Policy Summary. Policy Title: Redundancy Policy and Procedure. Reference and Version Number: HR57 Version 4

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1 Policy Title: Redundancy Policy and Procedure Reference and Version Number: HR57 Version 4 Author and Job Title: Elizabeth Morrell, ER Manager Executive Lead Director of Human Resources and Education Validated by: Policy Review Group Ratified by: Joint Forum Date Issued: 21 September 2016 Policy Summary This policy and procedure sets out to provide clear guidance to employees and managers in dealing with all cases of redundancy. The policy aims to give clear guidance to both managers and the HR department in the redundancy procedure. The policy outlines the way in which employees may be selected for redundancy, the notice required, redundancy pay and how to try to avoid a redundancy situation. Date for Review: 25 May 2019 Related Documents: HR20 Organisational Change HR48 Redeployment Policy HR58 Pay Protection Policy HR2 Grievance Policy This Policy is Intended for: Trust wide The Trust is committed to the fair treatment of all, regardless of age, colour, disability, ethnicity, gender reassignment, nationality, race, religion or belief, responsibility for dependants, sexual orientation, trade union membership or non membership, working patterns or any other personal characteristic. This policy and procedure will be implemented consistently regardless of any such factors and all will be treated with dignity and respect. To this end, an equality impact assessment has been completed on this policy. 1 of 19 (Date for review 25 May 2019)

2 Contents 1. Introduction 2. Philosophy 3. Strategic Objectives 4. Scope of the Policy 5. Responsibilities 6. Principles of Policy 7. Reducing the Risk 8. Procedure 9. Redundancy Pay 10. Repayment of Redundancy Pay 11. Employment Following Redundancy 12. Monitoring Appendices Appendix 1 Appendix 2 Appendix 3 Appendix 4 Eligibility for Redundancy Payments Exclusion from Eligibility for Redundancy Payments Appeals Agreement to the repayment of Contractual Redundancy Pay following redundancy at a previous NHS employer at VSM Grade 2 of 19 (Date for review 25 May 2019)

3 1. Introduction The Trust regards its employees as its most valuable asset and it is the Trust s aim to provide a stable work environment and security of employment for all staff. The Trust must however be able to respond to the need for organisational change and the development of its services, which may from time to time necessitate redundancies. Circumstances may arise where changes in the skills required from staff occur and/or there are changes in the way that services are organised and provided. In such circumstances the Trust will handle those changes in accordance with its Organisational Change Policy (HR20), so that redundancies are avoided wherever possible. 2. Philosophy In the event that reductions in the workforce become necessary the Trust will attempt, as far is practicable, to avoid redundancies. Where redundancies cannot be avoided it is the aim of the Trust to give fair and sympathetic attention to the interests of every individual affected. Managers will initiate the necessary procedures in accordance with this policy. 3. The Strategic Objectives of this Policy are to: clarify the role of managers, staff, the HR department and trade unions in the process of staff redundancy; enable managers to have clear direction and instruction on how to deal with staff redundancy, both sensitively and effectively; provide clear guidance to the HR department staff on how to successfully support managers to deal with staff redundancy, and to ensure that consistency is being adopted throughout the Trust. 4. Scope of the Policy This policy applies to all employees of North Tees and Hartlepool NHS Foundation Trust. Whilst this policy applies to all staff, the right to a redundancy payment is subject to the statutory provisions contained in Part XI of the Employment Rights Act 1996 (20). 5. Responsibilities 5.1 The Chief Executive is ultimately responsible for and fully endorses this policy and procedure. 5.2 Directors are required to ensure the maintenance of a working environment conducive to harmonious working relationships; 5.3 The Deputy Director of Human Resources will: be responsible for ensuring the implementation of this policy; 3 of 19 (Date for review 25 May 2019)

