Document Control Report

Transcription

1 Document Control Report Title Managing Organisational Change Policy Author Author s job title HR Manager Directorate Workforce & Development Department HR Version Date Issued Status Comment / Changes / Approval - Nov 2006 Super seded Organisational Change Policy (NDHT) Agreed at JNCC on 6 th November Jan 2011 Super seded Organisational Change Policy (NHS Devon) Reviewed by Policy Development Group 18/01/ Jan 2011 Super seded Consultation Policy (NHS Devon) Reviewed by Policy Development Group 18/01/ Mar 2013 Draft Issued to Staffside at March 2013 Partnership Forum, reviewed at Policy Development Group on 26 th November 2013 Tabled for approval at Partnership Forum on 9 th January Jan 2013 Final 1.2 Feb 13 Final Tabled for ratification at WODG on 18 th February Mar14 Final Publication on Bob 3.0 Aug Dec 2016 Revie w Final Reviewed at request of Staffside to provide clarity on required procedures including group consultations. Discussed at Pay & Reward Sub-Group, final amendments made and ratified by Partnership Forum. Main Contact Assistant Director of HR Unit 1, Exeter International Office Park Clyst Honiton Exeter, EX5 2HL Lead Director Director of Workforce & Development Superseded Documents Issue Date Review Date Dec 2016 Dec 2019 Consulted with the following stakeholders: (list all) Equality & Diversity Lead Staffside Tel: Direct Dial Review Cycle Three years Organisational Change Policy V1.0 12Mar2014.doc Page 1 of 39

2 Approval and Review Process Pay & Reward Sub-Group Partnership Forum Local Archive Reference G:HRAdmin/Policies/Managing Organisational Change Local Path Filename Managing Organisational Change Policy v3.1 Policy categories for Trust s internal website (Bob) Tags for Trust s internal website (Bob) HR Managing Change, Organisational Change, Consultation, Temporary, Change Process, Redundancy Managing Organisational Change Policy v3.1 Page 2 of 39

3 CONTENTS 1. Introduction Purpose Definitions Redundancy Organisational Change Transfer of Undertakings (TUPE) Consultation Roles & Responsibilities Role & Responsibilities of the Chief Executive and Trust Board Role & Responsibilities of the HR Operations Team Role & Responsibilities of Managers Role & Responsibilities of Employees Role & Responsibilities of Staffside/Trade Union Representative Principles of Organisational Change Scope of Organisational Change Handling Change Formal Consultation Absent Employees Redundancy Consultation Statutory Responsibilities Selection Criteria for Redundancy/Post Reduction Filling Posts within a new structure Redeployment Process for At Risk Staff Redundancy Payments Transfer of Undertaking (Protection of Employment) Terminating employment and offering re-engagement on the new terms Giving Notice of Change Appeals Procedure Prioritisation of Work Managing Organisational Change Policy v3.1 Page 3 of 39

4 20. Equality Impact Assessment Consultation, Approval and Ratification Process Consultation Process Policy Approval Process Monitoring Compliance with and the Effectiveness of the Policy Process for Monitoring Compliance and Effectiveness References Associated Documentation Appendix A Checklist Appendix B - Manager s Guide to the Trust s Formal Consultation Process Appendix C Management of Change Consultation Paper Template Appendix D Specific Entitlements of Staff Appendix E - Equality Impact Assessment Screening Form Managing Organisational Change Policy v3.1 Page 4 of 39

5 1. Introduction This document sets out Northern Devon Healthcare NHS Trust s system for managing organisational change. It provides a robust framework to ensure a consistent approach across the whole organisation, and supports our statutory duties as set out in the NHS Constitution. The Trust understands that change is necessary in order to improve services and meet financial and other Trust targets. However, staff should have an opportunity to influence change in their own areas. Where an impact on staff members working lives is unavoidable, this change should be implemented in as fair and transparent a way as possible. This Policy applies to all employees in the Trust. 2. Purpose The purpose of this Policy is to provide guidance to managers on what counts as organisational change and how best to manage and handle that change. The Policy also outlines any legal requirements regarding organisational change and redundancy. Appendix A contains a quick reference flowchart detaining to staff consultation process. Appendix B contains a manager s guide to staff consultation process. 3. Definitions 3.1 Redundancy Redundancy applies if the Trust stops or intends to stop work carried out by an employee or group of employees, or where the business of the Trust had changed in a way which means that work done by an employee or group of employees is no longer required, or has decreased. If the requirement for the work has diminished but has not stopped fully, then there may need to be a selection process in order to establish which employees remain in the roles. 3.2 Organisational Change Any change to the way in which a service or job role is designed and/or is delivered, which has an impact on the staff within that area. This includes changes to structures within Departments / Services. It also includes urgent operational changes that are required to maintain safe services. Managing Organisational Change Policy v3.1 Page 5 of 39

