Maternity, Adoption and Leave for New Parents PERS 08

Maternity, Adoption and Leave for New Parents PERS 08 ICO Version: 2.0.0 Name & date of Approval Committee: Quality Assurance Committee 22 nd October 2014 Name and & date of Ratification Committee: Senior Executive Management Team (SEMT) 23 rd October 2014 Name of Reviewer: Janet Twinn Hr Manager Date Published: October 2014 Next Review date: October 2017 Document Replaces / incorporates: ICO Version 1 Maternity, Adoption and Leave for New Parents PERS 08 Applies to : All employees This document is available in Braille, large text and electronic format on request. ICO Version No. 2.0.0 Page 1 of 42

CONTENTS (Ctrl + click on hyperlink to relevant section) 1. INTRODUCTION... 4 2. PURPOSE... 4 3. SCOPE... 4 4. EXPLANATION OF TERMS... 4 4.1. ABBREVIATIONS... 4 4.2. DEFINITIONS... 4 5. DUTIES... 5 5.1. Chief Executive... 5 5.2. Pregnant Employee... 5 5.3. Employees wishing to adopt a child... 6 5.4. Employees applying for leave as new parents... 6 5.5. Line Manager... 6 5.6. Human Resources... 7 6. MATERNITY, PATERNITY, ADOPTION AND NEW PARENT POLICY...... 8 6.1. MATERNITY AND ADOPTION LEAVE... 8 6.2. Statutory Maternity Pay & Leave... 8 6.3. Occupational Maternity Pay & Leave... 9 6.4. Occupational Maternity pay is broken down as follows:... 10 6.5. Statutory Adoption Pay & Leave... 10 6.6. Statutory Adoption Pay is broken down as follows:... 11 6.7. Occupational Adoption Leave... 11 6.8. PATERNITY LEAVE... 18 6.9. FOSTER LEAVE... 21 7. CONSULTATION... 22 8. EQUALITY ANALYSIS ASSESSMENT... 22 9. DISSEMINATION AND IMPLEMENTATION... 22 10. MONITORING COMPLIANCE WITH THIS DOCUMENT... 23 11. REFERENCES... 23 12. ASSOCIATED DOCUMENTS... 23 13. APPENDICES... 24 13.1. Appendix 1 Application for Maternity Leave... 24 13.2. Appendix 2 Application for Adoption Leave... 24 ICO Version No. 2.0.0 Page 2 of 42

13.3. Appendix 3 Application for Paternity Leave... 24 13.4. Appendix 4 SC3, Statutory Paternity Pay / Leave... 24 13.5. Appendix 5 HMRC Application for Additional Paternity Pay/Additional Paternity Leave, becoming a parent... 24 13.6. Appendix 6 HMRC Application for Additional Paternity Pay/Additional Paternity Leave, becoming an adoptive parent... 24 13.7. Appendix 7 Application for Foster Leave... 24 13.8. Appendix 8 Risk Assessment for new and expectant mothers... 24 Version Control Summary Version Date Author Status Comment 2.0.0. 24.10.14 J Twinn Final Intranet Copy Revision History Revision Reviser date 14.10.2015 Janet Twinn Revisions Made Revision of section 6.7.8 re: changes to legislation regarding antenatal appointments. Updated into new Trust format. ICO Version No. 2.0.0 Page 3 of 42

1. INTRODUCTION Southport and Ormskirk Hospital NHS Trust recognises that pregnant employees and new parents have statutory rights. This policy details the maternity and adoption leave policy for Southport and Ormskirk Hospital NHS Trust. It also provides information on other leave entitlements for new parents. 2. PURPOSE This policy explains the Trust s maternity, adoption and leave entitlements for employees with new parental responsibilities. This policy ensures that all employees are treated in a fair and consistent manner. 3. SCOPE This policy applies to all pregnant employees, employees formally adopting a child and employees with new parental responsibilities. 4. EXPLANATION OF TERMS 4.1. ABBREVIATIONS APL Additional Paternity Leave ASPP Additional Statutory Paternity Pay MA Maternity Allowance OAP Occupational Adoption Pay OMP Occupational Maternity Pay OSPP - Ordinary Statutory Paternity Pay SMP Statutory Maternity Pay SAP Statutory Adoption Pay 4.2. DEFINITIONS Childbirth The live birth of a child, or a stillbirth after pregnancy lasting at least 24 weeks. Expected week of childbirth The week, beginning with midnight between Saturday and Sunday, in which it is expected that the baby will be born. ICO Version No. 2.0.0 Page 4 of 42

New or expectant mother An employee who is pregnant, who has given birth within the previous six months, or who is breast-feeding. Partner someone who lives with the mother of the baby / adoptive parent in an enduring family relationship but is not an immediate relative. 5. DUTIES 5.1. Chief Executive The Chief Executive has ultimate responsibility for the implementation of this policy ensuring the safety of staff. 5.2. Pregnant Employee Pregnant employees should advise their manager as soon as they become aware of the pregnancy, or as soon after as they feel able to do so to enable a pregnancy risk assessment to be completed. Pregnant employees should seek advice from their line manager or the Human Resources Department on maternity entitlements. Pregnant employees may be referred to the occupational health department and must attend such appointments. Pregnant employees must apply for maternity leave by completing the relevant form (Appendix 1). Pregnant employees are required to provide documentary evidence of the date the baby is due. The required form is a MATB1 and will be provided to the expectant mother by her Midwife or General Practitioner. Pregnant employees and employees on maternity leave whose employment requires a professional registration are required to maintain their professional registration, including any professional updates as deemed necessary by the professional body. Pregnant employees are required to advise their manager of their intended return to work date, and discuss any proposed changes to this date with their manager. ICO Version No. 2.0.0 Page 5 of 42

