REDUNDANCY/APPOINTMENT SELECTION CRITERIA

Transcription

1 AGENDA ITEM 3.1 REDUNDANCY/APPOINTMENT SELECTION CRITERIA Executive Lead: Director of Workforce and OD Author: Head of HR Policy & Compliance Contact Details for further information: Andrew Crook SITUATION Following the issuing of the formal notice under section 188(4) of the Trade Union and Labour Relations (Consolidation) Act 1992, a set of Redundancy/Appointment Selection Criteria has been developed. A copy of the Selection Criteria is attached as Appendix 1. This report outlines the background to the Selection Criteria; the detailed discussions that have taken place with the Trade Unions and; the current position where there is a lack of formal agreement with the Trade Unions. BACKGROUND The UHB does not have a formal Redundancy Policy but throughout the discussions at the Formal Consultation Group it has been reiterated that the UHB would follow the Organisational Change Policy (OCP) for NHS Wales in the management of the changes. The OCP includes a Redundancy Policy and includes a specific section on Selection Methods which states: Selection Methods Selection methods will be agreed locally according to the circumstances of the reduction in posts, the staff groups involved and the requirements of the service and the organisation following the change. Any or all of the following may be considered as criteria for selection, bearing in mind the requirement that selection must be based on objective criteria: - length of service; - attendance record; - sickness record (use of this criteria must be carefully managed in accordance with the Equality Act 2010); - disciplinary record; - qualifications; - skills; - competencies; - work experience; and performance records (based on formal documented and objective evidence e.g. performance management / development review documentation. The organisation must take care when designing and applying selection criteria to avoid Redundancy Selection Criteria page 1 of 22 Local Partnership Forum

2 using factors which may directly or indirectly discriminate against any member of staff on the grounds of gender, ethnic origin, disability, religion or belief, age, sexual orientation, pregnancy, part time employment status, trade union membership. On the basis of the objective criteria outlined above, the Operational HR team developed a set of proposals various iterations of which have been provided for and discussed with the Clinical Board Lead Trade Union representatives through the Workforce Partnership Group and with local and national trade union representatives a number of times through the Formal Consultation Group. The Selection Criteria proposals were discussed most recently at the Formal Consultation Group on 4 December. It was not possible to secure joint agreement to the criteria through these discussions. Trade Union representatives recognised the need for selection criteria and could see the connection and consistency with the Organisational Change Policy for NHS Wales. They acknowledged that they had provided views and engaged in discussion with Health Board representatives to inform the development of the criteria, that there was no particular problem or issue with the criteria but also confirmed that they were not (and would not be) in a position to sign off the final document, as a matter of principle. In confirming that they would not approve the selection criteria the trade unions acknowledged that the Health Board needed to proceed to do so and were content that the proposals would be taken to the Management Executive for discussion. The Redundancy/Appointment Selection Criteria were discussed at the Management Executive Meeting on 16 December 2013 where it was recommended that they should be sent to the People, Performance and Delivery Committee for approval. This paper does not reflect the PPD Committee discussion on the 28 January 2014 and a verbal update will be provided at the meeting. ASSESSMENT The UHB has developed a set of Redundancy/Appointment Selection Criteria based upon the suggested criteria in the OCP. As part of the development of the proposals, the UHB has engaged in conversations with local Trade Union representatives, Regional Trade Union Officers and National Officers and had taken comments and incorporated these into the final document. The Trade Unions have confirmed that they are not in a position, as a matter of principle, to actively approve the Selection Criteria. However, they have not opposed or raised any particular issues with the Selection Criteria contents. The Trade Unions are aware that the matter will now be taken forward but cannot agree to the proposals. Whilst the UHB would prefer to have secured agreement on the Selection Criteria, there is a recognition that the Trade Unions have taken a principled stance. On this basis, the assessment was that the Selection Criteria should be formally agreed by the People, Performance and Delivery Committee and that there should be a short review period once the Selection Criteria has been implemented. The Selection Criteria have been subjected to a detailed and comprehensive Equality Impact Assessment. Redundancy Selection Criteria page 2 of 22 Local Partnership Forum