6 3.3 Transfer of Undertakings (TUPE) There are 2 types of transfer covered by TUPE, a Business Transfer and a Service Provision Transfer. The most common type of TUPE transfer affecting NHS organisations are service provision transfers. In this situation a service transfers from one provider to a new provider (this includes outsourcing) and the staff assigned to the service that is transferring, transfer to the new employer with their terms & conditions of service protected under the Transfer of Undertaking (Protection of Employment) Regulations 2006 and any subsequent amendments. 3.4 Consultation The process by which staff affected by change, including any relevant Trade Union representatives, are informed about any impending changes/redundancy and given the opportunity to make suggestions, shape any changes, and ask questions. Consultation may be informal or formal. All consultation meetings, whether formal or informal, must be documented and records retained. Formal consultation only applies in specific cases as set out below. 4. Roles & Responsibilities 4.1 Role & Responsibilities of the Chief Executive and Trust Board The Chief Executive has the overall responsibility for all matters of Human Resources and ensuring that all mechanisms are in place for the overall implementation, monitoring and revision of this Policy. The Chief Executive has nominated the Director of Workforce & Organisational Development as lead for all Human Resources matters. The Trust Board has a responsibility to ensure that alternative methods for achieving staff reductions are considered, so that redundancy is avoided wherever possible. It is the role of the Chief Executive and Director of Workforce & Organisational Development to continually keep Trade Union colleagues informed of any organisational developments which could potentially have an impact on future staffing needs. 4.2 Role & Responsibilities of the HR Operations Team It is the role of the HR Operations Team to: Oversee the introduction, operation and monitoring of this policy; Ensure that employees and line managers receive appropriate advice and guidance in the implementation of this policy Ensure that all workforce needs and legal requirements are met. Managing Organisational Change Policy v3.1 Page 6 of 39

7 To liaise with the Workforce Planner to ensure alignment with the Trust s workforce plans. 4.3 Role & Responsibilities of Managers Line Managers are responsible for ensuring that this policy is adhered to within their own area. Line Managers should contact the relevant HR representative as soon as they are aware of any changes within their department which may impact on the terms and conditions of their staff, affect working patterns or result in a change in structure within the Department/Service or may result in a potential redundancy situation (this list is not exhaustive). Line Managers must provide support to all staff during organisational change and redundancy situations. 4.4 Role & Responsibilities of Employees To seek advice from their Trade Union or HR representative if they require clarification on any part of this Policy and any potential impacts on their own situation. To participate in the consultation process in a constructive and timely manner, attending planned meetings as required. Where necessary to give full consideration to all offers of suitable alternative employment and to undertake such training as may be necessary in order to undertake a new role effectively. 4.5 Role & Responsibilities of Staffside/Trade Union Representative To work in partnership with the Trust to assist in the design and delivery of organisational critical change programmes. To engage in consultation with Managers regarding proposed organisational change (Staffside). To accompany staff at formal consultation meetings as required (Trade Union Representatives). To be familiar with and work with the policy and its requirements and will be consulted with as part of the regular review of this policy. 5. Principles of Organisational Change 5.1. Change is crucial to ensure the continued effectiveness and success of the organisation, but it is acknowledged that it can nevertheless be difficult for staff affected by it. There are certain key principles that should run through the management of any organisational change process, regardless of the scale of it: Managing Organisational Change Policy v3.1 Page 7 of 39

8 a) Staff members should have input into how their service and the Trust should be run, and have channels to ensure their ideas can be considered. b) Any staff affected by a change to their working lives should be given reasonable notice of any changes. There may be exceptional circumstances where, due to urgent operational circumstances, changes have to be put in place at short notice. c) Staff will be given the opportunity to suggest alternatives or ask questions prior to the change occurring. Reasons for change should be clearly communicated to staff affected, and every reasonable effort made to ensure that these reasons are understood. Change processes must be documented and records retained by management. d) It should not be assumed that a change is insignificant just because it will not lead to redundancy, and therefore consultation does not apply. Any change to a staff member s working life may potentially cause them distress or uncertainty and therefore employees should be actively engaged in proposed changes and have an opportunity to discuss this with their line manager. e) The Trust has a right and a duty to make changes to services in light of changing demands or new ways of working. However, change should be done with a clearly defined benefit at the end of it, whether that is service improvement or financial savings. f) Staff are contracted to work for the Trust and not for a specific role or department. The Trust, therefore, requires any employee, regardless of their band or position, to be flexible in moving to new and existing roles which are critical to service delivery. No member of staff should be asked to undertake a role that would place their or another employee s health at risk or a role that they do not have the skills and ability to undertake, so where necessary appropriate training will be provided. g) Any change should be implemented based on robust reasoning, and the impact of change should be evaluated and addressed. h) Compulsory redeployment or redundancy should only be considered as a last resort, and should never be used as an alternative to addressing performance issues within a team or with an individual. Where applicable the Trust will identify alternatives to avoid compulsory redundancies such as ending fixed term contracts and/or seeking volunteers if there is any Voluntary Resignation Scheme in place at the time. Managing Organisational Change Policy v3.1 Page 8 of 39