5.3. Employees wishing to adopt a child Employees should advise their manager as soon as they know of their intention to adopt. Employees should seek advice from their line manager or the Human Resources Department on adoption entitlements. Employees, who are identified as the main carer for an adopted child, are required to apply for adoption leave by completing the relevant form (Appendix 2). Employees are required to provide documentary evidence of the date the child is successfully matched. The adoption agency or social services department will provide the required form. Employees on adoption leave whose employment requires a professional registration are required to maintain their professional registration, including any professional updates as deemed necessary by the professional body. Employees are required to advise their manager of their intended return to work date, and discuss any proposed changes to this date with their manager. 5.4. Employees applying for leave as new parents Employees who apply for leave as new parents or for parental leave are require to advise their manager as soon as is practicable of their intentions. Employees applying for paternity and foster leave are required to provide documentary evidence of the birth or matching of a child. The required documents are the birth certificate or certificate of matching. Bank service does not count as reckonable service for the purpose of occupational maternity, adoption, paternity or foster leave. 5.5. Line Manager Line managers are required to make employees aware of this policy, ensuring that they are aware of their rights and responsibilities. Line managers should discuss the Keep In Touch Scheme with employees and should confirm the option of Keep In Touch Days with the employee due to commence maternity or adoption leave. ICO Version No. 2.0.0 Page 6 of 42

Line managers should ensure that annual leave entitlements are calculated and managed. Line managers are required to complete a risk assessment for pregnant employees (appendix 5), employees who have recently given birth and employees who are breastfeeding in accordance with the Trust s Health and Safety Policy relating to new and expectant Mothers (RM 9). Line managers are required to refer pregnant employees to Occupational Health if risks are identified in the risk assessment which requires medical advice in relation to employment issues. Line managers are required to facilitate the necessary time away from work. This includes paid time off to attend ante-natal classes and matching meetings for adoption. Line managers are required to keep employees up to date with developments in the Trust and department and to arrange for professional updates where this is required prior to return. Line managers should give due consideration to an employee s request to complete keep in touch days. Line managers must keep a record of any keep in touch days completed and record these on the electronic Standard Variation List (SVL), in order to record the appropriate payment. Line managers are required to give due consideration to any requests for flexible working in accordance with the Trust s policy (PERS 11) which is available on the Trust s intranet site. Line managers are required to complete the Electronic Staff Record (ESR) form to confirm both the start and end dates of maternity and adoption leave. 5.6. Human Resources Human Resources Managers will advise managers and employees on their rights and responsibilities under this policy, legislation and terms and conditions of employment. The Payroll Department will ensure that accurate payment is made, based on the completed ESR forms, electronic SVL s (Staff Variation Lists) and current statutory and occupational rates of pay. ICO Version No. 2.0.0 Page 7 of 42

The Payroll Department will ensure that the employee s membership of the NHS Pension Scheme is protected during the full period of maternity / adoption leave unless the employee is not returning to work and wishes to opt out of the NHS Pension Scheme. The Payroll Department will issue an SMP exclusion form to employees not entitled to statutory benefits to allow possible claims directly from the Department for Work and Pensions via the local social security office (Job Centre Plus). 6. MATERNITY, PATERNITY, ADOPTION AND NEW PARENT POLICY 6.1. MATERNITY AND ADOPTION LEAVE 6.1.1. Applying for maternity leave Pregnant employees are required to notify their line manager before the end of the 15th week before the expected date of childbirth (or if that is not possible as soon thereafter as is reasonably practicable) of their intention to take maternity leave, the date they wish to start their maternity leave and an indication as to whether she intends to return to the Trust or another NHS employer after her maternity leave has ended. A MATB1 form will be provided by the Midwife or General Practitioner at or around the 26th week of pregnancy, detailing the expected date of confinement. The MATB1 form and completed Trust maternity application form (Appendix 1) along with the completed ESR form from the Manager must be submitted to the Payroll Department in order for maternity applications to be processed. Employees have the right to take 52 weeks maternity leave. Maternity leave may commence any time between the 11th week before the expected week of childbirth and the expected week of childbirth. 6.2. Statutory Maternity Pay & Leave To qualify for Statutory Maternity Pay, employees must have a minimum of 26 weeks continuous service with the Trust up to and including the 15th week before the expected week of childbirth. In addition, the employee must have average weekly earnings not less than the lower earnings limit for the payment of National Insurance contributions. Average ICO Version No. 2.0.0 Page 8 of 42

