LANCASHIRE COUNTY COUNCIL

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1 LANCASHIRE COUNTY COUNCIL MODEL PROCEDURE FOR THE APPOINTMENT OF SUPPORT STAFF ARISING FROM THE AMALGAMATION, REORGANISATION OR OTHER STATUTORY CHANGE IN DELEGATED SCHOOLS (JULY 2016) 1. INTRODUCTION (c) (d) Lancashire Children's Services Authority (LCSA), the diocesan/church authorities, recognised trade unions and the governing body/bodies, conscious of the anxiety and uncertainties which arise in connection with the amalgamation, reorganisation or closure of schools wish to do all in their power to minimise problems which may arise. Following consultation, the LCSA, the diocesan/church authorities and the recognised trade unions have agreed that these procedures be commended as the vehicle for affecting the amalgamation, reorganisation or other changes, having regard to the statutory duties of the authority, the roles of governing bodies of all schools involved and to the interests of pupils and staff. A temporary governing body will be constituted for the new school (schools) established as a result of such changes and will be responsible for the application of these procedures. A temporary governing body/duly constituted staffing committee will consider and agree the staffing structure and must nominate governors who will be available to serve on an appeals committee and must not be involved in decisions of the first committee involving matters which may be referred to them for appeal. 2. PARTIES TO THE AGREEMENT This agreement is made between the Lancashire Children's Services Authority (LCSA), Unison, Unite, General Municipal and Boiler Maker's Union (GMB) and the relevant temporary governing body. 3. PURPOSE OF THE AGREEMENT The purpose of these procedures is: To resolve uncertainties as soon as possible, and to minimise staff disruption by providing alternative posts in the new school (schools) at the earliest opportunity. To safeguard the employment of staff having employment protection rights in the schools directly affected and wherever possible take action to attempt to find suitable alternative employment for those staff for whom it has not been possible to offer continuing employment within the 1

2 new school(s). (c) (d) Where there are insufficient posts for existing eligible staff as a result of the application of these procedures, those staff in categories of risk will be identified as being in a potential redundancy situation. The Authority will issue Section 188 notices to the recognised unions in advance of the application of this procedure, identifying potential categories and numbers of staff at risk, so that consultation can be undertaken. All parties agree that these procedures satisfy the requirements of the LCSA and the existing governing bodies in respect of redundancy procedures, but further specific meetings will be arranged, if required, on staff reductions and voluntary options to mitigate any requirement for redundancy. If in the view of any of the parties concerned these procedures are not operating as agreed there will be an opportunity for staff or their trade union representatives to make representations to the temporary governing body concerned. Such representations may be made at any stage during the procedures. (e) The LCSA, the governing body and where appropriate the diocesan/church authorities concerned will do all in their power within the scheme for financing schools and the resources available to ensure that staffing and financial resources take account of the needs of the new school. The LCSA will produce an estimated budget share based on an assessment of the estimated pupil numbers. It will be a matter for the governing body to determine the staff establishment of the new school. 4. SCOPE OF AGREEMENT (c) This agreement covers all permanent support staff with employment protection rights employed in the schools which are the subject of amalgamation/reorganisation or other changes. The position of temporary staff will depend on the nature and duration of their contract but action will be conditioned by the Fixed Term Employees (Prevention of Less Favourable Treatment) Regulations Within the terms of this agreement, members of staff will be considered for new posts commensurate with their current substantive posts rather than any acting-up post they may occupy temporarily prior to the reorganisation. Such changes will normally take effect from the beginning of an academic year. Other than in exceptional circumstances, all formal offers of posts will be made prior to the normal notice period before the effective date of the change. In any event, any member of staff currently holding a contract who accepts a contract in the new school will not lose continuity of service or employment rights. 2

3 (d) (e) (f) (g) (h) Where the School Organisation Committee has not yet approved the change, the procedures may still commence. However, formal offers of posts will be conditional on that approval being given. Where, as part of the statutory procedures, two or more schools are closed or amalgamated and a new school is established, all eligible support staff will be considered for posts in the new school. Where, as part of the statutory procedures for the extension or the reduction of the number of places in a school(s), or for the significant change in character of a school(s), one or more schools is closed and a new school is established, all eligible support staff from the school(s) will be considered for posts in the new school(s). These procedures will not apply where a school is closing and pupils are transferred to existing schools. In such circumstances consideration of the staffing implications will be the subject of separate discussion with the Trade Unions. Where statutory procedures are required to reduce the standard number of a school and as a result there is a reduction in support staff needs, the Authority will consider voluntary means to reduce the staffing levels and will take reasonable steps to seek to identify possible alternative employment before pursuing formal redundancies. 5. ADVANCE PUBLICITY (c) The preparation of plans for changes in school provision involves the LCSA, governing bodies and where appropriate the diocesan/church authority. Consultation will take place with recognised trade unions, staff and the community. Further publicity occurs if public notices are issued or a scheme is submitted to the School Organisation Committee. When a change is approved, detailed information will be made available to the staff affected. Before change is implemented, arrangements will be made for meetings of the governors and of staff at which the implications of the proposal(s) can be explained. At the earliest opportunity prior to changes in school provision, arrangements will be made to outline to staff and to the governing bodies the sequence of steps leading up to the implementation of the change, including provisional dates for the various stages of the process. 6. APPOINTMENT OF SUPPORT STAFF Determination of Staffing Structure/Consultation Arrangements (i) The headteacher designate in consultation with the Temporary Governing Body/Committee of the governing body concerned and, 3