9 6. Scope of Organisational Change 6.1. Organisational Change is often limited in definition to redundancy or redeployment situations. However, change which may have an impact on staff can include many things, including the following (not an exhaustive list). a. Adding or taking roles & responsibilities to/from a certain role. This can include asking someone to act up or ceasing an acting up period. b. Revising the structure of a Department / Service e.g. adding a level of management. c. Asking staff to work in a different way e.g. different role, tasks, working with different people etc. d. Changing established shift patterns or working day patterns, including introducing new working patterns (e.g. extended working days). e. Introducing rotational posts, bases or specialities. f. Not filling a vacancy, and instead absorbing the work into a team. g. Moving an individual or a team physically to a different location. h. Moving an individual or a team so they come under a different Department / Division and/or line manager i. Transferring staff in or out of the organisation under the Transfer of Undertakings (Protection of Employment) Regulations TUPE (see relevant section below). j. Redeploying someone into another role in the organisation e.g. because their existing role is to be disestablished (see relevant sections below). k. A reduction of posts in a department/function, up to and including redundancy. l. Changes resulting from urgent operational issues. This can include changing: - the base staff work from, shift pattern, duties of staff; on a temporary basis pending resolution of the issues necessitating the temporary changes. Advice must be sought from HR as to whether a change falls within this category. For further information on staff member s right to consultation, see relevant sections below. Managing Organisational Change Policy v3.1 Page 9 of 39

10 7. Handling Change 7.1. The definition of organisational change is broad, and there cannot be a one size fits all approach. However, the key to managing any change process is clear and transparent communication and involvement of the affected staff prior to a final decision being made or where the change is externally driven/required before implementation If it is clear that there are service improvements to be made or financial savings, then staff should be made aware of this at an early stage, and be able to make suggestions and be involved. Any proposed or potential changes should be discussed informally with staff on an individual basis or on a team basis if a team is affected, prior to any formal consultation. All meetings relating to change management must be documented and records retained by management It should not be assumed that staff members are automatically resistant to change. People are often wary of change initially, particularly if they have no control over it. However, individuals usually accept change if they understand the reasons for it It is recognised that the mere passage of information is not consultation. Consultation involves decisions and their application. It is best conducted when some attention has been given to alternatives, but they have not taken their final form Whether a change needs formal consultation depends on the impact of the change on the staff. It is usually the case that a change in roles/duties or even location (within the Trust itself) can be mutually agreed between staff and their manager. The expectation is that unless the changes relate to those as set out within 7.7, an informal consultation process as described below in 7.6 should be sufficient A consultation relating to a change to role or working practices that will not result in financial loss or impact on staff work/life balance, and to which no objections are raised by staff when discussed informally, could follow a short straight forward process as set out below: A discussion with the individual/group of individuals during a 1:1/team meeting regarding the proposed change, allowing staff space and time to ask questions, make any suggestions, raise any concerns etc. If it is possible, it is often helpful to involve staff in deciding what the proposed change would be, and/or coming up with solutions. Staffside can be involved at this stage if applicable but their involvement should not delay the process Give staff a reasonable time period (between 7-14 days) in which to consider the impact of the change and come back to you with any comments/concerns etc. Managing Organisational Change Policy v3.1 Page 10 of 39