weekly earnings are calculated in the eight weeks up to and including the 15th week before the expected date of childbirth. Employees are required to submit their MATB1 form and completed Trust maternity application form as soon as is practicable but at least 28 days before the date they wish to commence their maternity leave. Employees who are not eligible to receive statutory maternity pay will be provided with a form (SMP1) to enable them to apply directly to the Department for Work and Pensions / Job Centre Plus Office for maternity allowance. Statutory Maternity Pay is broken down as follows: 6 weeks at 90 per cent of average weekly earnings with no maximum limit. 33 weeks at standard statutory maternity pay or 90 per cent of average weekly earnings if this is less than the standard statutory maternity pay rate (the rate is reviewed every April). Current statutory maternity pay rates can be found by accessing the ACAS web site (www.acas.gov.uk) Up to 13 weeks unpaid maternity leave 6.3. Occupational Maternity Pay & Leave Employees with a minimum of twelve months continuous service in the NHS at the beginning of the 11th week prior to the expected week of childbirth are entitled to occupational maternity pay. Employees are required to complete the maternity application form (Appendix 1) and submit their MATB1 form prior to the end of the15th week before the expected date of childbirth, or if this is not possible, as soon as is reasonably practicable thereafter. Employees who apply for occupational maternity leave must intend to return to work for an NHS employer for a minimum period of three months after the end of their maternity leave. Failure to return to work in an NHS organisation for a minimum of three months following the end of the maternity leave will result in the occupational element of maternity pay being recovered. Employees must take a minimum of 2 weeks compulsory maternity leave, immediately after the baby s birth. ICO Version No. 2.0.0 Page 9 of 42

Employees applying for Maternity Leave who do not intend to return to work will be entitled to Statutory Maternity Pay for 39 weeks subject to qualification of entitlement. 6.4. Occupational Maternity pay is broken down as follows: 8 weeks at full pay 18 weeks at half pay plus any Statutory Maternity Pay or Maternity Allowance (including any dependents allowances), providing that total does not exceed full pay 13 weeks at Statutory Maternity Pay or Maternity Allowance Up to a further 13 weeks unpaid maternity leave By prior agreement with the Trust, occupational maternity pay can be paid as a combination of full pay and half pay or a fixed amount spread equally over the maternity leave period. 6.4.1. Applying for Adoption Leave Employees intending to adopt a child should notify their manager of their intention to take adoption leave no more than seven days after the day they are notified as being matched with a child (or if that is not possible, as soon after as is reasonably practicable). Adoption leave can only be claimed by the employee identified as the main carer for the child. Employees identified as the main carer for the adopted child are entitled to 52 weeks adoption leave. If the child is being adopted from abroad, adoption leave and pay can only commence when the child has been placed and is resident in the UK. 6.5. Statutory Adoption Pay & Leave To qualify for Statutory Adoption Pay, employees must have a minimum of 26 weeks continuous service with the Trust at the beginning of the week they are successfully matched with a child for adoption and are identified as the main carer for the child. If an employee does not meet these criteria, they will be provided with a form to apply for Statutory Adoption Pay directly from Job Centre Plus. ICO Version No. 2.0.0 Page 10 of 42

In addition, the employee must have average weekly earnings not less than the lower earnings limit for the payment of National Insurance contributions. Employees who are not eligible to receive statutory adoption pay will be provided with a form to enable them to apply directly to the Department for Work and Pensions / Job Centre Plus Office for adoption allowance. 6.6. Statutory Adoption Pay is broken down as follows: 6 weeks at 90 per cent of average weekly earnings with no maximum limit. 33 weeks at standard statutory adoption pay or 90 per cent of average weekly earnings if this is less than the standard statutory adoption pay rate (the rate is reviewed every April). Current statutory adoption pay rates can be found by accessing the ACAS web site (www.acas.gov.uk) Up to 13 weeks unpaid adoption leave 6.7. Occupational Adoption Leave Employees with a minimum of twelve months continuous service in the NHS at the beginning of the week they are successfully matched with a child for adoption and are identified as the main carer for the child are entitled to occupational adoption leave. The employee is required to submit the completed adoption leave application form (Appendix 2) and the matching certificate provided by the adoption agency or social services department. Employees who apply for occupational adoption leave must intend to return to work for an NHS employer for a minimum period of three months after the end of their adoption leave. Failure to return to work for an NHS organisation for a minimum of three months after the end of the adoption leave will result in the occupational element of adoption pay being recovered. Occupational Adoption pay is broken down as follows 8 weeks at full pay ICO Version No. 2.0.0 Page 11 of 42

18 weeks at half pay plus any Statutory Adoption Pay or Adoption Allowance (including any dependents allowances), providing that total does not exceed full pay 13 weeks at Statutory Adoption Pay or Adoption Allowance Up to a further 13 weeks unpaid adoption leave By prior agreement with the Trust, occupational adoption pay may be paid in a different way, for example a combination of full pay and half pay or a fixed amount spread equally over the adoption leave period. 6.7.1. Calculation of Maternity and Adoption pay Full pay will be calculated using the average weekly earnings used for calculating Statutory Maternity / Adoption Pay entitlements, subject to the following qualifications: In the event of a pay award or annual increment being implemented before the paid maternity / adoption leave period begins, the maternity / adoption pay will be calculated as though the pay award or annual increment had effect throughout the entire Statutory Maternity / Adoption Pay calculation period. If such a pay award was agreed retrospectively, the maternity / adoption pay will be re-calculated on the same basis. In the event of a pay award or annual increment being implemented during the paid maternity / adoption leave period, the maternity / adoption pay due from the date of the pay award or annual increment will be increased accordingly. If such a pay award was agreed retrospectively, the maternity / adoption pay will be re-calculated on the same basis. In the case of an employee on unpaid sickness absence or on sickness absence attracting half pay during the whole or part of the period used for calculating average weekly earnings, average weekly earnings for the period of sickness absence will be calculated on the basis of notional full sick pay. Maternity / Adoption leave, whether paid or unpaid, will count as service for annual increments and for the purpose of any service qualification period for additional annual leave. There is an expectation that an employee on maternity / adoption leave will progress through a KSF gateway on the due date if concerns had not been raised about their ability to meet the KSF outline prior to maternity / adoption leave. ICO Version No. 2.0.0 Page 12 of 42