4 oversee the operation and review of this policy; advise managers, staff and Staff Organisations on the content of the policy and its interpretation; regularly review this policy in consultation with locally recognised Trade Unions and Staff Organisations; ensure the provision of appropriate training and guidance to enable all managers and supervisors to discharge their responsibilities under the policy in a fair and consistent manner. ensure the form HR1 has been completed and sent to the Department of Business Innovation and Skills (BIS) if the redundancies involved are more than 20 employees. 5.4 All Managers must: comply with all requirements of this policy and procedure; adhere to the principles of this policy; aim to address cases of staff redundancy both sensitively and efficiently; work with HR and trade unions collectively in the consultation process manage each case of staff redundancy on an individual basis. 5.5 Representatives of Staff Organisations will: provide advice and support for staff, as required, in the application of this policy/procedure. 5.6 Employees must: participate fully in the process and attempt to bring a resolution to their individual cases. 6. Principles of the policy This policy will mitigate the effect on staff and provide a fair and equitable process for implementing change where redundancies are involved. In times of anticipated organisational change, the Trust notwithstanding the statutory position will consult with staff side representatives. The Trust will consult directly with staff involved at the earliest opportunity, to provide both information with regard to the need for change and to develop an understanding of staff issues as a result of the change. The Trust in consultation with staff side organisations will seek to minimise the effect of redundancies through provision of sufficient time and effort to find suitable alternative employment for staff via the Redeployment Policy (HR 48). Every attempt will be made to identify suitable alternative employment. Where compulsory redundancy is inevitable, the Trust will handle any redundancies in the most fair, consistent and sympathetic manner possible and will minimise as far as possible any hardship that may be suffered by the employees concerned. 6.1 Definition of Redundancy The Employment Rights Act 1996 section 139 defines redundancy as a dismissal that is wholly or mainly attributable to the fact that the: 4 of 19 (Date for review 25 May 2019)

5 employer, either generally or specifically in the place where the employee is employed, has ceased or intends to cease carrying on the business for the purposes for which the employee was employed requirement of the business for employees to carry out work of a particular kind, either generally or specifically in the place where the employee is employed, has ceased or diminished, or is expected to cease or diminish. Cease and Diminished mean either permanently or temporarily and from whatever cause. 6.2 Legal Reference Consultation should begin in good time and in accordance of the Trade Union and Labour Relations (Consolidation) Act 1992 (Amendment) Order 2013 must begin: at least 30 days before the first dismissal takes effect if 20 to 99 employees are to be made redundant at one establishment over a period of 90 days or less. However, the 20 or more employees rule is currently the subject of litigation which may affect when the consultation provisions apply in future. at least 45 days before the first dismissal takes effect if 100 or more employees are to be made redundant at one establishment over a period of 90 days or less. The provisions relating to the right not to be unfairly dismissed because of unfair selection for redundancy are contained in the Employment Rights Act 1996 and Trade Union and Labour Relations (Consolidation) Act There are also provisions developed by case law, dealing with general fairness principles in relation to redundancy, the concepts of which are encompassed within this policy. The statutory redundancy payments scheme is administered under Part XI of the Employment Rights Act 1996 (20). 6.3 Notification The legal duty to inform and consult appropriate representatives depends on the number of employees it is proposed to make redundant. The minimum notice periods for consultation in line with the statutory limits set out in the Trade Union and Labour Relations (Consolidation) Act 1992 and Trade Union Reform and Employment Rights Act 1993 (Amendment) Order 2013, are detailed below: Number of proposed redundancies within a period of 90 days or less Less than 20 (or single redundancies) Number of days consultation before the first redundancy dismissal Consultation to start as soon as possible At least or more At least Where any organisational change may lead to staff being made redundant, the Trust has a legal obligation to inform and consult the relevant staff organisations representing the employees who it is proposed to make redundant, and to consult the individuals affected. 5 of 19 (Date for review 25 May 2019)