11 7.6.3 If required, agree to have further individual meetings with staff to discuss and resolve any specific issues. Ensure that staff are fully aware of when the change will take effect and confirm the change in writing If staff members have concerns about the change, or if other problems arise, a more formal consultation process should be followed and managers should contact HR for advice Any change which is likely to result in a change of terms and conditions, downgrading of staff, loss of earnings, amendment to terms & conditions, potential impact on work/life balance, redeployment of staff, staff moving to a new geographical location or potential redundancy must have HR and Staffside involvement and must follow the formal consultation process (see below). HR can advise further if you are unsure TUPE situations are covered in a separate section below Pay Protection (e.g. because of downgrading or loss of earnings) is covered by the applicable Pay Protection Policy / Procedure Formal Consultation 8.1. Any change which meets the criteria set out in paragraph 7.7 above must be subject to a formal consultation process. This process will need to be with relevant Staffside representatives / trade union representatives and the affected staff members, and should commence at the earliest possible opportunity. A Management of Change paper must be drafted (See Appendix C) including an initial Equality Impact Assessment of the proposed changes It should still be the case that staff members should be involved in shaping decisions that affect their future, and should be given the opportunity throughout the process to make suggestions and raise queries on the proposals. Therefore once the plan for change has been drafted, affected staff should be met with formally to advise them of the planned changes and the impact on them, and to take any queries/alternative suggestions. At this stage, this will usually take the form of a Group Consultation meeting if it is a group of staff that are affected by the planned changes. Staffside and HR Staff will be in attendance If the changes may potentially lead to redundancy, there will be specific consultation requirements, which are outlined in the relevant section below. 1 NHS Devon staff who transferred into NDHT as a result of TCS (April 2011) are covered by the NHS Devon Procedure for Protection of Pay and Conditions of Service. All other staff employed by NDHT are covered by the NDHT Protection of Earnings Policy. HR advice should be sought regarding individual employee s rights to protection. Managing Organisational Change Policy v3.1 Page 11 of 39

12 8.4. If the change may potentially lead to redundancy then staff members will then be offered the opportunity to have an individual meeting, along with a trade union representative or a workplace colleague. At this meeting, the manager should outline the specific impact on the individual, what the process will be, and take any further questions or suggestions. An HR representative may attend these meetings. Also see Section Dependant on the circumstances, it is good practice to have regular individual and/or group meetings with staff, to keep them up to date with progress Managers should be aware that staff who are temporarily removed from the department e.g. on maternity or sick leave, on secondment etc. also have the right to consultation, and special arrangements may be needed for these staff (See Section on Absent Employees below) Appendix A contains a checklist on consulting with staff. Appendix B contains a Manager s Guide to the Trust s Formal Consultation Process. Appendix C contains the template for Managing Organisational Change Consultation Papers. 9. Absent Employees 9.1 Managers should ensure that all absent employees affected by the change process are included in each stage of the consultation and receive: Any letters and documents provided to other staff, including informal and formal Consultation Documentation Briefing sheets Invitations to group meetings and/or 1:1 s Equal opportunity with regards to any redeployment process 9.2 Where an employee is absent due to sickness, an employment break, secondment, maternity, adoption, parental or any other longer term leave (excluding annual leave), the Trust will still need to progress the 'slotting-in' or competitive interview process in a timely manner to minimise impact on employees and service delivery. The employee must be notified of this decision in writing and a copy placed on their personal file. 9.3 In the case of 'slotting-in', the employee will be contacted by their line manager to confirm that a suitable post has been allocated and the employee will return to this post after their period of absence. This offer should be confirmed in writing to the employee. The employee must be required to return a signed copy of the offer letter confirming that they accept the terms of the post as offered. Managing Organisational Change Policy v3.1 Page 12 of 39

13 9.4 Where an employee is on maternity, adoption or parental leave, they will be expected to participate in the process. The Trust recognises that there may be instances, during or in the two weeks after childbirth for instance, where this would not be possible. 9.5 Employees on employment breaks are expected to make arrangements to keep in regular contact with the Trust and engage in any change process. This will enable them to be included in consultation regarding their substantive post. Where an interview is required, the employee must make themselves available to attend within two weeks. It may be acceptable to arrange the interview using a telephone conference call, at the sole discretion of the line manager. Where it is not possible for the employee to participate in the process, they may be deemed to be at risk and suitable alternative employment will be sought. 10. Redundancy Consultation Statutory Responsibilities 10.1 Consultation must begin in good time, and should follow the process set out above. Where redundancy is likely to apply, the Trust also has a statutory duty to begin consultation: At least 30 days before the first dismissal takes effect if 20 to 99 employees are to be made redundant over a period of 90 days or less. At least 45 days before the first dismissal takes effect if 100 or more employees are to be made redundant over a period of 90 days or less. There is no statutory consultation period stipulated for redundancy situations affecting less than 20 staff so in such circumstances the Trust will apply the same consultation timescale (30 days) as it would if employees were to be made redundant (over a period of 90 days or less) The Trust has a statutory duty to disclose in writing to the recognised trade unions, the following information concerning proposals for redundancies, so that they can play a constructive part in the consultation process. This information should also be given to affected employees. The reason for the proposals The numbers and descriptions of employees the Trust proposes to dismiss as redundant The total number of employees of any such description employed by the Trust The way in which employees will be selected for redundancy How the dismissals are to be carried out, including the period over which the dismissals are to take effect Managing Organisational Change Policy v3.1 Page 13 of 39