6.7.2. Keep In Touch (KIT) Days It is important that employees and line managers discuss keeping in touch days prior to maternity / adoption leave commencing. KIT days are not compulsory. KIT days are intended to facilitate a smooth return to work for employees returning from maternity / adoption leave. Employees may work up to a maximum of 10 KIT days without bringing their maternity/adoption leave to an end. Any days worked will not extend the maternity/adoption leave period. Employees may not work during the two weeks of compulsory maternity leave immediately after the birth of their baby. KIT days can be consecutive and can include training or other activities which enable the employee to keep in touch with the workplace. Payment for KIT days will be at the employee s basic daily rate for the hours work minus any maternity leave payment applicable on the date the KIT day is worked. Working for part of any day will count as one KIT day. 6.7.3. Annual leave and maternity / adoption leave Annual leave will continue to accrue during maternity / adoption leave, during paid and unpaid periods. Where the amount of accrued annual leave would exceed normal carry over provisions (maximum of five days), the employee should take the annual leave before and / or after maternity / adoption leave. The amount of leave to be taken in this way should be discussed and agreed between the employee and their line manager. Payment in lieu may also be considered as an option where accrual of annual leave exceeds normal carry over provisions. Bank holidays will not be accrued during maternity / adoption leave. In all circumstances all accrued annual leave should be taken prior to the employee returning to work and / or to facilitate a phased return to a maximum of 4 weeks. Employees who wish to retain membership of the NHS Pension Scheme will need to maintain their Pension contributions during the period of their maternity leave including any period of unpaid leave. Contributions are deducted from all maternity ICO Version No. 2.0.0 Page 13 of 42

pay or tax refunds. Contributions during unpaid leave will be deducted from salary after return to work. 6.7.4. Changing Maternity/Adoption Leave Start Date If an employee subsequently wants to change the start date of maternity/adoption leave, they must notify their line manager at least 28 days beforehand (or, if this is not possible, as soon as is reasonably practicable beforehand). 6.7.5. Returning to Work An employee who intends to return to work at the end of their full maternity/adoption leave will not be required to give any further notification to their line manager. Employees who wish to return to work earlier than planned must provide their line manager with at least 28 days notice. Employees have the right to return to their job under their original contract and on no less favourable terms and conditions following maternity / adoption leave. In exceptional circumstances, where organisational change occurs during the period of maternity / adoption leave, the employee should be informed and offered the same opportunities as other employees affected by the change. The employee retains the right to return to a suitable post of similar status to their original role. The employee will not suffer any detriment and any alternative post must attract no less favourable terms and conditions. For entitlement to Parental Leave, reference should be made to the Trust s Flexible Working Policy (PERS 11). 6.7.6. Flexible Working Requests If at the end of maternity / adoption leave the employee wishes to return to work on different hours the Trust will facilitate this wherever it is practicable. Applications should be made under the Trust s policy covering flexible working (PERS 11) which is available on the Trust s intranet site. If it is not possible to accommodate the flexible working request, the line manager will meet with the employee to discuss the reasons and consider whether alternative arrangements can be mutually agreed. The outcome of the meeting will be confirmed to the employee in writing including the reasons and justification for refusal. ICO Version No. 2.0.0 Page 14 of 42

If it is agreed that the employee will return to work on a flexible basis for an agreed temporary period this will not affect the employee s right to return to their job under their original contract at the end of the agreed period. 6.7.7. Sickness and Pregnancy If an employee is off work ill, or becomes ill, with a pregnancy related illness during the last four weeks before the expected week of childbirth, maternity leave will normally start at the beginning of the 4th week before the expected week of childbirth or the start of the next week after the employee last worked, whichever is the later. Sickness absence prior to the last four weeks before the expected week of childbirth, supported by a medical or self-certificate, will be treated as sick leave in accordance with normal sick leave provisions. Periods of pregnancy related illness prior to the 37th week of pregnancy will be disregarded for the purpose of managing sickness absence under the Trust s Management of Sickness Absence Policy (PERS12). In the event of illness following the date the employee was due to return to work from maternity/adoption leave, normal sick leave provisions will apply as necessary. 6.7.8. Ante-natal care and matching meetings Pregnant employees have the right to paid time off to attend ante-natal classes, including relaxation, parent-craft classes and appointments for ante-natal care. Leave for fathers / partners will be granted to accompany their pregnant partner to ante-natal classes. Requests for such leave should be made through the employee s line manager and will be recorded as special leave. Employees intending to newly adopt a child may have paid time off work to attend matching meetings with a registered adoption agency. 6.7.9. Pre-term birth If an employee s baby is born alive prematurely, the employee will be entitled to the same amount of maternity leave and pay as if her baby was born at full term. If an employee s baby is born before the 11th week before the expected week of childbirth and the employee has worked during the actual week of childbirth, maternity leave will start on the first day of the employee s absence. ICO Version No. 2.0.0 Page 15 of 42