6 The purpose of consulting with the recognised staff organisations in these circumstances is to: reach agreement on ways to avoid the redundancies; reduce the numbers to be made redundant; minimise the consequences of the redundancies, and; reach an agreed selection criteria for redundancy. (Please refer to section 8.2 of this Policy for further details regarding the selection criteria) The Trust will provide staff side representatives with the following information in writing: The reason(s) for the redundancy proposals the numbers and categories (not names) of the employees whom it is proposed to dismiss as redundant the total number of employees within that category employed at the establishment where redundancies are proposed the proposed method of selecting employees for redundancy how and when the redundancy dismissals will be affected the proposed method of calculating any redundancy payments the proposed method of notifying staff of the redundancies, including the period over which the redundancies will take effect. Employees who are potentially at risk of redundancy will be notified of this possibility, together with details of the steps that will be taken to seek to avoid redundancy, at the earliest opportunity. If during the course of consultation, proposals about how to avoid or minimise the consequences of redundancies are acceptable to the Trust, the Trust will consult individual employees whom the proposals may affect before agreeing to them. This is because the proposals might involve changes to an individual s contract of employment and perhaps redeployment. In addition to consultation with appropriate Staff side representatives, the individual employees affected by the change/development will also be consulted on a group and a one to one basis (or both) as appropriate. Staff will have the right to be accompanied by their staff side representative at any one to one meetings. If the redundancy programme involves more than 20 employees, the Trust is required to complete form HR1 and send it to the Department of Business Innovation and Skills (BIS). 7. Reducing the Risk The Trust accepts its responsibility to minimise disruption both to staff and services in the implementation of its plans. An effective plan will be established in order to identify future staffing needs, which will help to avoid the necessity for redundancies and ensure that provision of efficient and cost effective quality services. All practical means of ensuring a smooth reduction or change of workload will be explored. These will depend upon the circumstances and may include: Requests for: 6 of 19 (Date for review 25 May 2019)

7 Early Retirement Flexi-retirement Reduction in hours Natural wastage Early restrictions on the recruitment of permanent staff, including recruitment freezes in certain circumstances Reducing the use of agency/bank staff in the areas affected Re-training of affected staff for other posts where this is practicable Reduction of overtime, subject to operational requirements Preferential consideration will be given to staff who are at risk of redundancy for posts which are considered to be suitable alternative employment. The Trust must be satisfied that the individual broadly meets the essential skills, knowledge and experience to fulfil the person specification. Consideration will be given to provide reasonable training to at risk staff to support this. The procedures outlined in the Redeployment Policy (HR 48) will be followed in these circumstances as will the relevant sections of the Pay Protection Policy (HR58). The application of the above will be the subject of consultation with Staff Side with a view to reaching agreement and an agreed process will be set up to support this. Regular meetings will be held to report to staff side, the aim of which will be to reach agreement. 8. Procedure Selection Criteria 8.1 Voluntary Redundancy Following consultation with staff side, the Trust may ask if anyone wishes to be made redundant voluntarily in order to avoid compulsory staff redundancies. The decision whether to agree any application for voluntary redundancy shall be a matter for the absolute discretion of the Chief Executive as advised by the Director of Human Resources and Education and will depend on the cost of the proposal and the need to ensure sufficient skills and resources within the organisation. The Trust reserves the right to refuse any particular application for voluntary redundancy. The decision whether the voluntary redundancy can be approved or not will be confirmed in writing. A voluntary redundancy is still regarded in law as a dismissal and statutory redundancy pay will be payable in the usual way. 8.2 Compulsory Redundancy Staff organisations will be consulted with regarding the identification of any employees who are deemed to be at risk of redundancy within the Trust. The Trust will seek agreement of the selection criteria for compulsory redundancy beforehand, with the appropriate trade unions/staff organisations. The agreed selection criteria should be flexible enough to take into account the Trust s overriding interest of patient care, whilst ensuring fair treatment and equality for its employees. Departmental specific selection criteria: When considering compulsory redundancies, it is necessary to identify the pool of posts from which the required number of redundancies will be chosen. 7 of 19 (Date for review 25 May 2019)