14 The method for calculating the amount of redundancy payments to be made to those who are dismissed 10.3 The consultation must include considering ways of: Avoiding or reducing the number of employees to be dismissed e.g. through ending of Fixed Term Contracts, Mutually Agreed Redundancy Schemes (MAR s), Voluntary Redundancy. This list is not exhaustive. Mitigating the effects of the dismissals The Trust has a statutory duty to notify the Department of Business, Innovation and Skills if it is proposing to make 20 employees or more redundant in a 90 day period, and an HR1 form should be completed by the HR Operations department. 11. Selection Criteria for Redundancy/Post Reduction 11.1 It should be remembered that any change which will lead to a reduction in posts and potential redundancy will inevitably have a significant impact on the staff involved. Potential compulsory redundancy should only be progressed after careful consideration of all options, including the impact on service delivery and the affected staff Prior to any redundancy process, consultation should be undertaken with affected staff and relevant trade unions as outlined above. The Trust should also do everything reasonable to avoid the redundancy, and seek suitable alternative employment for the staff member in the Trust. This includes seeing if the reduction can be achieved through turnover or other voluntary means, such as retirement Voluntary redundancy may be considered as an option; however whether it is a suitable way forward is dependent on the circumstances and should be discussed with a representative of the HR Operations Team It is sometimes the case where work diminishes but does not cease. If the reduction cannot be achieved through natural or voluntary means, then a selection method may apply. A logical, fair and transparent process will need to be put in place to fill posts in the new structure. This will take place as follows: In terms of identifying the pool of staff who may need to be included in the redundancy selection pool, this will need to be considered on a case-by-case basis. Although any redundancy selection process should afford a fair and objective process to employees, the Trust would usually expect that the redundancy pool in each case is kept as limited as possible. This is to limit disruption and anxiety to staff members as far as possible, and to keep complexity of change to a minimum. Managing Organisational Change Policy v3.1 Page 14 of 39

15 In the case of post reductions (rather than disestablishment of specific posts - see Section 12) it is essential that the selection criteria are objective and fair, and care needs to be taken that they are neither directly or indirectly discriminatory. In addition to this, they must be applied consistently to ensure that the selection of staff for dismissal by reason of redundancy is fair. Objective selection criteria (which will have been previously developed in conjunction with HR and Staffside) will be applied equally and fairly across the affected staff. Depending on the selection criteria being used, this may require the manager to complete a selection form with a scoring system for each employee. If they wish to do so, employees are entitled to view any completed form pertaining to them. 12. Filling Posts within a new structure Where Restructuring takes place, a logical, fair and transparent process will be put in place to fill posts in the new structure. This will take place as follows: 12.1 In order to maximise opportunities for all existing staff, new structures will normally be filled from the top down Where there is a vacant promotional opportunity all staff will be notified and be invited to apply for the higher-level post(s). This may be in competition with external candidates, as long as any external appointment/s would not result in an existing team member being displaced. If there is a risk of existing staff being displaced as part of this process, the posts in the new structure will be ring-fenced and existing staff given prior consideration over other potential candidates Members of staff, following discussion, will be automatically slotted-in to a post in the new structure where: Their substantive post remains largely unchanged (80% of their current responsibilities can be identified in a post in the new structure) The number of similar available posts and post-holders are equal Subject to the above criteria being met, staff may be offered the opportunity to accept a slot-in to a post where there is a reduction in band, and/or contract hours, as long as this is no more than one band below their current band, or the reduction in hours is no more than a reduction of 20% of their existing contract hours Once a member of staff has been slotted-in, they will no longer be deemed to be at risk and will therefore be precluded from applying for other posts until all existing staff have been accommodated in the new structure. Managing Organisational Change Policy v3.1 Page 15 of 39

16 12.5 All individuals who are slotted-in will meet with the relevant line manager to explore perceptions about the new role and to discuss, review and agree any training or development needs Where slotting-in cannot take place (due to an imbalance between the number of posts and post-holders) all unfilled posts in the new structure will be ring-fenced and staff will be informed of the process by which they should express preference(s) for vacant posts. Staff should not be required to apply for their own jobs, and slotting-in should occur wherever possible. However, if there is to be a reduction in the number of like or similar posts, then management and staff representatives should agree the means of appointing individuals to vacant positions. This may include the application of selection criteria, or an interview-type selection process If an instance of organisational change includes the removal of a structure (rather than a restructuring), or where individuals are unable to be accommodated in a revised structure via the above process, they then become eligible for redeployment to suitable alternative posts across the Trust. 13. Redeployment Process for At Risk Staff 13.1 Once it is clear that redundancy may apply and affected staff have been informed of this, the process set out in the Redeployment of Staff Procedure will be followed. For avoidance of doubt the following will apply Staff should be given the opportunity to be placed on the Trust s redeployment register, where they will have the opportunity to express interest in roles prior to roles going for external advertisement. Placement on the register will be for a limited time, after which they may be dismissed on the grounds of redundancy (see section 14) should no suitable alternative vacancies apply The line manager, supported by a representative from the HR department, will manage the redeployment process in conjunction with the employee. They will bring roles to the attention of the relevant staff members and staff members themselves will be expected to actively engage with the process and frequently and regularly review all Internal and External Vacancies available within the Trust as these are updated on a daily basis. The manager s and employee s search should be via the Trust s Recruitment Website, nhs.jobs, the Trust Website, the Trust Intranet, and/or any other internal communications ( cascades etc.), and staff have an obligation to notify the line manager/hr representative should they identify a potentially suitable role The staff member will complete a Skills Questionnaire see the Trust s Redeployment Procedure - to outline their skills, experience and preferred hours/working patterns. They will not be able to request redeployment into a Managing Organisational Change Policy v3.1 Page 16 of 39