If an employee s baby is born before the 11th week before the expected week of childbirth and the employee has been absent from work on certified sickness absence during the actual week of childbirth, maternity leave will start the day after the day of birth. If an employee s baby is born before the 11th week before the expected week of childbirth and the baby is in hospital, the employee may choose to split her maternity entitlement, taking a minimum period of two weeks leave immediately after childbirth and the rest of her leave following her baby s discharge from hospital. 6.7.10. Still Birth In the event of a still birth after the completed 24th week of pregnancy, the employee will be entitled to the same amount of maternity leave and pay as if her baby was born alive. 6.7.11. Miscarriage If an employee has a miscarriage before the completed 24th week of pregnancy, normal sick leave provisions will apply as necessary. 6.7.12. Risk assessments When an employee is pregnant, has recently given birth or is breastfeeding, the line manager must carry out a risk assessment of her working conditions in accordance with the Trust s Health and Safety Policy relating to new and expectant Mothers (RM 9), which is available on the Trust s intranet site. If it is found, or a medical practitioner considers, that an employee or her child would be at risk were she to continue with her normal duties, the HR Manager and line manager will work together to provide suitable alternative work for which the employee will receive her normal rate of pay. Where it is not reasonably practicable to offer suitable alternative work the employee should be excluded on full pay. A copy of the pregnancy risk assessment form is attached at appendix 8. These provisions also apply to an employee who is breastfeeding if it is found that her normal duties would prevent her from successfully breastfeeding her child. 6.7.13. Post natal care and breast feeding mothers Women who have recently given birth should have paid time off for post-natal care e.g. attendance at health clinics. ICO Version No. 2.0.0 Page 16 of 42

The Trust will provide breastfeeding mothers with suitable private rest facilities with access to a private room to express and store milk in an appropriate refrigerator. Facilities should be conveniently situated in relation to sanitary facilities; the toilet area is not deemed a suitable place to express breast milk. Up to one hour per day (if the employee works over four hours in any working day), in addition to existing breaks, should be allowed to express breast milk; arrangements should be agreed between the member of staff and line manager on an individual basis which meets the needs of both the woman and the service. Where a breastfeeding employee needs additional breaks for Breastfeeding /expressing milk, pay should not be affected. The Trust will consider requests for flexible working arrangements to support breastfeeding women in work. 6.7.14. Fixed Term / Training Contracts Employees subject to fixed-term or training contracts which expire after the 11th week before the expected week of childbirth and who have complied with the reporting procedures detailed in this policy shall have their contracts extended so as to allow them to receive the 52 weeks which includes paid contractual and statutory maternity / adoption pay and the remaining 13 weeks of unpaid maternity / adoption leave. Absence on maternity / adoption leave (paid and unpaid) up to 52 weeks before a further NHS appointment shall not constitute a break in service. If right of return is not exercised because the contract would have ended if pregnancy and childbirth / adoption had not occurred, the recovery of occupational maternity / adoption pay will not apply. Employees on fixed-term contracts who do not meet the 12 months continuous service condition may still be entitled to Statutory Maternity / Adoption Pay. 6.7.15. Rotational Training Contracts If an employee is on a planned rotation of appointments with one or more NHS employers as part of an agreed programme of training, during maternity / adoption leave, they have the right to return to work in the same post or in the next planned post irrespective of whether the contract would otherwise have ended if pregnancy and childbirth / adoption had not occurred. In such circumstances the employee s contract will be extended to enable the practitioner to complete the agreed programme of training. ICO Version No. 2.0.0 Page 17 of 42

6.7.16. Salary Sacrifice Schemes Employee benefits of salary sacrifice schemes, e.g. child care vouchers will continue for the full duration of maternity / adoption leave. Inclusion in a salary sacrifice scheme can result in a reducing effect on pay / benefits if the employee remains in the scheme during the calculation period for maternity / adoption pay. 6.7.17. Regular User Allowance During Maternity Leave the lump sum payment will be paid in accordance with national terms and conditions of service; 3 month s at the full rate, followed by 3 month s at 50% of the full rate. 6.8. PATERNITY LEAVE 6.8.1. Applying for Paternity Leave An employee qualifies for paternity leave if they have, or expect to have, responsibility for the child s upbringing and are the biological father of the baby and/or mother s husband or partner (including same sex partner or civil partner). An employee adopting a child qualifies for paternity leave if they are to be one of two parents jointly adopting a child or the partner of someone adopting a child individually and they have or expect to have responsibility for the child s upbringing with the other joint adoptive parent or the individual adopter. Employees taking formal adoption leave and pay are not eligible for paternity leave. A paternity leave application form (Appendix 3) must be submitted to the employee s line manager no later than the end of the 15th week before the expected week of childbirth (or as soon thereafter as is reasonably practicable) / no more than seven days after being notified of a successful match for adoption. The HM Revenue and Customs form SC3 (attached following Appendix 3) must also be completed and both forms returned to the Human Resources Department. Employees will be required to provide their line manager with a copy of the birth / matching certificate. Transferring Maternity Leave and Maternity Pay Entitlement Parents may decide to exchange between 2 to 26 weeks of maternity leave to additional paternity leave. In such circumstances, the mother needs to return to ICO Version No. 2.0.0 Page 18 of 42

