Overarching Organisational Change Policy for University Hospitals of Derby and Burton NHS Foundation Trust

Transcription

1 Overarching Organisational Change Policy for University Hospitals of Derby and Burton NHS Foundation Trust Policy name: Organisational Change Policy Approved by: Management Executive On: December 2014 Review Date:- (December 2017) Extension Agreed to April 2019 Corporate / Divisional :- Corporate Clinical / Non Clinical :- Non Clinical Department Responsible for Review: Non-Clinical Workforce Distribution: Essential Reading for: Training and Dissemination To be read in conjunction with: All Trust staff, including medical staff, including medical and dental staff. Policy launched through Signpost/Synapse and available through Trust Intranet (FLO). New starters notified of policy at induction, briefings available to all employees; implemented through Partnership Forum Protection of Pay/Earnings following Organisational and other Change, Trust Staff Handbook, Policy for Managing Work Related Stress Policy Number: HR Version Number: 3.3

2 Signature:. Executive Director of Workforce Date :.

3 REVIEW AND AMENDMENT LOG Version Type of change Date Description of Change 1 New August 2006 Original Policy 2 Amendments July 2008 Major amendments 3 Amendments September 2010 Major amendments 3.1 Amendments November 2012 Minor amendments 3.2 Amendments December 2014 Minor amendments 3.3 No change. Unified July 2018 Derby Policy unified for UHDB Page 3 of 29

4 TRUST POLICY AND PROCEDURES FOR ORGANISATIONAL CHANGE Contents 1. Introduction Purpose and Outcomes POLICY IN PRACTICE Organisational Change Process Principles Actions to be taken when Organisational Changes are necessary Measures to minimise the number of employees adversely affected Statutory Consultation Individual Consultation Training Agreement on changes to current roles and terms and conditions of service Measures to minimise redundancies Search for Suitable Alternative Employment Slotting in Ring Fenced competition Limited competition Complex or Multiple Organisational Changes Selection criteria for retaining employees in Organisational Change situations Redundancy Payments Reasonable Time off Trial Periods Re-engagement Following Redundancy The Transfer of Undertakings (Protection of Employment) (TUPE) Regulations Workforce Management December

5 3.20 Right of Appeal Support Monitoring Compliance and Effectiveness References Appendix 1 Procedural Responsibilities Appendix 2 Policy Definitions Appendix 3 Template Organisational Change Report Appendix 4 Organisational Change Consultation Process Flow Chart Appendix 5 Policy Review and Approval Process Appendix 6 HR Policy & Guidance Implementation Plan Workforce Management December

6 TRUST POLICY AND PROCEDURES FOR ORGANISATIONAL CHANGE 1. Introduction This policy has been developed to deal with situations in which the number and/or type of employees required by the Trust changes as a result of organisational change and/or transformation schemes. It replaces all previous Trust policies that relate to organisational change and it applies to all employees of the Trust. The changing health and social care environment poses a number of challenges to the Trust, for example, the need to improve standards of care, to achieve integrated care pathways, to respond to financial challenges or to respond to a change in patient service requirements. As a result, organisational change will sometimes be necessary in order to meet these challenges. The Trust recognises that its employees are the most valuable of its resources and aims, as far as possible, to achieve necessary changes in the workforce by turnover and natural wastage, redeployment, absorption, retraining, early retirement and voluntary redundancy - avoiding compulsory redundancy wherever possible. The Trust is committed to having full and early consultation with employees and recognised Trade Unions/Professional Associations about any changes and will do so in accordance with the principles outlined in its partnership working agreement. As part of its development, this policy and its impact on equality have been reviewed in consultation with trade union and other employee representatives in line with the Trust s Equality Delivery System and Equality, Diversity and Human Rights Policy. The purpose of the assessment is to minimise and if possible remove any disproportionate impact on employees on the grounds of race, sex, gender reassignment, marital status, pregnancy, disability, age, sexual orientation or religious belief. In situations where services are transferring from one employer to another and where the Transfer of Undertakings (Protection of Employment) Regulations 1991 (TUPE) apply, full and early consultation with recognised Trade Unions/Professional Associations about the proposed changes will take place, with a view to seeking their agreement to the measures being taken. The Trust recognises that all employees have the right to be treated fairly, with dignity and respect. During the application of this policy the Trust will endeavour to ensure that all employees have equal opportunities in employment throughout any period of change. The Trust recognises that change must be managed in a fair consistent manner to ensure that employees do not feel disadvantaged. Managers, working in partnership with staff side representatives will play a key role and will ensure that the timing and criteria of key decisions on for example, staffing arrangements, Workforce Management December