8 In consideration of this, one or more of the following criteria will be considered: Grade of staff Specialist discipline Geographical location Department Functional area of work Employee specific selection criteria: Following confirmation of the agreed pool of posts from which redundancies are to be made, all staff within that defined pool will be deemed at risk of redundancy and will be subject to additional selection criteria before determining which staff are to made redundant. Such selection criteria will include consideration of: The skills, experience, qualifications, knowledge and aptitudes of employees in relation to the types of service provision and job vacancies that will exist in the future (for example, following the implementation of a new structure). Each employee s suitability for re-training. Each employee s work history, e.g. health, discipline and attendance records, disregarding any pregnancy and disability related information. The standard of performance of employees, where this can be objectively measured. The stated wishes of the employees concerned, where possible. The overall cost implications relating to the individual s potential redundancy payments. The criteria used and the weighting attached to them will vary according to the particular circumstances, and staff organisations will be consulted in advance as to the particular factors to be considered in each specific case. Selection for redundancy on the grounds of martial status, race, colour, gender, religion, disability, pregnancy, age, sexual orientation, gender reassignment and family responsibilities, would constitute direct discrimination and therefore any information pertaining to any of the above protected characteristics will not be used. In terms of all compulsory redundancies, the Trust will: Consult with staff representatives and employees in accordance with section 6.4 of this policy. Invite individual employees to attend a meeting to discuss the situation, ensuring that they are aware of their right to be accompanied at the meeting by a staff representative. Ensure that staff who are under notice of redundancy are able to seek advice from staff representatives and, where appropriate, access outplacement support. Notify the employees concerned that their employment will be terminated on the grounds of redundancy and include the details of the redundancy payment which will be made to them (no notice of redundancy should be issued until the completion of the minimum consultation period as outlined in section 6.3 of this policy). Notify individuals that they have the right of appeal against the Trust s decision to terminate their employment on the grounds of redundancy. 8 of 19 (Date for review 25 May 2019)

9 If the employee would have been dismissed wholly or mainly for some other reasons e.g. incapability, misconduct, end of apprenticeship, then the dismissal is likely to be for that reason and not for redundancy. 8.3 Suitable Alternative Employment Employers have a responsibility before making a member of staff redundant or agreeing early retirement on grounds of redundancy, to seek suitable alternative employment for an individual, either in their own organisation or through arrangements with another NHS employer. The term suitable means employment that reflects the employee s current and/or recent skills set and/or experience, or with a reasonable amount of retraining the employee could undertake the role (i.e. full retraining would not be considered reasonable), or is at a pay level similar to the employee s current band. Suitable alternative employment may be secured at any geographical site or department within the Trust. Where an employee meets the eligibility criteria for redundancy, they will be added to the redeployment register there will be a period of 12 weeks during which suitable alternative employment will be sought, in an attempt to avoid a redundancy situation. Once a suitable position has been identified there will be a trial period of at least 4 weeks. If no suitable alternative employment is found within the 12 week period, the redundancy policy will apply. An employee who unreasonably refuses an offer of suitable alternative employment is not entitled to a statutory redundancy payment. Please refer to the Redeployment Policy (HR48) for more information. 8.4 Notice of Dismissal The member of staff shall be informed in writing of the circumstances of the possible dismissal. A meeting will be held with the manager and employee. An employee who has been continuously employed for more than one month but less than 2 years is entitled to receive one week s notice from the Trust. Thereafter, the employer must give one week s additional notice for every further completed year of employment, up to a maximum of 12 weeks notice for 12 years service. If contractual periods of notice of dismissal on grounds of redundancy are longer than those stated above, however, the contractual notice periods will apply. An employee may leave before the expiry of the period of notice if: The parties agree in writing to vary or waive their right to notice, involving no loss of unfair dismissal or redundancy rights; The employee gives written counter notice (which may be less than the statutory or contractual notice periods) after being given notice by the employer, and this notice is accepted by the employer. There would be no loss of unfair dismissal or redundancy payment rights; The normal arrangements regarding outstanding annual leave shall apply in respect of termination of employment; If suitable alternative employment becomes available after notice has been given to terminate the employee s contract the notice will be rescinded and the post will be offered in accordance with the redeployment policy. 9 of 19 (Date for review 25 May 2019)