3 RECOMMENDATION The Local Partnership Forum is asked to: NOTE the Redundancy/Appointment Selection Criteria NOTE the requirement for a short review period following the implementation of the Selection Criteria. NOTE the verbal update, including the outcome of the decision by the People, Performance and Delivery Committee. Financial Impact Quality, Safety and Experience Standards for Health Services Risks and Assurance Any redundancies will by necessity have a financial impact. Each case will be subject to approval by the Remuneration and Terms of Service Committee The rationale for any proposals which result in redundancies would have taken into account the impact on quality, safety and experience. The recommendation that the Selection Criteria be approved impacts on the delivery of the Standard 25 Workforce Recruitment and Employment Practices in the Standards for Health Services in Wales. The Report provides assurances against Healthcare Standard 25 Equality and Diversity The Selection Criteria is subject to a detailed Equality Impact Assessment (EQIA) Redundancy Selection Criteria page 3 of 22 Local Partnership Forum

4 Agenda Item 3.1 Appendix 1 Redundancy/Appointment Selection Criteria Introduction Selection methods, and therefore criteria, are a fundamental point of agreement as part any organisational change consultation process. In certain situations, it will be necessary to use selection criteria as a method of selection instead of interviews. The two primary reasons will be:- - When the numbers of staff affected by a proposed change mean that an interview process for each member of staff to select who is at risk of redundancy would be impractical; - When there are a number of staff who have been designated at risk, and are being considered for redeployment to another post within the Health Board, and the numbers of staff affected mean that an interview process would be impractical. The use of criteria provides an objective method for selection. This process is to ensure that, where appropriate, every employee affected by proposed changes is evaluated against a key set of criteria which is applied fairly and consistently, and agreed, where possible, in partnership with our Trade Union colleagues. Process The Organisational Change Policy (OCP) for NHS Wales provides that selection methods will be agreed locally according to the circumstances of the reduction in posts, the staff groups involved and the requirements of the service and the organisation following the change. The OCP also states that any or all of the following may be considered as criteria for selection, bearing in mind the requirement that selection must be based on objective criteria :- - length of service; - attendance record; - sickness record (use of this criteria must be carefully managed in accordance with the Equality Act 2010); - disciplinary record; - qualifications; - skills; - competencies; - work experience; and performance records (based on formal documented and objective evidence e.g. performance management / development review documentation. The UHB will ensure that care is taken in applying the selection criteria to avoid using factors which may directly or indirectly discriminate against any member of staff on the grounds of any protected characteristic, and will minimise the risks associated with such a process. Any selection criteria will be applied fairly, objectively, consistently and carefully. Staff representatives will be involved in the process as far as possible / appropriate. It is important to gather as much documentary evidence as possible to support the scoring process. This has been considered and outlined below with details as to how the risks can be mitigated. Redundancy Selection Criteria page 4 of 22 Local Partnership Forum

