).

If an employee is adopting a newly placed foster child, they must be matched for adoption by a recognised agency to be eligible for adoption leave or pay. If a foster child is not newly placed and has been under their care for some time, they will not be entitled to adoption leave or pay.

Employees will not be entitled to receive adoption pay or leave for adopting a step-child.

Employees may wish to refer to the Special Leave Policy or Annual Leave guidelines if they require time off to attend appointments related to these situations.

The earliest date on which Adoption Leave can begin is 14 days before the expected date of placement. The latest date on which it can start is the date the child is placed for adoption. If an employee is adopting a child from overseas, the adoption leave period may begin on the date the child enters Great Britain or on a date no later than 28 days after this date.

Adoptive parents must notify their line manager of their intention to take adoption leave within 7 calendar days of being matched with a child. They must give details of the expected placement date and start date of leave, by completing the Notification form in Appendix 3.

Instead of the MATB1 form, they will need to attach a matching certificate from a recognised UK Adoption Agency.

Leave should be granted to cover official meetings in the adoption process as well as the time after the adoption itself.

Notification of return to work is as per the maternity guidance in section 10 of this policy.

13. Ordinary Paternity Leave (OPL) Employees who are the father of the child, or married to, or the civil partner, or the partner of, the child’s mother, or primary adopter, and expect to have the main responsibility for the upbringing of the child (apart from the mothers responsibility) may wish to take a period of leave at the time of the child’s birth or placement, in order to care for that child, and to support the mother/primary adopter. Leave can be requested for up to two weeks following the birth of the child or placement of the child, taken in one period of either one week or two weeks.

To qualify employees must have 26 weeks service with this organisation at the end of the 15th week before the week in which the child is due to be born, or in respect of adoptions – as at the end of the 15th week before he/she was notified of being matched with a child.

Employees should complete Part A of Appendix 5 – Application for Ordinary Paternity Leave and attach a copy of the MATB1 form received by the baby’s mother. This should be given to the line manager and then forwarded to Human Resources.

Before the 28th week of pregnancy those who wish to take Ordinary Paternity Leave should also complete a self-certificate (Form SC3 or SC4) to be entitled to Statutory Paternity Pay (SPP). This can be found on the Staff Intranet or at www.dwp.gov.uk. Once completed the form will need to be sent to Human Resources who will then forward to Payroll.

The rate of SPP is the paid at the same rate as lower rate SMP, though those who earn under the threshold for National Insurance Contributions will not qualify. They may be entitled to other benefits – please see www.dwp.gov.uk for further information.

If an employee has 12 months continuous service with this organisation (or within the NHS) at the beginning of the week in which the baby is due then they will be entitled to Occupational Paternity Pay. This is paid for up to two weeks at the rate of full pay. In order to apply for Occupational Paternity Pay an employee must complete the forms as detailed in 12.3 and 12.4.

An employee who qualifies for paternity leave is entitled to: • • •

return to the same job; return to the same terms and conditions of employment not be subjected to a disadvantage, unfair treatment or dismissal.

14. Shared Parental Leave (SPL) and Statutory Shared Parental Pay (ShPP) Employees may be entitled to Shared Parental Leave (SPL) and Statutory Shared Parental Pay (ShPP) if: • your baby is due on or after 5 April 2015, • you adopt a child on or after 5 April 2015.

SPL and ShPP must be taken between the baby’s birth and first birthday (or within 1 year of adoption).

Shared Parental Leave (SPL) To qualify for Shared Parental Leave (SPL), employees must share the care of the child with either: • your husband, wife, civil partner or joint adopter, • the child’s other parent, • your partner (if they live with you and the child).

You or your partner must be eligible for maternity pay or leave or Maternity Allowance or adoption pay or leave. Employees must also: • have been employed continuously for at least 26 weeks by the end of the 15th week before the due date (or by the date you are matched with your adopted child), • be employed by the same employer while you take SPL. During the 66 weeks before the baby is due your partner must: • have been working for at least 26 weeks (they don’t need to be in a row), • have earned at least £30 a week on average in 13 of the 66 weeks, • They can be employed, self-employed or an agency worker.