10 Notice of dismissal cannot be issued until the completion of the redundancy consultation. The Trust may, in the interests of early implementation of new working arrangements, require an employee declared redundant to cease employment before the contractual or statutory notice period expires. In such an event the employee will be entitled to a payment in lieu, equivalent to the unexpired period of notice. 8.5 Time off to find jobs or arrange training The Trust will allow reasonable time off with pay to employees under notice of dismissal due to redundancy to seek alternative employment, to visit job centres and attend relevant training. Likewise employees who are leaving on the grounds of early retirement will be given time to attend planning for retirement courses. Employees who successfully secure alternative employment with a non-nhs employer and would otherwise be entitled to a redundancy payment may, should this be a requirement, be allowed to terminate their employment prior to the expiry of contractual notice unless there are compelling reasons to the contrary. In such circumstances the date of termination will become the revised date of redundancy for the purpose of calculating any entitlement to a redundancy payment. 8.5 Counselling The Trust will ensure that all employees facing redundancy or premature retirement will have access to appropriate counselling benefits and future options and be given contact details for useful organisations. 8.6 Arrangements for Appeal An employee dissatisfied with treatment under this policy has the right to lodge a grievance under the Trust s Grievance Policy (HR2). If the employee feels that the policy and/or procedure has been applied unfairly or that the correct process has not been followed and therefore wishes to appeal against the decision of redundancy, they are required to submit notice of their intention to appeal in writing, to the Director of Human Resources and Education. The employee s notice of appeal must be received within 10 working days of the date of the letter informing them of their dismissal and should set out the grounds on which their appeal is based. An appeal hearing will take place at which the employee will have the opportunity to explain his/her grounds of appeal. The employee will be informed in advance of the date, time and location of the hearing and must take all reasonable steps to attend. The appeal panel, will consist of: Executive Director (Chair) HR Representative The letter informing the employee of any appeal hearing will: Advise the employee that he/she may be accompanied by work colleague employed by the Trust or by a recognised Trade union representative; 10 of 19 (Date for review 25 May 2019)

11 ask them to advise Human Resources of any witnesses they wish to call at the hearing; ask them for a statement of case to be written by a specified date to allow statements of case to be exchanged 5 working days before the appeal; and ask the employee to provide clear grounds for their appeal, if they have not already done so. The appeal hearing will follow the format outlined at Appendix 3 of this policy. An appeal will usually involve a review of all the relevant documentation, including the employee s grounds for appeal. Where appropriate, it may be necessary for the Appeal Panel to request that a fact finding exercise is completed prior to the appeal being heard. Should this be deemed necessary, the fact finding exercise will be undertaken by an Investigating Manager, supported by a HR representative. On completion of the fact finding investigation, a report will be submitted to the Appeal Panel in consideration of the case, however the report itself will not draw any conclusions or make recommendations as to the outcome of the appeal and it will be the responsibility of the appeal panel to decide this. The Appeal Panel and the employee will be provided with an Appeal Pack at least 5 working days in advance of the hearing. The pack will contain all of the relevant information and evidence. The outcome of the appeal will be relayed in writing within 5 working days of the appeal hearing. The appeal decision will be final. If, following a successful appeal against dismissal due to redundancy, an employee is reinstated, he/she will be reimbursed in respect of lost salary for the period between the dismissal and the date of reinstatement. 9. Redundancy Pay The minimum qualifying period for redundancy pay is 104 weeks of continuous service whole-time or part-time service. The arrangements for redundancy pay for employees dismissed by reason of redundancy are set out in Section 16 of the Agenda for Change Terms and Conditions Handbook, Schedule 26 of the Consultant Contract, Schedule 24 of the Associate Specialist Contract, Schedule 23 of the Speciality Doctor Contract and Appendix vi (iii) of the Terms and Conditions of Service for Hospital Medical and Dental Staff and doctors in Public Health Medicine and the Community Health Service in England and Wales. As part of the recent pay settlement for staff covered by Agenda for Change terms and conditions, new redundancy provisions have been introduced from 1 April The revised provisions: Limit employer capitalisation costs so that they cannot exceed an employee s redundancy payment. Set a lower limit of 23,000 and upper limit of 80,000 for the whole time equivalent salary used to calculate a redundancy payment. 11 of 19 (Date for review 25 May 2019)