5 Where selection criteria are used, the scoring and weighting will be agreed, where possible, with Trade Union representatives, prior to the process of scoring commencing. It is also proposed that once initial scoring has taken place, if practical to do so, a line will be drawn and those staff with scores below the line may be given the opportunity to be considered for posts by competitive interview. The practicality of this approach will depend on the numbers below the line, and whether this number is a practical number to conduct interviews for. A process flow chart to explain how and when the selection criteria will work is shown at Appendix 1. Note: Where an employee is pregnant or on maternity leave, the manager leading the change must contact an appropriate member of the Human Resources Change Management team before proceeding with the selection process. The ACAS guide to managing redundancy for pregnant employees or those on maternity leave state that legally, the beginning of pregnancy to the end of maternity leave is a protected period during which a women is entitled to special consideration if this is necessary to make good any disadvantage she may otherwise experience. The selection criteria scoring sheet is shown at Appendix 2. Where an employee considers that the process of applying the selection criteria has been unfair, or has been flawed in some way, they will be entitled raise a grievance. In these instances, where staff are dissatisfied with the scoring process, the Internal Grievance process shown at Appendix 3, with attached Grievance Form, will be used. Alternative Work Form Staff will be asked to complete an Alternative Work Form (AWF) when identified as at risk and before the scoring process commences. This form is shown at Appendix 4. Support is available from HR, Trade Union representatives and the Learning, Education and Development Department (LED) to assist staff in completing these forms in full. Interview and Career Coaching is also available to staff via the LED Department and available training dates and booking arrangements will be organised by the Change Management Team. Scoring Panel For the selection process to be carried out fairly, the person who does the scoring should be in a position to properly assess the individuals affected by the change against the chosen criteria, with direct knowledge of the employee or access to verified records of the employee s performance this will ordinarily be the line manager, in consultation with managers leading the change. In circumstances where the scoring is not carried out by the employee s manager, it will usually be necessary for the manager to have some input into the scoring process. The scoring process will be conducted along with a representative from the Human Resources Department. The scoring could be weighted on any criterion on the basis of its importance for the particular post; or in consideration of any potential disadvantages that employees may have encountered that may have affected their ability to meet the requirements for the post. Redundancy Selection Criteria page 5 of 22 Local Partnership Forum

6 Appendix 1 Selection Criteria Flow Chart The selection method to be used for each change would be agreed with Trade Union colleagues, where possible, when the proposal is discussed at the initial stages of the change management process End of formal consultation Staff need to be selected to determine who is formally at risk of redundancy, or is selected for a post in the revised structure. However, the numbers of staff affected by the proposed change mean that an interview process for each member of staff to select is impractical. Where selection criteria are used, the scoring and weighting will be agreed, where possible, with local trade union representatives, prior to the process of scoring commencing. It is also proposed that once initial scoring has taken place, if practical to do so, a line will be drawn and those staff with scores above the line may be given the opportunity to be considered for posts by competitive interview. The practicality of this approach will depend on the numbers above the line, and whether this number is a practical number to conduct interviews for. Member of staff completes alternative work form (to be used along with any other available data to inform scoring) Those selected and designated as at risk of redundancy are provided with a letter confirming this. Details of member(s) of staff included on the vacancy clearing house. Potential suitable alternative employment identified for member of staff across C&V UHB, where possible. Criteria may also be used at this stage where there are a number of staff who have been designated at risk, and are being considered for redeployment to another post within the Health Board, and the numbers of staff affected mean that an interview process would be impractical (applying the same principles detailed above). Once scoring / interviews have taken place:- Either 1) work trials are confirmed; 2) notice is given; and or 3) further redeployment opportunities are sought.

7 Appendix 2 Date of Completion: Personal Details Redundancy / Appointment Selection Criteria Post Title and Employee Name: Band Department Clinical Board Details of Vacancy Name of Vacancy under Review Band Hours Details of Reviewers Name of Manager Name of Second Manager (Where Relevant) Name of HR Representative Qualifications (evidence taken from the personal record/alternative work form/certificates) Score Person has the essential and desirable qualifications outlined in the person specification 5 Person has the essential qualifications outlined in the person specification 4 Part qualified and/or working towards /equivalent experience 3 Meets part of the qualifications required and could receive training 2 Does not meet the criteria 1 Redundancy Selection Criteria page 7 of 22 Local Partnership Forum