You can start SPL if you’re eligible and you or your partner end maternity or adoption leave or pay (or Maternity Allowance) early. The remaining leave will be available as SPL. The remaining weeks of pay will be available as ShPP. You can share the leave with your partner if they’re also eligible for SPL, and choose how much of the leave each of you will take.

The mother must take a minimum of 2 weeks’ maternity leave following the birth.

You or your partner can only start Shared Parental Leave (SPL) once the child has been born or adopted. The mother or adopter must have either: • ended any maternity or adoption leave by returning to work, • given ‘binding notice’ (a decision that can’t normally be changed) to their employer of the date when they plan to end any maternity or adoption leave, • ended maternity pay or Maternity Allowance (if they’re not entitled to maternity leave, eg they’re an agency worker or self-employed).

Sometimes only one parent in a couple is eligible to get Shared Parental Leave (SPL). This means that they can’t share the leave between them. If you’re eligible then you can use SPL to book your leave in separate blocks even if your partner can’t share it.

Statutory Shared Parental Pay (ShPP) You will also qualify for ShPP if one of the following applies: • you qualify for Statutory Maternity Pay or Statutory Adoption Pay, • you qualify for Statutory Paternity Pay and have a partner who qualifies for Statutory Maternity Pay or Maternity Allowance or Statutory Adoption Pay. If you’re eligible and you or your partner end maternity or adoption leave and pay (or Maternity Allowance) early, then you can: • take the rest of the 52 weeks of leave (up to a maximum of 50 weeks) as Shared Parental Leave (SPL), • take the rest of the 39 weeks of pay or Maternity Allowance (up to a maximum of 37 weeks) as Statutory Shared Parental Pay (ShPP).

ShPP is paid at the rate set by the Government (see. www.direct.gov.uk for current rate) or 90% of your average weekly earnings, whichever is lower. This is the same as Statutory Maternity Pay (SMP) except that during the first 6 weeks SMP is paid at 90% of whatever you earn (with no maximum).

Notification The mother or adopter must give notice to their employer (at least 8 weeks) to end maternity or adoption pay, or to Jobcentre Plus to end Maternity Allowance. You will need to complete Appendix 9. You can start SPL while your partner is still on maternity or adoption leave as long as they’ve given binding notice to end it. A mother can’t return to work before the end of the compulsory 2 weeks of maternity leave following the birth.

You must give your employer written notice of your entitlement to SPL and ShPP (please complete Appendix 10 or 11), including: • your partner’s name, • start and end dates for maternity or adoption leave and pay, • the total amount of SPL and ShPP available and how much you and your partner intend to take, • confirmation that you’re sharing childcare responsibility with your partner.

You must also include a signed declaration from your partner stating: • their name, address and National Insurance number, • that they satisfy the qualifying requirements for SPL and ShPP, • that they agree to you taking SPL and ShPP. After confirming receipt of this notice, your employer has 14 days if they want to ask for: • a copy of the child’s birth certificate, • the name and address of your partner’s employer, You must provide this information within 14 days.

You must give at least 8 weeks’ notice of any leave you wish to take. If the child is born more than 8 weeks early, this notice period can be shorter. You have the right to book a maximum of 3 separate blocks of leave within the child’s first year.

The mother or adopter may be able to change their decision to end maternity or adoption leave early if both: • the planned end date hasn’t passed, • they haven’t already returned to work, • In addition one of the following must also apply: o you find out during the 8-week notice period that neither of you is eligible for SPL or ShPP, o the mother or adopter’s partner has died, o the mother tells her employer less than 6 weeks after the birth (and she gave notice before the birth).