12 The new provisions apply when the formal redundancy consultation began on or after 1 April If the formal consultation started before 1 April 2015 the existing provisions apply. The new provisions apply to all staff covered by Agenda for Change terms and conditions. The changes do not apply to: Hospital doctors and dentists Very senior managers All staff who leave in the Interests of the Efficiency of the service, i.e. Mutually Agreed Resignation Scheme (MARS). For the groups listed above who are not affected by the changes, existing redundancy provisions continue to apply. 10. Repayment of Redundancy Pay If an employee obtains suitable alternative employment in the NHS within four weeks of the termination of their contract, they would not be entitled to their redundancy payment and the Trust would seek to reclaim any payments already made. The Trust should seek confirmation from the employee on their final day of employment to identify: Has the employee secured alternative NHS employment? If so, has a start date been agreed and is this within the next 4 weeks? 11. Employment Following Redundancy In accordance with the NHS Standard Contract General Conditions, the Trust will require all new employees to: disclose whether, within the period of twelve months ending with the proposed commencement of their employment or engagement with the Trust, they have received a contractual redundancy payment from an NHS Employer consequent on their redundancy from a post as a Very Senior Manager; and if so, the Trust will require to the individual to: identify that NHS Employer; notify the NHS Employer of their conditional offer of employment or engagement with the Trust, and either; (a) to make arrangements with that NHS Employer to pay to the NHS Employer the Redundancy Repayment (whether or not conditional on an appropriate restoration of reckonable service); Or (b) to agree to the inclusion in their terms and conditions of employment or engagement with the Trust the provisions set out in GC of the NHS Standard Contract (NHS England); The Trust will not make any unconditional offer of employment or engagement to the individual without first having received either: 12 of 19 (Date for review 25 May 2019)

13 (a) confirmation from the NHS Employer that binding arrangements are in place with the individual for payment to the NHS Employer of the Redundancy Repayment; or (b) confirmation from the individual of their agreement to the inclusion in their terms and conditions of employment or engagement with the Trust of the provisions set out in SC5.17.6; and unless it has received confirmation from the NHS Employer in accordance with GC5.15.5(a), include (and throughout the term of that individual s employment or engagement retain) in that individual s terms and conditions of employment or engagement (as appropriate) the provisions contained at Appendix 4 of this policy. 12. Monitoring This policy will be monitored via the HR Pro-forma, detailing all cases involving redundancy. The information obtained from the above will be reported quarterly to the Trust Board via the HR Performance report. The above monitoring process will also be reported annually to the Policy Review Group. 13 of 19 (Date for review 25 May 2019)

14 Process Process Reference Lead Auditor (Job Title) Scrutiny Committee Frequency Consultation Process Section 6.4 Head of Workforce Design Trust Board Quarterly Voluntary Redundancy Section 8.1 Head of Workforce Design Trust Board Quarterly Compulsory Redundancy Section 8.2 Head of Workforce Design Trust Board Quarterly Suitable Alternative Employment (Redeploymen t Register) Section 8.3 HRBP Lead DoHR via the HR Proforma Monthly Dismissal Section 8.4 Head of Workforce Design Trust Board Quarterly Appeals Section 8.7 And Appendix 3 Head of Workforce Design Trust Board Quarterly Employment Following Redundancy (VSM) Section 11 And Appendix 4 Workforce Planning and Resourcing Lead N/a Part of monthly monitoring of new starters Monthly 14 of 19 (Date for review 25 May 2019)

15 Appendix 1 Eligibility for Redundancy Payments The first criterion for eligibility for a contractual or statutory redundancy payment is that there must have been a dismissal. Employees are not entitled to a redundancy payment unless there is no suitable alternative work for them. An employee must have 104 weeks of continuous service, at the date of the final day of employment. Continuous service is defined as service within the NHS. In each case, service with this or any previous Health Service employer and after attaining age 18 is reckonable. Previous periods of NHS employment with a break of less than 12 months are also reckonable. 15 of 19 (Date for review 25 May 2019)