7 selection procedures and, where necessary, redundancies are consistent and in line with current legislative provisions and good employment practice. The Trust recognises that all change management must be carried out in an open and honest way. To ensure that this occurs the Trust will involve staff in order to ensure that staff are fully briefed and updated throughout any change process that affects them. 2. Purpose and Outcomes The purpose of this policy is to give a set of clear and concise steps to ensure that any organisational change undertaken complies with current employment legislation. 3. POLICY IN PRACTICE 3.1 Organisational Change Process Principles Organisational change is any structural or managerial change in the organisation impacting on the workforce. This could, for example, be as a result of a service change, a transformation scheme or partnership working with another Trust. At the outset of the change process, a consultation document should be drawn up to identify the need for and extent of the change. This should include: An overview of how services will be provided or roles will be changed under the revised arrangements. The reasons for making the change. The extent of the change, including the number of staff likely to be affected. The process/project plan for managing the change and approximate timescales. Undertaking a risk assessment where there may be an impact on the Health and Safety of employees, for example considering lone working, training etc. Communications plan where significant numbers of staff are affected Proposed changes to Job Descriptions, duties or locations Changes to duties which are already within the overall scope of the Job Description or Person Specifications Reduction in vacant posts The creation of new posts Proposed changes to line management arrangements Review of vacancies This document will provide the basis for the initial discussions with trade unions and staff, but it is recognised that the plans may subsequently need to be amended to take account of the outcome of the consultation. Workforce Management December

8 Human Resources must be consulted on the workforce implications and process for managing any organisational change that will potentially affect the roles, contractual terms or job security of staff. For all instances of formal organisational change the template in Appendix 1 must be completed along with an Equality Impact Risk Assessment (EIRA) which is available on Flo. These documents must be presented to the Organisation Change Review Group. In order to determine if an Organisational Change proposal could result in a major or minor change please consult your divisional Human Resources Team. 3.2 Actions to be taken when Organisational Changes are necessary Organisational change is essential to ensure that the Trust can maintain health service provisions that meet the needs of the communities it serves. However, when organisational change is required there are several steps that can be taken to alleviate its effects as follows:: measures to minimise the number of employees adversely affected identification of at risk employees statutory consultation individual consultation training agreement on changes to current role and terms and conditions of service search for suitable alternative employment (including posts normally at one band below) identification of employees for redundancy, where necessary. 3.3 Measures to minimise the number of employees adversely affected When it is anticipated that organisational changes are needed, every effort will be made to reduce the number of employees affected by taking action, as soon as is practicable, to avoid the appointment of additional employees on a permanent basis. This will be achieved, for example, by curtailing recruitment, agreed reductions in the hours worked by individuals or the use of secondments into the department or fixed term contracts. 3.4 Statutory Consultation Whatever the numbers of employees involved, the Trust is committed to full consultation at the earliest opportunity with recognised Trade Unions/Professional Associations with a view to seeking agreement on the way the organisational changes should be managed, and particularly how redundancies can be avoided. Statutory provisions require the Trust to consult appropriate Workforce Management December