Shared Parental Leave in Touch (SPLIT) Days You and your partner can both work up to 20 days during SPL. These are called ‘shared parental leave in touch’ (or SPLIT) days. These days are in addition to the 10 ‘keeping in touch’ (or KIT) days already available to those on maternity or adoption leave. Keeping in touch days are optional - both you and your employer must agree to them.

SPLIT days are paid at normal salary rates and do not affect your entitlement to SMP or ShPP.

15. Parental Leave If an employee has one years’ continuous service with this organisation, or previously recognised service, they will be entitled to request parental leave of 18 weeks per parent, per child, up to either: • •

the child’s fourteenth birthday, the eighteenth birthday of an adopted or a disabled child.

A maximum of 4 weeks can be taken in any one year and it must be taken in blocks of one week or more. Parental Leave is unpaid and is pro-rata for part time positions. During the period of Parental Leave, salary and salary related benefits are temporarily suspended, but the period will not count as a break in service for the calculation of continuous service.

The 18 week entitlement is not employer linked and so where an employee has taken parental leave in previous employment, they must declare the amount taken to this organisation, when making an application.

The leave must be taken solely to look after the child and must not be used to carry out work for another employer, including bank, agency and NHS Professionals, or for carrying out private practice or work on a self-employed basis.

To apply, employees must complete Appendix 8 of this policy – Application for Parental Leave Form, giving as much notice as possible (ideally at least 21 days’ notice) of the dates of leave they wish to start and finish their leave. They will need to attach a copy of the child’s birth certificate or adoption letter, whereby they are named as a parent or adopter and to declare that they have not already exhausted their entitlement to Parental Leave.

Applications for parental leave must be submitted to their line manager.

Managers must consider such requests and reasons for declining or postponing such a request.

16. Glossary of Terms MATB1 – Form given to a pregnant woman when she reaches around 25 weeks pregnant.

EWC – Expected week of childbirth OML – Ordinary Maternity Leave.

AML – Additional Maternity Leave.

OMP – Occupational Maternity Pay. SMP – Statutory Maternity Pay. MA – Maternity Allowance.

SAP – Statutory Adoption Pay. OPL – Ordinary Paternity Leave.

SPL – Shared Parental Leave ShPP – Statutory Shared Parental Pay SPP – Statutory Paternity Pay. OPP – Occupational Paternity Pay. ASPP – Additional Statutory Paternity Pay. KIT days – “Keeping In Touch” days ‘Primary Adopter’ – the person who is listed as having primary responsibility for the upbringing of an adopted child.

17. Awareness Raising To ensure that staff are made fully aware of the provisions of this policy, Provide will ensure that: • • • •

Managers are aware of the provisions of this policy Managers will explain the provisions to new employees as part of the induction process Copies will also be available on the staff intranet and from the HR Department on request Relevant support will be given to employees whose first language is not English, or who have a visual impairment or some other disability Training will be available for managers, staff and staff representatives

•

18. Review This document will be kept under general review but will be reviewed no later than two years from the date adopted. Any new statutory provisions affecting this document will automatically take precedence.

19. Links to Other Policies • • • • • •

Annual Leave and Bank Holiday Guidelines Flexible Working Policy Disciplinary Policy, Procedure & Managers Guidelines Attendance Management Policy and Procedure Agenda for Change Terms and Conditions of Service Handbook Incremental Pay Progression Policy

Appendix 1: Flowchart Do you pay NI contributions?

NO

YES

You are entitled to 52 weeks unpaid leave.

Do you have 26 weeks continuous service with Provide by the qualifying week (up to and including 15 weeks before EWC)?

YES

NO

Do you have 1 year's continuous service at the 11th week before your EWC?

Do you have 1 year's continuous service at the 11th week before your EWC?

YES

NO

YES

NO

You are entitled to 8 weeks full pay (including SMP), 18 weeks half pay plus lower rate SMP, 13 weeks lower rate SMP and 13 weeks unpaid.

You are entitled to a total maternity leave of 52 weeks.

You are entitled to SMP - 6 weeks maternity pay at 90% full pay, 33 weeks lower rate SMP plus 13 weeks unpaid.