8 Risks There are risks of perhaps indirect age discrimination, for example where staff may not have the particular qualification or a qualification no longer exists or is new (discriminating against younger or older employees). In addition, there may be issues around discrimination if staff of a particular protected characteristic have been unable to access training. Mitigation There may be reasons why particular qualifications are required as part of professional roles but where possible consideration should also be given to relevant experience or evidence of continuous professional development, in the next section. Experience (evidence taken from the personal record/alternative work form) Score Has the essential and desirable experience required for the role 5 Has the essential experience, gained in relevant settings, required for the role 4 Has some, but not all, of the essential experience required for the role 3 Has insufficient experience required for the role 2 Has none of the experience required for the role 1 Experience must be relevant to the requirements of the post. Risks This could potentially be age discriminatory with younger workers potentially having less time to have accrued relevant experience or indirectly to those (particularly women) who may have had time away from working due to bringing up children/working part time. Mitigation Particular experience may be necessary for the role which means that this has to be taken into consideration but is not necessarily dependant on years but the types of experience. Redundancy Selection Criteria page 8 of 22 Local Partnership Forum

9 Skills (evidence taken from the personal record/alternative work form) Score Has the essential and desirable skills required for the role 5 Has the essential skills, gained in relevant settings, required for the role 4 Has some, but not all, of the essential skills required for the role 3 Has insufficient skills required for the role 2 Has none of the skills required for the role 1 Risks Consideration needs to be given to those who have a disability and may need adjustments in line with the Equality Act so that they are not disadvantaged or those who have not had the same opportunity to develop skills as others. Mitigation This is mitigated by any reasonable adjustments that can be made to the role, or opportunities to develop skills. Knowledge (evidence taken from the personal record/alternative work form) Score Has the essential and desirable knowledge required for the role 5 Has the essential knowledge, gained in relevant settings, required for the role 4 Has some, but not all, of the knowledge skills required for the role 3 Has insufficient knowledge required for the role 2 Has none of the knowledge required for the role 1 Risks There is a risk that some staff may have not had a PADR or been able to attend/access training to develop knowledge. This may include those who work part time/particular work patterns. Mitigation Consideration could be given to the weighting of the scoring should there be evidence of this. Redundancy Selection Criteria page 9 of 22 Local Partnership Forum

10 Disciplinary Record (evidence taken from the personal file) (live warnings, or warnings which have expired in the last 12 months) Informal counselling Verbal warning First written warning Final Written warning / Action short of dismissal Score Risks Disciplinary records are considered an acceptable criterion provided that the scoring is consistent and applied in a reasonable way. It may even be acceptable to take into account expired disciplinary warnings for this purpose, although these should be given less weight than any unexpired warnings. Mitigation Where expired warnings are used then consideration will need to be given to the individual circumstances and to only consider those perhaps that expired in the last 12 months. Attendance (evidence taken from the personal record) episodes relating to a disability or work related incident should not be included No Sickness +4 Score Bradford Score of Below 10 points Bradford Score of Below 90 points Bradford Score of Below 200 points Bradford Score of Above 200 points Redundancy Selection Criteria page 10 of 22 Local Partnership Forum

11 Risks Attendance is a potentially fair criterion. However, care should be taken to ensure that the absence records are accurate and also to consider the reasons for the periods of absence. Absences due to pregnancy-related illness, and those directly related to an employee s disability should be discounted to avoid disability discrimination or sex discrimination. Mitigated For calculating the remaining sickness, scoring can be carried out objectively by setting parameters according to both length and frequency of absences, so that a higher number of short-term absences scores lower than a smaller number of long-term absences. However, consideration needs to be given to the possibility that absences may result from a previously undisclosed disability, and be prepared to consider revising the score to discount any disability-related absence. If we take long term out of this process we are unable to use the stages of the Sickness Absence Policy as they may include episodes of long term sick we may therefore need to use something like the Bradford Factor to determine amount of sickness. Performance (evidence taken from the personal record) Capability - Initial Discussion Capability - First Formal Interview Capability - Second Formal Interview Score Risks PADRs should be used for the purposes of assessing performance as part of the selection criteria but we are aware that some employees may not have taken part in one yet. Instead, what would be taken into account would be those being managed under at any stage under the UHB Capability Policy. Mitigation Where there is evidence that the formal capability process has commenced. This next criteria may be used but usually in the case where following scoring of other criteria, two or more employees are scored equally. This should only be used as part of a balanced set of criteria to avoid any potential discrimination. Redundancy Selection Criteria page 11 of 22 Local Partnership Forum