16 Appendix 2 Exclusion from Eligibility for Redundancy Payments those with less than two years continuous NHS service those who are dismissed for reasons of misconduct, with our without notice, or at the date of termination of the contract obtained without a break, or with a break not exceeding four weeks, suitable alternative employment with the same or another NHS employer; or unreasonably refuse to accept or apply for suitable alternative employment with the same or another NHS employer; or leave their employment before the expiry of notice, except if they are being released early; or are offered a renewal of contract (with the substitution of the new employer for the previous NHS one) where their employment is transferred to another public service employer who is not an NHS employer employment that has been taken into account for the purposes of a previous redundancy, or loss of office payment by an NHS employer will not be counted as reckonable service. Where an employee has previously been given pension benefits, any employment that has been taken into account for the purposes of those pension benefits will also not be counted as reckonable service. Where an employee obtains suitable alternative employment within the NHS, within four weeks of the date of termination of their contract, the individual will not be entitled to a redundancy payment. 16 of 19 (Date for review 25 May 2019)

17 Appendix 3 Appeals Procedure The procedure for an appeal hearing will be undertaken as follows: 1. The employee will present their case first to the panel, including calling of any witnesses. 2. The appeal panel will then have the opportunity to ask the appellant any questions about their case. 3. The Investigating Manager will then present their report to the panel, outlining the facts of the case and any information obtained during the fact finding exercise. This will include calling of any witnesses. 4. The employee side will then be able to ask any questions about the report which the manager has presented. 5. The appeal panel members will also have an opportunity to ask any questions. 6. The appellant will have the chance to sum up their case prior to consideration by the panel. 7. There will then be an adjournment whereby both the investigating manager and the employee will be asked to leave the room while the appeal panel consider the information they have heard and reach their decision. 8. The decision of the panel will be communicated to the employee verbally, following the adjournment wherever possible, and in any case will be confirmed in writing, no later than 5 working days after the Appeal Hearing. 17 of 19 (Date for review 25 May 2019)

18 Appendix 4 Agreement to the repayment of Contractual Redundancy Pay following redundancy at a previous NHS employer at VSM Grade Name of Individual Proposed Job Title [Insert Name] [Insert Job Title] You have confirmed that you have, within the period of twelve months ending with the commencement of your employment or engagement under this agreement, received a contractual redundancy payment under section 16 of the NHS Terms and Conditions of Service Handbook from an NHS Employer, as defined in Annex A of the Handbook, being [INSERT NAME OF NHS EMPLOYER] consequent on your redundancy from a post as a Very Senior Manager. As a condition of your employment or engagement under this agreement: you acknowledge and agree that you will repay to that NHS Employer a sum being a proportion of that contractual redundancy payment ( R), which is calculated as follows: R = (S x (A B)) (C + D), where: S is the lesser of (a) the amount of a month's pay used to calculate your contractual redundancy payment, or (b) the amount of any maximum monthly sum for the purposes of that calculation applicable at the date of the redundancy, as determined by Agenda for Change; A is the number of years used in the calculation of your contractual redundancy payment; B is the number of complete calendar months between the date of termination of your employment by the NHS Employer and the date of commencement of your employment or engagement under this agreement; C is the total statutory redundancy payment that you were entitled to receive on redundancy from that NHS Employer; and D is the amount of any income tax deducted by that NHS Employer from the contractual redundancy payment, But for the avoidance of doubt you will have no liability to repay any sum if B is greater than or equal to A You consent to our deducting from your net monthly pay or remuneration each month a sum equal to no more than [X% - for agreement with the individual and the NHS Employer] of your net monthly pay or remuneration and that we will pay each sum deducted to that NHS Employer as an instalment of the repayment of the sum R, until the sum R has been fully repaid. Signed: Date: 18 of 19 (Date for review 25 May 2019)

19 In this provision: Agenda for Change means the single pay system in operation in the NHS, which applies to all directly employed NHS staff with the exception of doctors, dentists and some very senior managers. NHS Employer has the meaning given to it in Annex A to the NHS Terms and Conditions of Service Handbook. NHS Terms and Conditions of Service Handbook means the handbook of NHS terms and conditions of service published at: Very Senior Manager means, whether or not the relevant NHS Employer operates the Pay Framework for Very Senior Managers in Strategic and Special Health Authorities, Primary Care Trusts and Ambulance Trusts, an individual as described in NHS STANDARD CONTRACT 2016/17 GENERAL CONDITIONS (Full Length) paragraph 4 of that framework, whether that individual is engaged under a contract of employment or a contract for services. 19 of 19 (Date for review 25 May 2019)