You are entitled to a total maternity leave of 52 weeks.

You are entitled to 8 weeks full pay less SMP plus 18 weeks half pay.

Maternity allowance may be claimed from Job Centre Plus.

You are entitled to maternity leave of up to 52 weeks.

You are entitled to 52 weeks unpaid leave.

You may be able to claim maternity allowance from Job Centre Plus.

Appendix 2: Notification of Pregnancy/Adoption and log of ante-natal care requests You must notify your line manager and the HR Department of your intention to take maternity leave at least 28 days before the absence begins, or as soon as is reasonably practicable. It is a statutory provision that you should notify your employer of your intention to start maternity leave by the 15th week before the EWC, or the date you intend maternity leave to start. You may change this date, provided you give 28 days notice.

Name:

Payroll number:

Job Title: Department:

Base:

Manager:

My baby is due on (date on MATB1 or matching certificate): Please forward the MATB1 or matching certificate to the HR Department with this form.

You are entitled to paid time off to attend ante-natal appointments, except the first appointment.

You should seek permission from your line manager to attend these appointments and record them below.

Date & type of ante-natal appointment

Hours absent from work

Employee signature: ________________________________

Managers signature

Date:

/

/

Appendix 3: Application for maternity/adoption leave Please discuss this form and its contents with your line manager before returning it to the HR Department.

Name:

Payroll number:

Job Title: Department:

Base:

Manager: Maternity leave:

Start date:

/

/

End date:

/

/

My baby is due on (date on MATB1 or matching form): I wish my maternity / adoption leave to start on: Number of annual leave hours to be taken prior to maternity / adoption leave: Last working day: I intend to return to work after my maternity leave:

Yes / No

I declare that it is my intention to continue in the employment with Provide for a minimum period of three months following my period of maternity / adoption leave. Should I fail to return for this period, I undertake to repay in full monies paid to me by Provide in excess of my entitlement under statutory regulations. I also agree to repay any annual leave that I have taken in excess of my entitlement.

Number of annual leave hours to be taken at the end of maternity leave:

Yes / No

I declare that I am not intending to return to work following my period of maternity leave.

Employee signature:

________________________________ Date:

Line manager name:

________________________________

Line manager signature: ________________________________ Date:

Yes / No /

/

/

/

Appendix 4: Keeping In Touch (KIT) Day Record Details of all KIT days worked must be recorded on this form and authorised by your line manager. Please ensure that you return this form to the Human Resources Department prior to the end of your maternity leave.

Name:

Payroll number:

Job Title: Department:

Base:

Manager: Maternity leave:

Start date:

Date KIT day worked

/

/

End date:

Hours worked (excluding breaks)

Employee signature: ________________________________

/

/

Managers signature

Date:

/

/

Appendix 5: Application for Ordinary Paternity Leave

Name:

Payroll number:

Job Title: Department:

Base:

Manager:

Part A Please forward a copy of the MATB1 or matching certificate to the HR Department with this form. Please also complete form SC3 or SC4 and return with this form.

My baby is due on (date on MATB1 or matching form): I wish my maternity / adoption leave to start on: I intend to return to work after my maternity leave on:

Employee signature: ________________________________

Date:

/

/

Appendix 6: Declaration of Return to Work

Please complete this form with your agreed return to work date and send it to your manager at least 8 weeks before your return to work date.

If this date is different from the one originally discussed and agreed with your manager please complete the form with your new dates ensuring you discuss this with your manager and give at least 8 weeks notice.