work and the Father will receive any remaining occupational and latterly statutory maternity pay entitlement. This pay will be calculated based on the fathers earnings in the reference period. (See section 7.7 and section 8.6) Statutory Paternity Pay & Leave Employees who have more than 26 weeks but less than 12 months continuous NHS service ending with the 15th week before the expected week of childbirth or the week in which they were notified of having been successfully matched with a child for adoption and who continue to work for the Trust are eligible to take two weeks statutory paternity leave, subject to the employee having average weekly earnings not less than the lower earnings limit for the payment of National Insurance contributions. The rate of Statutory Paternity Pay is reviewed every April. Current statutory paternity pay rates can be found by accessing the ACAS web site (www.acas.gov.uk) Occupational Paternity Pay & Leave Employees who meet the above criteria and have at least 12 months continuous NHS service ending with the 15th week before the expected week of childbirth or the week in which they were notified of having been successfully matched with a child for adoption and who continue to work for the Trust are eligible for occupational paternity leave of two weeks at full pay. Unpaid Paternity Leave Employees who do not meet the qualifying criteria for occupational or statutory paternity leave may take up to two weeks unpaid paternity leave. Use and timing of paternity leave: Eligible employees can choose to take a single block of either one or two weeks paternity leave. They cannot take it as odd days or as two separate weeks. The duration of paternity leave remains the same regardless of the number of children resulting from a single pregnancy or adoption. Paternity leave cannot start until the baby has been born or the child has been placed for adoption. If an employee specifies the date of birth as the day they wish to start their leave and they are in work, their paternity leave will begin on the next day. ICO Version No. 2.0.0 Page 19 of 42

Paternity leave can start on any day of the week but must be completed within 56 days of the date of birth / date of adoption. Additional Paternity Leave and Additional Statutory Paternity Pay ASPP is payable in addition to OSPP entitlement. Entitlement to ASPP and/or APL applies to babies due or matched for adoption on or after 3 April 2011. ASPP is available to either: A father A spouse, partner or civil partner of the baby s mother who is not the baby s father To get ASPP and/or APL an employee needs to; Have or expect to have main responsibility for the upbringing of the child (apart from the mother) Intend to care for the child during the ASPP and leave period Be continuously employed by the NHS for at least 26 weeks ending with the 15th week before the week the baby is due Continue to be employed by the Trust up to the start of your period of ASPP and/or APL For ASPP only, have average earnings not less than the lower earnings limit for the payment of National Insurance contributions. The earliest ASPP and/or APL can start is 20 weeks after the child is born. ASPP is only payable during the mother s maternity pay period, i.e. the 39 consecutive weeks in which SMP or MA would be payable if the mother had not returned to work. ASPP and/or APL cannot start before the mother of the child has returned to work and stopped receiving SMP or MA. If the mother takes annual leave or is sick at the end of her maternity pay period, this does not count as a return to work for these purposes. An actual return to work by the Mother must take place in order for Additional Paternity Pay to be actioned. ASPP and/or APL cannot start before the mother of the child has returned to work and stopped receiving SMP or MA. If the mother takes annual leave or is sick at the ICO Version No. 2.0.0 Page 20 of 42

end of her maternity pay period, this does not count as a return to work for these purposes. APL has to be taken in complete continuous weeks; application has to be for a minimum of two weeks and a maximum of 26 weeks. APL can continue until the child s first birthday, but any leave taken after the mother s maternity pay period ends will be unpaid. The rate of ASPP is reviewed every April. Current rates can be found by accessing HM Revenue and Customs website (www.hmrc.gov.uk) A paternity leave application form (Appendix 3) must be submitted to the employee s line manager along with completed form SC7 or SC8 as applicable, at least 8 weeks before paternity leave is to commence. Employees will be required to send a copy of the child s birth certificate/matching certificate within 28 days of receipt of the request for ASPP and/or APL. 6.9. FOSTER LEAVE Employees who are registered foster parents and who have a minimum of 12 months continuous NHS service are eligible for a maximum of two weeks foster leave at full pay in a rolling twelve month period when a foster child is allocated to them. Eligible employees can choose to take a single block of either one or two weeks foster leave. It cannot be taken as odd days or as two separate weeks for a single fostering episode. Employees who have exhausted the above foster leave provisions will be required to take annual leave / time owing / unpaid leave for further fostering episodes during the rolling twelve month period. Employees who are not eligible for paid foster leave and who wish to take time away from work having been allocated a foster child will be expected to take annual leave / time owing / unpaid leave. In all cases where paid leave is requested following the allocation of a foster child, the employee is required to provide the relevant documentation confirming the foster arrangements to their line manager. In all cases, where leave is requested for the purpose of fostering the foster leave application form must be completed (Appendix 4). ICO Version No. 2.0.0 Page 21 of 42