9 recognised Trade Unions/Professional Associations about proposed redundancies at the earliest opportunity. This consultation will take place in parallel with discussions with at risk employees to seek to agree changes to current role and terms and conditions of service, and with the search for suitable alternative employment for at risk employees if all meaningful consultation is deemed to have ended. If it is proposed to dismiss employees by reason of redundancy over a period of 30 days or less, consultation should take place at least 30 days before the first dismissal takes effect. If 100 or more employees were to be dismissed by the reason for redundancy over a period of 90 days or less, the consultation must start at least 45 days before the first dismissal take effect. The Trust is also required to notify the Department for Business Innovation and Skills, using an HR1 Form, within the equivalent periods if they are proposing to make 20 or more employees redundant. Where it is clear that redundancies have to be declared, there are statutory requirements under employment law concerning the provision of information to and consultation with recognised Trade Unions. It is the responsibility of the Director of Workforce Management to ensure that these statutory requirements are met. 3.5 Individual Consultation Employees affected by workforce changes will be individually consulted, if they wish, by their manager, usually with the involvement of Human Resources. Possible changes will be considered and the options available to deal with the changes will be discussed. Employees are entitled to be represented at meetings by a recognised Trade Union/Professional Association representative or a work colleague. 3.6 Training As part of its commitment to maintain employment security, the Trust will organise and fund appropriate training to support staff through a programme of change, if this is applicable. Training opportunities may include: a) training programmes that will enable staff to continue working in their current, but changed role, or enable staff to qualify for alternative job roles within the Trust b) familiarisation and induction training to enable employees to move into an alternative job role within the Trust that may not be fully covered by the individual s training or experience to date c) In some cases specialised training provision or coaching could be provided to assist employees in job search, Workforce Management December

10 career review, preparing for selection interviews, etc, as appropriate. Whilst every encouragement will be given to staff who wish to undertake training, this will only be provided if management believe that the employee has the potential to acquire the relevant skills/competencies and that the training period necessary is reasonable. It is not envisaged that staff will be required to undertake extensive training or seek new professional or occupational qualifications unless this is expressly agreed between management and the employee concerned. 3.7 Agreement on changes to current roles and terms and conditions of service Often current roles continue to exist but are changed, for example by changes of skill or Band / Grade mix, changes in working practices, change in work base, changes in hours of work or working patterns, however, there are still sufficient posts to accommodate the number of employees in post. In such cases every effort will be made to agree arrangements with the employee so they can continue to be employed in the changed posts. If an employee is not willing to agree to the reasonable changes required, it may be necessary for the Trust to give the employee formal notice that their current contract will end, but offering a reasonable alternative contract which is judged to be suitable alternative employment. If the Trust accepts that there are valid reasons for the employee not to accept the proposed changes, suitable alternative employment will be sought for the employee. If the change results in a reduction in basic pay or total earnings, the Trust s Policy on Protection of Pay will be applied. 3.8 Measures to minimise redundancies When management are considering the possibility of redundancies all reasonable steps to minimise the effect of redundancy will be considered: Natural wastage of staff by turnover Suspension of recruitment within the area of potential redundancy and in other identified areas where a potentially redundant employee may be found alternative employment Reducing the use of temporary staff including bank/agency within the area of potential redundancy and in other identified areas of potential redeployment. Reducing overtime Where redundancies arise from a restructure within or across Departments, any new posts will be ring fenced to employees at risk Workforce Management December

11 of redundancy according to the particular circumstances. Such posts will be open to other applicants after employees at risk and who apply have been considered. 3.9 Search for Suitable Alternative Employment When the organisational change results in an employee being placed at risk suitable alternative employment will be sought. There are a variety of ways of achieving this, as outlined below. Where employees have been acting up into a higher banded/graded post, suitable alternative employment will be sought using their substantive post. Within each option, the employee must be appointed to the post; unless the interviewing manager can objectively demonstrate that the individual is unsuitable for the post. If the change results in a reduction in basic pay or total earnings, the Trust s Policy on Protection of Pay and Terms and Conditions will be applied. The changed role may require the employee to undergo additional training. In this case, the provisions of paragraph 5.6 will apply. Where it is felt to be appropriate, the employee will be referred to Occupational Health in order to seek medical advice as to their fitness to undertake the duties of the post for which they are being considered. Staff will be entitled to an initial trial period of four weeks in the new post in order to confirm that it is suitable alternative employment, subject to review of individual circumstances Slotting in Where the substantive duties of the at risk employee are wholly or mainly the same in the new structure as they were in the old, where the two posts are on the same Band / Grade and where no other employees in the same role are displaced, the employee should slot in automatically without competition Ring Fenced competition Ring fenced competition will apply where, as a result of organisational change, the workforce plan has identified one or more of the following situations: a) the establishment of new posts arising from a changed or new service, or b) the establishment of fewer posts arising from the changed or new service or skill mix review, or c) the integration of existing departments, structures and/or Workforce Management December