12 Length of Service (evidence taken from the personal record) This must be continuous and completed years of NHS service Over 15 years service 5 Between years service 4 Between 5 and 10 years service 3 Between 2 and 5 years service 2 Up to 2 years service 1 Score Risks The application of "last in, first out" (LIFO) has the advantage of being objective and easily measurable. However, this method has the disadvantage of not necessarily resulting in the retention of the staff with the best skills to meet the future needs of the needs of the service. In addition, the use of this criterion risks a challenge that it is indirectly discriminatory on the grounds of age and potentially sex. It can also amount to indirect discrimination against younger workers, who will have had less opportunity to build up length of service than older workers. Mitigation This criterion is likely to be acceptable if only used as part of a balanced set of criteria, perhaps as a deciding factor when two employees are scored equally on other criteria. Redundancy Selection Criteria page 12 of 22 Local Partnership Forum

13 Appendix 3 SELECTION CRITERIA GRIEVANCE PROCESS 1. INTRODUCTION AND SCOPE In the spirit of partnership working it is anticipated that every effort will be made to resolve disputes related to these processes informally and without the need to invoke the Grievance Policy. It is, however, recognised that there will be circumstances in which the use of this process will be necessary where employees are dissatisfied with the outcome of their selection criteria scoring or the process followed. In those circumstances, the UHB s Grievance Policy will be used, subject to the following amendments, in order to prevent delays which may unduly affect the organisation s functions or its employees. 2. AMENDMENTS Form Employees will complete the form shown in Appendix 3. Timescales The following amendments will be made to the timescales set out within the UHB s Grievance Policy in order to ensure timely resolution of disputes in relation to the Internal Deployment Procedure:- Stage 1 Initial Informal Grievance Discussion Within 7 Calendar days Stage 2 Formal Grievance Hearing Within a further 7 Calendar days Stage 3 Grievance Appeal Within a further 7 Calendar days Every effort will be made by all parties to adhere to these timescales and to attend meetings arranged to allow these timescales to be met. Grievance Appeal Panels In all cases where an appeal is lodged against a decision made at Stage 2, the appeal at Stage 3 will be heard by an Assistant Director and a Trade Union Representative from a different union to the individual who lodged the grievance. The manager hearing the appeal may wish to be supported by an HR and/or professional adviser as appropriate. Redundancy Selection Criteria page 13 of 22 Local Partnership Forum

14 Redundancy Selection Criteria page 14 of 22 Local Partnership Forum

15 ALTERNATIVE WORK FORM DETAILS OF MEMBER OF STAFF SEEKING ALTERNATIVE EMPLOYMENT Personal Details Appendix 4 Surname/Family Name First Names Name in which you are registered with a professional body (if applicable) Title Employee No. Address Postcode Mobile Telephone Home Telephone Work Telephone Work Address Personal Address Correspondence Preference Home Address Work Personal Start Date with Cardiff and Vale UHB Personal Profile: Outline in 3 or 4 sentences that what you feel you can bring to a role Personal Work Related Achievements: Note up to 3 of your biggest achievements in work to date. This could include a large or small scale change or you could have led on it or contributed to a wider team who changed or innovated a service. Education & Professional Qualifications Include in this section all the relevant qualifications. Please also indicate subjects currently being studied. Subject/Qualification Place of Study Grade/result Year