Name:

Payroll number:

Job Title: Department:

Base:

Manager: Maternity leave:

Start date:

/

/

End date:

/

/

Date of end of agreed maternity leave period: Number of accrued statutory annual leave hours to be taken at the end of maternity leave: Date of actual return to work:

Employee signature:

________________________________

Date:

/

/

Appendix 7: Pregnancy/Breast Feeding Risk Assessment Template Consequence 1

2

3

4

5

Likelihood

Negligible

Low

Medium

High

Extreme

1 Rare

L1

L2

L3

M4

M5

M6 Significant

M8

HighS10 Risk

2 Unlikely Low Risk 3 Possible

L2Moderate L4 Risk L3 M6

4 Likely

L4

M8

5 Almost Certain

M5

M10

M9

S12

H15

S12

H16

H20

S15

H20

H25

Risk

ASSESSMENT AREA:

DATIX INCIDENT REFERENCE NO: (if applicable)

ASSESSOR(S):

DATE CARRIED OUT:

No

Identified Hazard

Perceived Risk

Who/What might be harmed

1

Carrying out manual handling tasks

Risk of injury

Expectant mother / child

2

Vulnerable / lone worker

Risk of physical assault

Expectant mother / child

3

Standing for long periods

Risk to health

Expectant mother / child

Current Process, Procedure & Controls

Current Risk L/M/S/H

June 2010 Proposed Controls (please complete action plan overleaf)

Residual Risk L/M/S/H

4

Use of ladders / stepladders

Risk of falling

Expectant mother / child

5

Radiation

Risk of exposure

Expectant mother / child

6

Hazardous substances

Risk of exposure

Expectant mother / child

7

Medical Gases

Risk of exposure

Expectant mother / child

8

Infections eg.

Hep B, TB, Rubella, Chickenpox

Risk of exposure

Expectant mother / child

9

Driving for long periods

Risk to health

Expectant mother / child

10

Irregular working patterns / long hours

Risk to health

Expectant mother / child

11

Working shifts

Risk to health

Expectant mother / child

.

RISK ASSESSMENT ACTION PLAN

No

Proposed Controls

Action Required to implement

Action to be completed by whom and When

Approved

Review Date

Date added to Service Risk Register

(Note: ALL RESIDUAL SIGNIFICANT & HIGH RISKS MUST BE REPORTED TO THE GOVERNANCE TEAM AND PLACED ON THE SERVICE RISK REGISTER) SIGNED:

DATE:

Risk assessment to be reviewed annually, or if risks/control measures change.

Reviewed by

Date of review

Comments

Appendix 8: Application for Parental Leave Appendix 8 - Application for Parental Leave Name:

Payroll number:

Job Title: Department:

Base:

Manager: Parental leave Start date: Requested: Previous Parental Leave Taken:

/

/

End date:

/

/

Signature:

Notes for Employees

1. Please complete this form and send it to your Manager at least 21 days in advance of the date on which you wish to start Parental Leave.

2. Please attach photocopies of documents proving your eligibility to take Parental Leave (e.g. birth certificate, MATB1 form, evidence of child’s Disability Living Allowance etc).

3. Please ensure that you declare any parental leave taken previously with your current or any previous employer.

Appendix 9: Shared Parental Leave – maternity leave curtailment notice Shared Parental leave – maternity leave curtailment notice Please discuss this form and its contents with your line manager before returning it to the HR Department.

Name:

Payroll number:

Job Title: Department:

Base:

Manager:

I wish to bring my [ordinary/additional] maternity leave [and statutory maternity pay] to an end to be able to take shared parental leave.

I have also completed a [form providing a notice of entitlement and intention to take shared parental leave/declaration that my partner has provided a notice of entitlement and intention to take shared parental leave to his/her employer and that I consent to the amount of leave that he/she intends to take].

I wish to end my [ordinary/additional] maternity leave on: I wish my statutory maternity pay period (if applicable) to end on:

Employee signature:

________________________________

Date:

/

/

Partner signature:

________________________________

Date:

/

/

Line manager signature:

________________________________

Date:

/

/

Appendix 10: Shared Parental Leave – notice of entitlement and intention (mother) Please discuss this form and its contents with your line manager before returning it to the HR Department.