12 services including situations where a new organisational structure has resulted in changes to existing roles and where more than one at risk employee can make a legitimate claim to the post, as the existing duties of the employee are wholly or mainly the same as the new post(s). Identification of posts and post holders within the ring fence will be undertaken by Line Managers supported by Human Resources in conjunction with the staff side as part of the consultation process and agreed with the relevant manager(s). It will be done by comparing the posts/job descriptions currently held by the post holder(s) with the new post(s) to be filled. Once employees in the ring fence have been agreed, they will be interviewed and relevant appointment(s) made Limited competition Where there are no at risk employees who can make a legitimate claim for a post through slotting in or ring fenced competition, but who would otherwise be displaced, limited competition will take place. Competition for the post will be confined to at risk employees otherwise displaced by new posts who are on an equivalent or similar band/grade/ level/status to the post to be filled. Factors to be taken into account in agreeing which employees will be included in the limited competition include: the role and responsibilities of the new post(s) in comparison with their existing post(s) the reporting levels within the organisational structure current and proposed bands/grades Complex or Multiple Organisational Changes In circumstances where the arrangements are complex, or where there are multiple organisational changes that impact upon one another, the outcomes described in paragraphs 3.9 to 3.12 may not be appropriate. In this situation the Line Manager, with support from Human Resources, and agreement from the Trade Union Representative, will explore how the provisions of these paragraphs will be applied in advance of the process commencing or continuing Selection criteria for retaining employees in Organisational Change situations If due to organisational change the situation arises in which there is a need for less employees to carry out a particular type of work, or new jobs are created that require less employees to carry out that particular type of work, then a selection process will be required to determine which employees are retained and displaced from the pool of employees who may have a claim on those jobs. Workforce Management December

13 One or more of the following criteria may be used in determining which staff are to be retained/ displaced from any given pool: The cost of redundancy payment, premature retirement benefits and affordability. The length of service of employees. 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. 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 criteria used and the weighting attached to them will vary according to the particular circumstance, 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 marital status, race, sex, pregnancy, part-time work and disability constitute direct discrimination and will, therefore, not be used. The criteria to be used will be agreed with accredited Trade Unions/ Professional Associations before the selection process begins. All criteria used should be fair and transparent. The selection methods to be used should be explained to the employees to ensure that they fully understand the process that will be taking place. Any employee who is displaced at the end of the selection process will be declared at risk and enter the at risk process. The employee must complete and return the documentation in order to be placed on the at risk register. The manager will support the employee in identifying and seeking suitable alternative employment though:- Raising awareness of suitable alternative posts/vacancies Discussing applications and progress with the employee Regularly meeting with the employee to discussing applications and process for suitable alternative roles Formal at risk employees will remain on the At Risk Register for between four and twelve weeks depending on their contractual notice period as detailed in their Contract of Employment. Employees will be informed of their right to appeal against the decision to make them redundant. Whilst normally staff will be expected to work their notice period, individual circumstances may lead to this being varied. Displaced employees will remain on the at risk register as per the Trust Protection of Pay Policy. Workforce Management December

14 3.15 Redundancy Payments These will be calculated in accordance with Section 16 of the Agenda for Change NHS Terms and Conditions of Service Handbook for nonmedical and dental employees. Those for Doctors and Dentists will be calculated in accordance with National Health Service Hospital Medical and Dental Staff and Doctors in Public Health Medicine and Community Health Service (England and Wales) Terms and Conditions Handbook. During the notice period the amount of the payment will be calculated and the individual informed of the figure. Employees must have two years (104 weeks ) continuous service to qualify for redundancy payments. If this is with more than one NHS Employer, or there is a break in service with the same Employer, the break must be no more than one week (measured Sunday to Saturday). Employees will not be entitled to redundancy payments if they: unreasonably refuse to accept or apply for suitable alternative employment with the same or another NHS employer; or at the date of the termination of the contract have obtained without a break, or with a break not exceeding four weeks, suitable alternative employment with the same or another NHS employer; or leave their employment before expiry of notice, unless the Trust has agreed to them being released early; or any other reason detailed in Section 16 of the NHS Terms and Conditions of Service Handbook or National Health Service Hospital Medical and Dental Staff and Doctors in Public Health Medicine and Community Health Service (England and Wales) Terms and Conditions Handbook, as appropriate Reasonable Time off Employees under notice of dismissal for redundancy will have the right to reasonable time off with pay during working hours, either to look for work or to make arrangements for training for future employment. Any time off will be subject to approval and dependant on the needs of the service Trial Periods If a member of staff potentially at risk is selected for another post which is accepted by them, they will be deemed to have been offered suitable alternative employment, and will be entitled to a trial period of 4 weeks within the new post (see 5.9 above) If during this trial period either the Trust or the member of staff can show that the employment offered is not in fact suitable, either party Workforce Management December