7. CONSULTATION Consultation has taken place with the Joint Negotiating Committee (JNC) and the Joint Medical Staffing Negotiating Committee (JMSNC). 8. EQUALITY ANALYSIS ASSESSMENT Southport and Ormskirk Hospital NHS Trust recognises that some sections of society experience prejudice and discrimination The Equality Act 2010 specifically recognises the protected characteristics of age, disability, gender, race, religion or belief, sexual orientation and transgender, pregnancy / maternity and marriage/civil partnership. The Trust is committed to equality of opportunity and anti-discriminatory practice both in the provision of services and in its role as a major employer. The Trust believes that all people have the right to be treated with dignity and respect and is committed to, the elimination of unfair and unlawful discriminatory practices. EQUALITY ANALYSIS ASESSMENT Analysis Completed By Janet Twinn Date Completed October 2014 Barriers Identified Action Plan Completed Nominated lead for Managing Action Plan Completed Assessments held by 9. DISSEMINATION AND IMPLEMENTATION This policy will be available on the Trust s intranet site. Yes Yes HR Manager lead Recruitment & Selection Deputy Director of Human Resources ICO Version No. 2.0.0 Page 22 of 42

10. MONITORING COMPLIANCE WITH THIS DOCUMENT Criteria Measurable Lead Officer Monitoring and / or Audit Frequency Reporting to Action Plan / Monitoring The management of all pregnant employees, employees formally adopting a child and employees with new parental responsibility as per policy Statistics provided for maternity, adoption, parental and foster leave. Workforce information team Quarterly HR Governance HR Governance Committee 11. REFERENCES Equality Act 2010 Employment Act 2002 and 2008 Work and Families Act 2006 Part Time Employees (prevention of less favourable treatment) Regulations 2000 Fixed Term Employees (prevention of less favourable treatment) Regulations 2002 Health and Safety at Work Regulations 1999 Workplace Health, Safety & Welfare Regulations (1992) Working Time Regulations 1998 ACAS (www.acas.gov.uk) 12. ASSOCIATED DOCUMENTS Flexible Working Policy (PERS 11) Management of Sickness Absence (PERS 12) Health and Safety Policy relating to new and expectant Mothers (RM 9) Annual leave Policy (PERS 28) ICO Version No. 2.0.0 Page 23 of 42

13. APPENDICES 13.1. Appendix 1 Application for Maternity Leave 13.2. Appendix 2 Application for Adoption Leave 13.3. Appendix 3 Application for Paternity Leave 13.4. Appendix 4 SC3, Statutory Paternity Pay / Leave 13.5. Appendix 5 HMRC Application for Additional Paternity Pay/Additional Paternity Leave, becoming a parent 13.6. Appendix 6 HMRC Application for Additional Paternity Pay/Additional Paternity Leave, becoming an adoptive parent 13.7. Appendix 7 Application for Foster Leave 13.8. Appendix 8 Risk Assessment for new and expectant mothers ICO Version No. 2.0.0 Page 24 of 42

Appendix 1 Application for Maternity Leave Name Department Address Home telephone Home e-mail Expected date of childbirth I intend to return to NHS employment after maternity leave If No to the above, do you wish to pay into the NHS Pension Scheme during maternity leave? NHS start date Trust start date Expected maternity leave start date Expected return date Yes Yes No No Type of maternity leave applied for Applicant Occupational Statutory Maternity allowance Signature Date Line Manager Name Signature Date Please send the completed form to the Human Resources Department, Corporate Office, Southport and Formby District General Hospital ICO Version No. 2.0.0 Page 25 of 42

If you would like your occupational maternity / adoption pay to be averaged during your Maternity Leave please contact the Payroll Department. Please note that you will be provided with information and briefings from the Trust during your maternity leave. ICO Version No. 2.0.0 Page 26 of 42

Appendix 2 Application for Adoption Leave Name Department Address Home telephone Home e-mail Date matched with a child Date child due to be placed I intend to return to NHS employment after adoption leave If No to the above do you wish to pay into the NHS Pension Scheme during adoption leave? NHS start date Trust start date Expected adoption leave start date Expected return date Yes Yes No No Type of adoption leave applied for Applicant Occupational Statutory Adoption allowance Signature Date Line Manager Name Signature Date Please send the completed form to the Human Resources Department, Corporate Office, Southport and Formby District General Hospital ICO Version No. 2.0.0 Page 27 of 42

If you would like your pay to be averaged during your adoption leave please contact the Payroll Department. Please note that you will be provided with information and briefings from the Trust during your adoption leave. ICO Version No. 2.0.0 Page 28 of 42

Appendix 3 Application for Paternity Leave Name Department Address NHS start date Trust start date Paternity leave start date Type of paternity leave applied for Duration of paternity leave applied for Duration of additional paternity leave applied for (maximum 26 weeks) Occupational Statutory Unpaid One week Two weeks Dates From: To: Birth Expected date of childbirth Actual date of childbirth Adoption Date matched with child Expected date of placement Actual date of placement Applicant I confirm that I have, or expect to have, responsibility for the child s upbringing and: am the biological father of the baby and/or mother s husband or partner (including same sex partner or civil partner). or am one of two parents jointly adopting a child or the partner of someone adopting a child individually and have or expect to have responsibility for the child s upbringing with the other joint adoptive parent or the individual adopter. Signature Date ICO Version No. 2.0.0 Page 29 of 42