4 where appropriate, the authority's officers/diocesan/church authority officers, will prepare a staffing structure setting out the proposed posts and job descriptions to be designated in the new school. (ii) (iii) (iv) (v) The Temporary Governing Body/Committee of the Governing Body will need to consider and agree the proposed staffing structure taking account of any representations made by authority officers and where appropriate diocesan/church authority officers. The proposed staffing structure with grades and job descriptions will be made available to all eligible staff affected by the change and to the recognised trade union. Formal section 188 notices will be issued, if appropriate, to the recognised trade unions. Meeting(s) will be arranged with staff to explain the structure and the process for moving to the new structure, to receive any comments on the proposed structure, job roles etc and to provide information on what, if any, alternative options might be available, together with any other relevant information (this may be a joint meeting with teaching staff where appropriate). A proposed timetable for the process will be made available. The recognised trade unions will be invited to attend. At least five working days notice will be given of the meeting. (vi) Formal arrangements will be made at this stage for any necessary consultation with recognised trade unions in relation to any proposals for staffing reductions identified in any section 188 notices. (vii) The headteacher(s) designate and Temporary Governing Body/Committee of the Governing Body will where necessary consider any comments received and whether to make any adjustment to the staffing structure or posts. (viii) Following final approval of the staffing structures and posts, information about all the available posts will be made available to all eligible staff. Appointing Staff to Posts in the New Structure (i) All eligible staff to complete a personal profile (Annex A) to be returned within defined timescales. Note: This is not an application form; it is simply to ensure that accurate 4

5 and relevant information is available as a basis for making decisions on appointments to the new structure. There is no need for staff to include information in all boxes if not relevant. (ii) All eligible staff to complete a preference form (Annex B) to be returned within defined timescales. Note: Where there are groups of staff of the same job grouping/grade and there are sufficient posts in the new structure for staff eligible for consideration, it may be agreed that there is no need for the completion of personal profiles and preference forms and a meeting may be held with all staff together within the defined groups, to confirm that they would be offered appointment to the new structure. These arrangements may also be applied where the nature of the reorganisation would be facilitated by such a discussion with groups of staff, rather than on an individual basis. Such staff will be able to request to complete a personal profile and preference form if they wished to be considered for other posts/alternative working arrangements, etc and this was in the interests of the reorganisation Staff may express a preference for posts other than those which they currently undertake but the procedure does not entitle any member of staff to a promotion post or different type of post to that undertaken. At least one preference should be for a post at the level of the current permanent post carried out, where such a post exists on the new structure. If there is no identifiable post at the current substantive grading level staff should include a post which is the nearest aligning match in terms of grade this may be at a lower or higher grade. In these circumstances the employee should indicate in submitting their preference form that it was not possible to identify a suitable post at their current substantive grading level. In completing preference forms staff will in addition, have the ability to express preferences which include voluntary adjustments to working hours, voluntary redundancy, etc. (iii) Following receipt of the personal profile and preference form the Panel comprising the Headteacher Designate, designated officer on behalf of Human Resources and any other person supporting the Headteacher designate may arrange a meeting with a member of staff solely for the purpose of clarifying the preferences expressed and possible alternative options. Members of staff may equally request such a discussion with representatives of the 5