17 higher Band, although they can apply for roles at a higher Band through the usual recruitment processes. Staff members may request for roles of a lower Band to be considered for them If the staff member meets the essential criteria for a role, or could do with reasonable training, they should be considered for the role. If there is more than one suitable person on the redeployment register, a competitive interview may be required The individual, if they are deemed potentially suitable for the role, will have the opportunity for a 4 week trial period in that role, during which time, all reasonable training and support to assist them in the role should be identified. This period is for both the new manager and the affected employee to decide if the role is suitable if it is, the individual will redeploy permanently into that role Either party can decide that the role is not suitable, however managers should speak to HR for advice if they are considering saying that the individual is not suitable for the role. If the individual is deciding the role is unsuitable, they must advise the manager of this as soon as possible, detailing their reasons whilst they feel it is not suitable (see below) which can be done in advance of the 4 week trial period coming to an end All at risk staff should be placed on the redeployment register by HR and the search for alternative work begun at the earliest possible opportunity in the process. If in operation, staff will also be given access to any jobs via NHS Jobs throughout the region that have been classified as available for at risk staff (normally only in operation where large scale, regional changes across multiple NHS organisations are to be made) If a staff member unreasonably refuses suitable alternative employment, then they may forfeit the right to any redundancy payments. Whether a role counts as suitable alternative employment may have to be decided on a case by case basis, in partnership with the HR Operations Team As a rough guideline, to be suitable alternative employment, the role does not have to be identical to the previous role, but should be broadly similar in terms of status, hours, location, and roles/responsibilities. This might mean a similar role in a different department, a role at the same Band but with a different focus (e.g. movement from an operational role into a project role), or a similar role at one Band lower, with Pay Protection where applicable. A slight change in working hours may be acceptable, but it may not be acceptable to expect someone to take a significant drop in hours Temporary posts may be considered as suitable alternative employment, until a permanent position is found. Continuity of employment will not be broken. Managing Organisational Change Policy v3.1 Page 17 of 39

18 13.12 Termination of a fixed term contract may constitute a redundancy in certain circumstances, and if this is the case, the post-holder should be treated the same as other permanent employees who may be at risk at that time. Please refer to the Trust s Acting Up and Secondment and/or Fixed Term Contract Policies for further information and guidance Individuals at risk of redundancy should also be given reasonable paid time off to attend interviews or other employment forums, such as Job Centre Plus Appendix D contains a summary of the Specific Entitlements of Staff that would apply in such cases The Trust has a legal obligation to continue to seek suitable alternative work for employees at risk right up until their last day of the notice period. However, should an employee express a wish to leave either before the end of their notice period or before the end of their employment guarantee and there is no suitable work available, it may be possible to negotiate an earlier release date. In these circumstances the employee will only be paid up to the last day they worked. Employees should be encouraged to speak to their Independent Financial Advisor and Trade Union representative (if in a Union) prior to making this decision. Employees should put requests to the manager in writing. Advice from HR must be sought prior to this action being agreed. All agreements made should be in writing. 14. Redundancy Payments Full details on redundancy eligibility and payments are included in Section 16 of the Agenda for Change Handbook. 15. Transfer of Undertaking (Protection of Employment) 15.1 The Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE) protects an employee s terms and conditions. TUPE applies if a service or business transfers to another employer. This would apply to in or out-sourcing services, or if a service is transferred to another NHS Trust or a private provider TUPE is a complex area of law, and any such transfer should be done with HR involvement from the start. 16. Terminating employment and offering re-engagement on the new terms 16.1 In very exceptional circumstances, where changes to terms and conditions of employment cannot be agreed through the normal process of consultation, the Managing Organisational Change Policy v3.1 Page 18 of 39