Name:

Payroll number:

Job Title: Department:

Base:

Manager: INFORMATION TO BE PROVIDED BY EMPLOYEE My partner’s name is: My maternity leave [started/is expected to start] on: My maternity leave [ended/is expected to end] on: My [child’s expected week of birth/child was born on]: The total amount of shared parental leave my partner and I have available is: I intend to take the following number of weeks’ shared parental leave: My partner intends to take the following number of weeks’ shared parental leave: I intend to take shared parental leave on the following dates (please include the start and end dates for each period of leave that you intend to take): The total amount of shared parental pay (if applicable) my partner and I have available is: I intend to take the following number of weeks' shared parental pay (if applicable): My partner intends to take the following number of weeks' shared parental pay (if applicable): I intend to take shared parental pay on the following dates (if applicable):

DECLARATION TO BE COMPLETED BY THE EMPLOYEE I [satisfy/will satisfy] the following eligibility requirements to take shared parental leave:

I [have/will have] 26 weeks' continuous employment ending with the 15th week before the expected week of childbirth and, by the week before any period of shared parental leave that I take, I will have remained in continuous employment with the organisation.

At the date of the child's birth, I [have/will have] the main responsibility, apart from my partner, for the care of the child.

I am entitled to statutory maternity leave in respect of the child.

I have [complied with the organisation's maternity leave curtailment requirements/returned to work before the end of my statutory maternity leave period], and will comply with the organisation's shared parental leave notice and evidence requirements.

The information that I have provided is accurate.

I will immediately inform the organisation if I cease to care for the child.

Yes / No

Yes / No Yes / No Yes / No Yes / No Yes / No

DECLARATION TO BE COMPLETED BY EMPLOYEE’S PARTNER My name is: My address is:

[My national insurance number is/I do not have a national insurance number]: I [satisfy/will satisfy] the following eligibility requirements to enable the mother to take shared parental leave: I have been employed or been a self-employed earner during at least 26 of the 66 weeks immediately preceding the expected week of Yes / No childbirth.

I have average weekly earnings of at least £30 for any 13 of those 66 Yes / No weeks.

At the date of the child's birth, I [have/will have] the main Yes / No responsibility, apart from the mother, for the care of the child.

I am the father of the child, or am married to, the civil partner of, or Yes / No the partner of, the mother.

I consent to the amount of shared parental leave that the mother Yes / No intends to take.

I consent to your organisation processing the information provided Yes / No in this form.

Employee signature:

________________________________

Date:

/

/

Partner signature:

________________________________

Date:

/

/

Line manager signature:

________________________________

Date:

/

/

Appendix 11: Shared Parental Leave – notice of entitlement and intention (partner) Please discuss this form and its contents with your line manager before returning it to the HR Department.

Name:

Payroll number:

Job Title: Department:

Base:

Manager: INFORMATION TO BE PROVIDED BY EMPLOYEE The mother’s name is: The mother’s maternity leave [started/is expected to start] on: The mother’s maternity leave [ended/is expected to end] on: The mother [received/is expected to receive] the following periods of [statutory maternity pay/maternity allowance]: My [child’s expected week of birth/child was born on]: The total amount of shared parental leave the mother and I have available is: I intend to take the following number of weeks’ shared parental leave: The mother intends to take the following number of weeks’ shared parental leave: I intend to take shared parental leave on the following dates (please include the start and end dates for each period of leave that you intend to take): The total amount of shared parental pay (if applicable) the mother and I have available is: I intend to take the following number of weeks' shared parental pay (if applicable): The mother intends to take the following number of weeks' shared parental pay (if applicable): I intend to take shared parental pay on the following dates (if applicable): DECLARATION TO BE COMPLETED BY THE EMPLOYEE I declare that I [satisfy/will satisfy] the following eligibility requirements to take shared parental leave:

I [have/will have] 26 weeks' continuous employment ending with the 15th week before the expected week of childbirth and, by the week before any period of shared parental leave that I take, I will have remained in continuous employment with the organisation.

At the date of the child's birth, I [have/will have] the main responsibility, apart from the mother, for the care of the child.