Line Manager Name Signature Date Please complete the HM revenue and Customs Form SC3, SC7 or SC8 as appropriate and return both forms to the Human Resources Department, Corporate Office, Southport and Formby District General Hospital ICO Version No. 2.0.0 Page 30 of 42

Appendix 4 Statutory Paternity Pay/paternity leave Becoming a parent If you want to take time off work to support the mother of the baby or look after the baby you may be entitled to: Statutory Paternity Pay (SPP) at least part of your wages will be paid for two weeks. You will get the weekly rate of SPP current at the time of your paternity leave, or 90% of your average weekly earnings, whichever is less paternity leave up to two weeks time off. Please read through the terms and conditions below and if you think you might qualify, fill in the form opposite and complete the declaration on page 2. If you need help, please contact any HM Revenue and Customs office. You can find the phone number in The Phone Book under HM Revenue and Customs. Terms and conditions SPP and paternity leave are available to: a biological father a partner, husband or civil partner that is not the baby s biological father. You must be able to declare that: you are - the baby s biological father, or - married to or in a civil partnership with the mother, or - living with the mother in an enduring family relationship, but are not an immediate relative, and you will be responsible for the child s upbringing, and you will take time off work to support the mother or care for the child. You must be continuously employed by the same employer during the whole of the pregnancy. To get SPP you must also have average earnings over a set period above a set amount your employer will work this out for you. You cannot start your paternity leave before the child is born. You can choose to take one or two whole weeks leave, but not two separate weeks, which must end by the 56th day after the date of birth. If the baby is born early you can choose to take your leave any time between the actual date of birth and the end of an eight week period starting from the Sunday of the week the baby was originally due. You cannot take odd days off work, but the weeks can start on any day, for example, from Tuesday to Monday. ICO Version No. 2.0.0 Page 31 of 42

You must discuss your leave plans with your employer and tell them what time off you want by the 15th week before the week the baby is due. Your employer can tell you when this is if you are not sure. You can change your mind, but you must give your employer 28 days notice of the dates. If you do change your mind, you and your employer may find it helpful if you filled in a new form SC3 Statutory Paternity Pay/paternity leave. If you cannot tell your employer what time off you want in time, or the baby is born sooner or later than expected, please discuss the situation with your employer. If you are unable to resolve any disagreement contact any HM Revenue and Customs office for advice. Disagreements If your employer tells you that you are not entitled to SPP and/or paternity leave you can challenge that decision. If you need help with this, for: SPP contact any HM Revenue and Customs office paternity leave phone the Advisory Conciliation and Arbitration Service (Acas) Helpline number 08457 47 47 47. In Northern Ireland, phone the Labour Relations Agency on 028 9032 1442. Penalties Penalties may be charged where a person, either fraudulently or negligently, gives incorrect information or makes a false statement or declaration for the purpose of claiming entitlement to statutory adoption, paternity, maternity or sick pay. Further information and help We have not covered all of the law that relates to SPP and paternity leave on this form. So if you are in any doubt about your entitlement talk to your employer or contact any HM Revenue and depending on your circumstances you may not qualify for SPP and/or paternity leave. Your employer will let you know. If this is the case you will get more advice and information at the time. You can also: go to www.direct.gov.uk/workandfamilies or contact any Advisory Conciliation and Arbitration Service (Acas) office for more information about paternity leave and other employment rights. Phone Acas on 08457 47 47 47 or go to www.acas.org.uk The Department for Work and Pensions publication NI17A A guide to Maternity Benefits also has details of other booklets covering social security benefits and some brief information on paternity. Go to www.dwp.gov.uk/advisers/#techguides Information on all aspects of employment legislation is also usually available from any Citizens Advice Bureau, low pay units and Trade Unions. If you are not entitled to SPP you may be entitled to other government help. Contact any Jobcentre Plus office for further information. ICO Version No. 2.0.0 Page 32 of 42

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Appendix 7 Application for Foster Leave Name Department Address NHS start date Trust start date Actual date of placement Dates of paid foster leave approved in the last 12 months Foster leave start date Type of leave applied for Duration of paid foster leave applied for Paid foster leave Annual leave / time owing Unpaid One week Two weeks Actual date of placement Applicant Signature Date Line Manager Name Signature Date Approved? Yes No If not approved provide details Please send the completed form to the Human Resources Department, Corporate Office, Southport and Formby District General Hospital ICO Version No. 2.0.0 Page 39 of 42

SOUTHPORT and ORMSKIRK HOSPITAL NHS TRUST Appendix 8 RISK ASSESSMENT FOR NEW AND EXPECTANT MOTHERS NAME: DEPT: EDC: DATE: AREAS TO BE CONSIDERED Is there a Risk? YES/NO DETAILS (Please continue on a separate sheet if necessary) CONTROL MEASURES (Please continue on a separate sheet if necessary) Manual Handling Ionising Radiation Extremes of Heat or Cold ICO Version No. 2.0.0 Page 40 of 42