19 Trust retains the legal right to serve notice of termination of employment to employees who have refused to consent to a change in terms and conditions of employment Notice of termination of the employee's current contract would be accompanied by an offer of re-employment on the new terms and conditions to commence immediately on the day following the termination date of employment Employees wishing to accept such an offer of employment under a new contract would not lose their period of continuous service with the Trust because there would be no gap in employment. On the day on which the new contract takes effect, employees would be treated as having been continuously employed by the Trust since the date on which they originally joined the Trust as an employee. Guidance must be sought from HR on the application of this action. 17. Giving Notice of Change 17.1 In terms of legal notice periods, the provisions of section 10.1 will apply if it is a redundancy situation and the Trust is looking to make the relevant number of redundancies. Other than this, the Trust is required to undertake reasonable consultation and give reasonable notice of change What counts as reasonable notice is not always an exact science, and will usually be dependent on the nature of the change. For example, you would expect a longer consultation period for a redundancy or downgrading situation than you would for a minor change in hours Overall, consultation on any intended change should start at the earliest possible opportunity, when it looks likely that a change will occur. As previously stated, staff should be given the opportunity to reflect on the changes, make suggestions, ask questions and raise queries on the issue Once consultation has taken place, if someone is formally placed at risk due to a change or a redundancy selection process, they should be issued notice in line with their contractual notice period. However in exceptional circumstances, the Trust reserves the right to run the notice period in parallel with the formal consultation period, subject to discussion with Staffside. At risk employees should remain on the redeployment register for the duration of this period In practice, any consultation about change to a staff member s working life or terms & conditions should ideally begin at least 4 weeks before the change is likely to take effect, and earlier if this is at all possible. Managing Organisational Change Policy v3.1 Page 19 of 39

20 18. Appeals Procedure 18.1 Change management is sometimes contentious, and staff members may feel unhappy with the outcome. In most cases, proper consultation and a fair and transparent process will avoid the need for a formal appeal Any member of staff will have the right of appeal against redundancy, if they feel the process has been unfairly applied. Appeals should be lodged in writing to the Director of Workforce & Organisational Development within 10 working days of receiving written notice of redundancy, setting out the grounds of the appeal. The Redundancy Appeal panel will consist of two Directors or Non-Executive Directors of the Trust. If the Director of Workforce is not one of the two Directors, an HR representative will be present to provide procedural advice to the panel. Where the Chief Executive is the Dismissing Officer, the panel should comprise two Trust Board Members, one of whom will be the Chair of the Trust. An HR representative will be present to provide procedural advice to the panel The proceedings of the Appeal would typically be as follows: The employee and/or representative will put their case The Trust s representative, followed by the panel, may put questions to the employee The Trust s representative will put management s case The employee or their representative, followed by the panel, may put questions to the Trust representative The Trust s representative will have the opportunity to sum up their case if they so wish. The employee or their representative will have the opportunity to summarise their case or speak last. Neither party may introduce any new matter at this stage. The panel adjourn to consider the case and reconvene to confirm their decision. Managing Organisational Change Policy v3.1 Page 20 of 39

21 19. Prioritisation of Work This is the harmonised Organisational Change policy reflecting the incorporation of the community services in Exeter, East and Mid Devon policy with Northern Devon Healthcare NHS Trust policy in April Equality Impact Assessment The Trust aims to design and implement services, policies and measures that meet the diverse needs of our service, population and workforce, ensuring that none are placed at a disadvantage over others. An Equality Impact Assessment Screening has been undertaken and is attached at Appendix F. 21. Consultation, Approval and Ratification Process 21.1 Consultation Process The author consulted widely with stakeholders, including: HR Operations Team Staffside Pay & Reward Sub-Group 21.2 Policy Approval Process Approval of the policy will be sought from the Partnership Forum. 22. Monitoring Compliance with and the Effectiveness of the Policy 22.1 Process for Monitoring Compliance and Effectiveness Monitoring compliance with this policy will be the responsibility of the Human Resources Team. Where non-compliance is identified, support and advice will be provided to improve practice. 23. References Fixed Term Employees (Prevention of Less Favourable Treatment) Regulations (2002 Fixed-term Employees Regulations, implemented Directive 99/70/EC of June 1999 on the Framework Agreement on Fixed-term Work (the Directive) Employment Rights Act 1996 TUPE Regulations 2006 Managing Organisational Change Policy v3.1 Page 21 of 39

22 ACAS 24. Associated Documentation Redeployment Procedure Protection of Earnings Policy (NDHT) Procedure for Protection of Pay and Conditions of Service (NHS Devon) Fixed Term Contract Policy Acting Up and Secondment Policy Managing Organisational Change Policy v3.1 Page 22 of 39