16 Education & Professional Qualifications (cont.) Include in this section all the relevant qualifications. Please also indicate subjects currently being studied. Subject/Qualification Place of Study Grade/result Year Training Courses Attended Include in this section any relevant training courses that you have attended or details of courses that you are currently undertaking. Course Title Training Provider Duration Date Completed Membership of Professional Bodies Include in this section any relevant professional registrations or memberships. Please indicate your Professional Registration status: Not Required for this post I have current UK registration UK registration applied for UK registration not yet applied for I am a student If professional registration is not required then go to Employment History. If you are registered then please enter the relevant details below: Professional Body Membership or Registration type Membership/Registration PIN Expiry/Renewal Date If you are applying for a post that requires professional registration you are required to provide the following information: Are you currently the subject of a fitness to practise investigation or proceedings by a licensing or regulatory body in the UK or in any other country? Have you been removed from the register or have conditions been made on your registration by a fitness to practise committee or the licensing or regulatory body in the UK or in any other country? Yes No Yes No

17 Employment History Please record below the details of your current post Job Title: Grade/Band: Clinical Board Directorate: Base e.g. Hospital: Ward / Department / Specialty Clinical Board: Reporting to: (Name & Job Title) Hours: Description of your current duties and responsibilities: Did your current post require you to have a Work Permit? Yes / No Previous Employment Please record below the details of your previous employment beginning with the most recent first. Please explain any gaps in employment in the Supporting Information section below. Previous Employer 1 Employer Name Address Job Title From Date Grade/Band To Date Reason for Leaving

18 Description of your duties and responsibilities Previous Employer 2 Employer Name Address Job Title From Date Grade/Band To Date Reason for Leaving Description of your duties and responsibilities

19 Previous Employment (Please list) Post/Job Title Grade/Band Ward/Department/ Directorate Trust/Other Employer Dates From To Duties in Brief

20 Supporting Information In this section please give your reasons for being interested in this post and additional information which shows how you match the Person Specification for the job - you will have received this information with the Job Description. This can include relevant skills, knowledge, experience, voluntary activities outside of work etc. If relevant to the post you should include details about research experience, publications or poster presentations, clinical care (knowledge and skills) and clinical audit. Supporting information (Please continue on additional sheets if necessary). Additional Details: Types of work/posts/specialties being sought: Sites in the UHB are: Please ring your preferred sites. University Hospital of Wales, University Hospital of Llandough, Whitchurch, Cardiff Royal Infirmary, Rookwood, Barry, Clinics, Lansdowne. Sites which will definitely NOT be considered: Employment Type (please TICK your preferred options): Employment Type (please TICK any other options which you would be willing and able to consider): Full Time Part Time Job Share Flexible Hours Nights Days Weekends Full Time Part Time Job Share Flexible Hours Nights Days Weekends Redundancy Selection Criteria Page 20 of 22 Local Partnership Forum

21 If part time/job share how many hours?: (Please quote range which you would consider) Do you have access to a vehicle which can be used for work purposes? Yes No Do you have a valid driving licence for the UK? Yes No Please specify the vehicle category for which you hold a licence Motorbike (A) Car with Trailer (B + E) Medium Sized Vehicle with Trailer (C1 + E) Car (B) Medium Sized Vehicle (C1) C1 Provisional Licence Minibus (D1) Minibus with Trailer (C1 + E) Large Goods Vehicle (C) Large Goods Vehicle with Trailer (C + E) Passenger Carrying Vehicle (D) Passenger Carrying Vehicle with Trailer (D + E) Current Line Manager Surname/Family name First Name Job Title Ward/Department Clinical Board Directorate Hospital Contact telephone number REFERENCES Your referees should be from your current/previous line manager and one other person who can provide information about your work such as a manager or supervisor Referee 1 Surname/Family name First Name Job Title Ward/Department Clinical Board Directorate Hospital Contact telephone number Referee 2 Surname/Family name First Name Job Title Ward/Department Clinical Board Directorate Hospital Contact telephone number Redundancy Selection Criteria Page 21 of 22 Local Partnership Forum

22 DECLARATION I declare that the information in this form is true and complete. I agree that any deliberate omissions, falsification or misrepresentation in this form may be grounds for Disciplinary action up to dismissal. This applies equally to any medical questionnaire/forms I may complete. Signature Name Date Redundancy Selection Criteria Page 22 of 22 Local Partnership Forum