6 Panel if there is a need to clarify possible alternative options and this cannot otherwise be achieved. This discussion is not an interview process and the request for such a discussion by staff is entirely at their discretion. Note: The member of staff may be accompanied by a friend or trade union representative. This discussion may not be necessary in relation to groups of staff of the same job grouping/grading where there are sufficient posts in the new structure for staff eligible for consideration and there are no changes in working arrangements. (iv) The headteacher designate, designated officer on behalf of Human Resources, and any other person supporting the headteacher ("The Panel") having before them the agreed staffing structure and where appropriate personal profiles, preference forms and joint work/experience statements, will make recommendations to the Governing Body/Committee of the Governing Body, who will agree offers of appointment to the new structure. In making such recommendations the Panel will have regard to the criteria set out under (c) below. Note: In some situations it will be appropriate for the Panel to comprise the Headteacher designate of two amalgamating schools. (v) (vi) The member of staff will be notified in writing of the offer of the post within the new structure and will be asked to confirm acceptance within five working days of receipt of the letter. Failure to confirm acceptance within this period will be viewed as acceptance of the offer. Where a member of staff considers that the post which they have been offered is unsuitable he/she may request a meeting with the Panel, accompanied by a friend/trade union representative if he/she so wishes, to put their concerns. Where appropriate other possible options will be considered. Such a meeting must be requested within five working days of the formal offer of appointment. A meeting of the Panel will then be arranged as soon as possible. The member of staff has a formal right of appeal against the outcome as set out in paragraph 7 which must be exercised within five working days of the meeting of the Panel. 6

7 (vii) If there are insufficient posts for available staff and it is necessary to declare staff redundant following completion of the formal process of consultation, the member(s) of staff must be notified in writing that they have been selected for redundancy and the basis upon which they have been selected and must be invited to attend a meeting of the Panel to discuss the selection. The member(s) of staff should be given a minimum of five working days' notice of the meeting and advised that they may be accompanied by a work colleague or trade union representative. At the meeting the member of staff must be informed as to the reasons for their selection for redundancy and the member of staff must be given the opportunity to respond. Following the meeting the member of staff must be notified of the decision of the Panel and informed of their right of appeal against the decision if they are not satisfied with it. Such appeal will be to the Appeals Committee of the (Temporary) Governing Body The member of staff must inform the Clerk to the Governors within five working days of receipt of the Notification if he/she wishes to appeal. Note: A mutually convenient date should be agreed with the employee and his/her representative if possible. Where this is not possible and the employee's chosen trade union representative or work colleague is not available on the specified dates, the employee has a statutory right for the hearing to be postponed for up to five working days if he/she can provide a reasonable alternative time within this five day period. This statutory right relates only to the availability of the chosen trade union representative or work colleague. It does not apply in relation to any legal representative or personal friend. (c) Criteria for Appointment to the New Structure In determining offers of appointment to the new structure the panel will have regard to the following criteria: (i) (ii) (iii) Duties and responsibilities of current substantive post. Grading/salary level of substantive post. Qualifications/in-service training relevant to posts. 7

8 (iv) (v) (vi) (vii) (ix) (x) Conditions of service including hours of work. Nature of previous experience. Suitability bearing in mind the nature of the particular duties and responsibilities to be undertaken. Location of current substantive post. The employee's total local government or equivalent service (as defined in the Redundancy Payments( Continuity of Employment) in Local Government etc Order Preferences expressed Where appropriate, staff will be subject to interview to determine suitability for a particular post (eg where there is more than one suitable candidate having regard to the above criteria, for a promoted post, or where a new type of post is introduced). Appointments to posts in the new structure will be on the basis of the grade/hours specified for the post unless otherwise determined. (d) Retraining Arising from appointment to a post in the new staffing structure some retraining may be necessary. The Headteacher/Senior Manager will ensure the necessary training is provided. This will, in most instances, be in-service, on the job training but consideration will be given to other forms of training where necessary. (e) Salary Protection (i) Where an employee's grading level is reduced, their existing grading level will be protected for a maximum period of 12 months. The 'protected sum' will be the scale point which they were on immediately prior to the school restructure. No other earnings or payments will be protected. No annual increments or cost of living increases will be applied to the 'protected sum' paid during the period of protection. In the event that an employee's grading level is further reduced during any period of protection the existing level of protection will continue until the original expiry date. At the point that this original protection period expires any remaining 'balance' of the protection period relating to the latest grading review or service restructure will then apply. The protection of earnings provisions set out above will apply 8

9 where a member of support staff is appointed/redeployed as a consequence of the reorganisation etc and where the grade of the new post is lower than that enjoyed in the previous substantive post immediately prior to the reorganisation. Such protection does not relate to numbers of hours worked. (ii) The school budget will meet the agreed costs of the protection of earnings. (f) Staff in Potential Redundancy Situation Where there are insufficient posts for existing eligible staff as a result of the application of these procedures, those staff in categories at risk will be identified as being in a potential redundancy situation. Every effort will be made to mitigate any requirements for redundancy and consideration will be given to voluntary redundancy/early retirement/compensation for voluntary reduction in hours to seek to achieve this. 7. APPEALS Staff will have a right of appeal to the Appeals Committee of the (Temporary) Governing Body in relation to: the post to which they have been offered appointment (there is no appeal in relation to a member of staff not being offered a post which they prefer); not being offered a suitable post in the new school(s), ie redundancy; the procedures which have been followed in relation to the formal offer of appointment/declaration of redundancy. (c) (d) (e) (f) A letter giving formal notice of appeal must be submitted to the Clerk to the Governing Body within five working days of the meeting of the Panel as set out in 6(viii) or of the formal notification of the decision of the Panel as set out in 6(vii). A representative(s) of the Schools Human Resources Team/Legal Team/Diocesan/Church authorities may also accompany the Appeals Committee. The member of staff has the right to attend and/or be represented by a friend/trade union representative, to call relevant witnesses and to make oral representation at the appeal hearing. The school will appoint a Clerk to the Appeals Committee. A letter giving notice of the appeal must be submitted to the Clerk to the Governors within five working days of the meeting of the Panel as set out under 6(viii) or formal notification of the decision of the Panel as set out under 6(vii). 9