23 Appendix A Checklist Informal Consultation Process 1 A potential need for change is identified by manager or staff Tick when completed 2 Discussion undertaken with senior management about the potential need for change. If agreement is reached that change is necessary 3 Initial informal group discussion with affected staff e.g. at Team Meeting which must be documented 4 Assessment of potential impact on staff completed 5 Consideration of scope of change completed 6 Consider whether staff have objections to the proposed change (if so move to Formal Consultation Process) 6 Decision made on whether or not change requires formal consultation due to scope/potential impact of change - if it does, move to the Formal Consultation Process 7 Document the scope and impact of change together with proposed timeline for implementation and discuss with all affected staff and, where necessary, others who may be impacted; ensure documents are distributed to staff in a timely manner and discussion is documented 8 Offer opportunity for 1:1 meetings with staff to discuss personal impacts of proposed change; complete Flexible Working Request documentation where staff request amendments to existing arrangements as a result of the change 9 Gather feedback at group and 1:1 meetings and document; review and revise proposals as a result 10 Further informal group discussion regarding final arrangements and details of implementation process and timeline 11 Implement change 12 Process reviewed for learning opportunities 13 Change reviewed after a suitable period e.g. 3 or 6 months 14 Annual review of any flexible working requests implemented as a result of change Managing Organisational Change Policy v3.1 Page 23 of 39

24 Formal Consultation Process 1 Need for change is identified Tick when completed 2 Consideration of scope of change completed 3 Decision made that change requires formal consultation process 4 Draw up draft Consultation Paper and pack (see Appendixes B and C) setting out required information as per template provided 5 Obtain input from HR Representative and from Staffside to the draft Consultation Paper to include input/agreement from Staffside Committee (See Below). 6 Consultation paper presented to Staffside either at their regular meeting or at a specially convened meeting. The paper will then need to be submitted to Partnership Forum for information but unless the MoC is very large and/or significant detailed deliberation of the change will not be conducted in the Partnership Forum meeting itself. Timelines must comply with any statutory requirements e.g. if redundancies may result 7 Group Consultation Meeting (with representation from Staffside & HR) held and documented. 8 Feedback considered and Consultation Paper updated as required 9 If required, 1:1 Meetings held. Individual arrangements for staff considered, agreed as required and documented; complete Flexible Working Request documentation where staff request amendments to existing arrangements as a result of the change 13 Where practical Group Consultation (Feedback) Meeting held and documented. Where a group meeting is not practical, written feedback will be provided to staff. 14 Change implemented 15 Process reviewed for learning opportunities 16 Change reviewed after a suitable period between 3 or 6 months. The review period will be agreed during the consultation process. 17 Annual review of any flexible working requests implemented as a result of change Managing Organisational Change Policy v3.1 Page 24 of 39

25 Appendix B - Manager s Guide to the Trust s Formal Consultation Process The formal consultation process will include the following essential steps: 1.1 The lead manager ( sponsor ) of the proposed change must secure approval from the relevant Executive or Senior Team for the proposals before consultation is progressed. 1.2 The HR Operations Department must be engaged in the process before consultation is progressed, through a nominated HR Representative. Staffside representatives must be invited to engage at this stage as experience has shown this can be beneficial when compiling consultation papers. 1.3 The manager leading the consultation must prepare a consultation pack normally containing: The Consultation Paper explaining the proposed change, why it is necessary and confirming the rights of staff in terms of, for example pay protection or excess travel. This paper must include a proposed timescale for consultation including when consultation starts and ends AND a proposed timescale for implementation of any agreed change. A template is provided at Appendix C Timescale for consultation must include sufficient time for submission of papers to HR and Staffside/trade unions and professional associations for feedback prior to publication to staff Timescales for consultation must include sufficient time for a Group Consultation Meeting held at a time that is suitable for staff, HR and Staffside; and for individual consultation with staff affected (1:1s) wherever necessary Copies of any relevant documentation such as job descriptions, person specifications, amended forms etc Accurate and valid information in relation to existing shift patterns/rotas/ establishment and proposed shift patterns/rotas/establishment etc Copies of draft letters to staff affected and other key stake holders, which should include relevant unaffected staff An Equality Impact Assessment in relation to the proposed changes. This should be reviewed and adjusted as necessary at the end of the consultation process. 1.4 Once the above process is completed the consultation pack must be presented to Staffside either at their regular meeting or at a specially convened meeting. The paper will then need to be submitted to Partnership Forum for information but unless the MoC is very large and/or significant detailed deliberation of the change will not be conducted in the Partnership Forum meeting itself. 1.5 At least one collective meeting with relevant staff Group Consultation Meeting - must be organised to explain the proposed changes, share the consultation pack and seek feedback. Arrangements for meetings should be coordinated with Trade union and professional association representatives and HR to ensure availability to attend. Managing Organisational Change Policy v3.1 Page 25 of 39