I will comply with the organisation's shared parental leave notice and evidence requirements.

The information that I have provided is accurate.

I am the father of the child, or am married to, the civil partner of, or the partner of, the mother.

I will immediately inform the organisation if I cease to care for the child or if the child's mother informs me that she has revoked the curtailment of her maternity leave or pay period.

Yes / No

Yes / No Yes / No Yes / No Yes / No Yes / No

DECLARATION TO BE COMPLETED BY THE MOTHER My name is: My address is:

[My national insurance number is/I do not have a national insurance number]: I [satisfy/will satisfy] the following eligibility requirements to enable my partner to take shared parental leave: I have been employed or been a self-employed earner during at least 26 of the 66 weeks immediately preceding the expected week of Yes / No childbirth.

I have average weekly earnings of at least £30 for any 13 of those 66 Yes / No weeks.

At the date of the child's birth, I [have/will have] the main Yes / No responsibility, apart from my partner, for the care of the child.

I am entitled to statutory maternity leave, statutory maternity pay or Yes / No maternity allowance in respect of the child.

I have [curtailed my maternity leave/returned to work before the end Yes / No of my statutory maternity leave period].

I consent to the amount of shared parental leave that my partner Yes / No intends to take.

I will immediately inform my partner if I no longer meet the Yes / No requirements to curtail my maternity leave (and pay, if applicable).

I consent to your organisation processing the information provided Yes / No in this form.

Employee signature:

________________________________

Date:

/

/

Mother signature:

________________________________

Date:

/

/

Line manager signature:

________________________________

Date:

/

/

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’ Name of project/policy/strategy (hereafter referred to as “initiative”):

Provide a brief summary (bullet points) of the aims of the initiative and main activities:

Project/Policy Manager:

Date:

This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.

Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.

Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why?

Or is it clear at this stage that it will be equality “neutral”?

Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.

Guidelines: Things to consider Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.

The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.

Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.

Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.

Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?

It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.

It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.

EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 2: (To be used where the ‘screening phase has identified a substantial problem/concern) This stage examines the initiative in more detail in order to obtain further information where required about its potential adverse or positive impact from an equality perspective. It will help inform whether any action needs to be taken and may form part of a continuing assessment framework as the initiative develops.

Q1. What data/information is there on the target beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources? What are your sources of data and are there any gaps?

Q2. Is there a potential for this initiative to have a positive impact, such as tackling discrimination, promoting equality of opportunity and good community relations? If yes, how?

Which are the main groups it will have an impact on?

Q3. Will the initiative have an adverse impact on any particular group or community/community relations? If yes, in what way? Will the impact be different for different groups – e.g. men and women?

Q4. Has there been consultation/is consultation planned with stakeholders/ beneficiaries/ staff who will be affected by the initiative? Summarise (bullet points) any important issues arising from the consultation.

Q5. Given your answers to the previous questions, how will your plans be revised to reduce/eliminate negative impact or enhance positive impact? Are there specific factors which need to be taken into account?

Q6. How will the initiative continue to be monitored and evaluated, including its impact on particular groups/ improving community relations? Where appropriate, identify any additional data that will be required.

Guidelines: Things to consider An initiative may have a positive impact on some sectors of the community but leave others excluded or feeling they are excluded. Consideration should be given to how this can be tackled or minimised.

It is important to ensure that relevant groups/communities are identified who should be consulted. This may require taking positive action to engage with those groups who are traditionally less likely to respond to consultations, and could form a specific part of the initiative.

The consultation process should form a meaningful part of the initiative as it develops, and help inform any future action.

If the EIA shows an adverse impact, is this because it contravenes any equality legislation? If so, the initiative must be modified or abandoned. There may be another way to meet the objective(s) of the initiative.

Further information: Useful Websites www.equalityhumanrights.com Website for new Equality agency www.employers-forum.co.uk – Employers forum on disability www.efa.org.uk – Employers forum on age © MDA 2007 EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage One: ‘Screening’