10 (g) (h) (i) The member of staff must submit to the Clerk to the Governors a statement and any supporting documents within a further five working days, clarifying the reasons for the appeal. The Headteacher (or representative) will prepare a written statement clarifying the reasons for the Panel's decision. The Clerk to the Governors will write to all the parties notifying them of the date, time and place for the appeal hearing and including a copy any relevant documentation referred to in (g) and (h) above. The member of staff will receive these papers at least five working days prior to the hearing. Note: 1. A mutually convenient date should be agreed with the employee and his/her representative if possible. Where this is not possible and the employee's chosen trade union representative or work colleague is not available on the specified dates, the employee has a statutory right for the hearing to be postponed for up to five working days if he/she can provide a reasonable alternative time within this five day period. This statutory right relates only to the availability of the chosen trade union representative or work colleague. It does not apply in relation to any legal representative or personal friend. 2. Where these time limits in terms of "working days" cannot be met due to the proposed implementation date and the timing of school holidays, exceptional arrangements may be made for a hearing with "reasonable" notice this may be within a school holidays period. Procedure to be followed at the Hearing (i) (ii) (iii) (iv) (v) (vi) The headteacher (or his representative) responsible for the action which is the subject of the appeal shall present the reasons for taking such action and may call witnesses to support his/her case. The appellant and/or his/her representative will be entitled to question the presenter of the report and any witnesses called. The appellant and/or his/her representative will present their case and may call witnesses as necessary. The headteacher and/or his/her representative will be entitled to question the appellant and any witnesses called. The headteacher and/or his/her representative followed by the appellant and/or his/her representative will have the right to sum up their cases. At any stage the Appeals Committee, or others in attendance with the 10

11 agreement of the Chair, shall be entitled to question all parties. (vii) Witnesses may be recalled as necessary by agreement with the Chair. (viii) Both parties shall withdraw and the Appeals Committee will reach a decision and may be provided with advice by the Human Resources/ Legal/ Diocesan representative. (ix) The decision/recommendations* will be conveyed orally and subsequently confirmed in writing within five working days. *Some outcomes may need to be referred to the Governing Body/Staffing Committee for them to consider possible options. 11

12 SUPPORT STAFF REORGANISATION PROCEDURE CONFIDENTIAL ANNEX A - PERSONAL PROFILE NAME SCHOOL Before completing the form, please read Reorganisation Procedures "Appointing Staff to posts in the new structure". The purpose of this profile is to provide accurate and relevant information to assist in making appointments to posts in the new staffing structure. It is not an application form. Please indicate particulars of your substantive post and of previous posts (including your current post, if different to your substantive post) held in this and other schools/services. SUBSTANTIVE POST: (not secondment, not acting up post): Title of Post: Temporary: Permanent: Location: Grade: Point on Scale: Contracted Hours: Full Year: Term Time Only: If TTO, Working Weeks in year: If temporary - reason: Any other permanent or temporary allowance(s) / plusage(s): Details of any salary protection/safeguarding or other form of protection: OTHER POSTS: (Including acting Up/Secondments or previous posts please include dates of appointment, grade, scale, responsibilities: RELEVANT EXPERIENCE:

13 AREAS OF RESPONSIBILITY IN POSTS INCLUDING CURRENT POST QUALIFICATIONS (with dates) IN SERVICE TRAINING DURING LAST 5 YEARS (with dates) PROFESSIONAL SKILLS /INTERESTS & EXPERTISE Signed:.. Date:..

14 SUPPORT STAFF REORGANISATION PROCEDURE CONFIDENTIAL ANNEX B - PREFERENCE FORM NAME SCHOOL PREFERENCES FOR POSTS (state title and location of post and post number at least one preference should be at your substantive grading level) Preference Post Title Grade School 1 st 2 nd 3 rd ALTERNATIVE PREFERENCES (if any) and ANY OTHER RELEVANT OR SIGNIFICANT MATTER: Signed: Date:

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