15 can terminate the arrangement and the individual will retain any entitlement they may have to a statutory/enhanced redundancy payment. If the trial period is successful, employment in the new job will continue and the individual will have no further entitlement to a redundancy payment. The trial period can be extended if both parties agree. If the member of staff does not accept the new job offered, or leaves during the trial period and cannot reasonably show that the job is unsuitable, then the member of staff may forfeit the entitlement to a statutory/enhanced redundancy payment Re-engagement Following Redundancy For NHS Terms and Conditions of Service purposes, NHS organisations are associated employers. Therefore if a member of staff is made redundant and accepts and commences a new NHS post within four weeks of leaving the previous post, they are not entitled to redundancy pay under the regulations The Transfer of Undertakings (Protection of Employment) (TUPE) Regulations These Regulations provide employment rights to members of staff when their employer changes as a result of a transfer of an undertaking. The effect of these Regulations is to preserve the continuity of employment and terms and conditions of those staff that are transferred to a new employer, when a relevant transfer takes place. This means that staff employed by the previous employer when the transfer takes effect will automatically become employees of the new employer on the same terms and conditions of service. The Regulations also contain specific provisions to protect members of staff from dismissal before or after the transfer. The Regulations therefore ensure that members of staff are not penalised when they are transferred by being placed on inferior terms and conditions. Therefore, not only are their pre-existing terms and conditions transferred across on the first day of their employment with the new employer, the Regulations also impose limitations on the ability of the new employer and the transferred staff to agree a variation to terms and conditions thereafter Right of Appeal Any employee who wishes to appeal against the application of this policy should refer to the Trust s Grievance Procedure to raise a complaint. The grievance should be addressed to the Manager responsible for the organisational change process. If the Grievance relates to the organisational change process this should be submitted no later than 10 days after the closure of the Organisational Change process. If the Grievance relates to the outcome of the Organisational Workforce Management December

16 Change the appeal must be submitted no later than 10 days after receiving the outcome in writing Support It is recognised that the organisational change process can be a source of stress. Various support mechanisms are available including Occupational Health, the Employee Assistance Programme, the Policy for Management of Work Related Stress, Coaching and Mentoring. 4. Monitoring Compliance and Effectiveness Trust Policy and Procedures for Organisational Change will be monitored in a composite report presented through our Monitoring Report Template: Monitoring Requirement : - The process for analysing organisational change data - the arrangements for the organisational overview of organisational change - Organisational change data Monitoring Method: Report Prepared by: Monitoring Report presented to: Frequency of Report: Analysis of employees affected by grade, role, hours worked, protected characteristics, cost of redundancy, change of grade, changes in WTEs numbers. Deputy Director of Workforce Management Workforce Assurance Committee Annually In addition the following interim/ operational reports will be provided and will inform the above composite report. The Trust Joint Council will receive and review reports produced by HR. 5. References NHS Terms and Conditions of Service Handbook, April 2014 National Health Service Hospital Medical and Dental Staff and Doctors in Public Health Medicine and Community Health Service (England and Wales) Terms and Conditions Handbook Employment Rights Act, 1996 Workforce Management December

17 Appendix 1 Procedural Responsibilities 1 Executive Director of Workforce Management To oversee the introduction, operation and monitoring of the policy and report to the Trust Board as required. To ensure the provision of advice, guidance and support to managers in the operation of this policy. 2 Divisional Human Resources Team To provide support, advice and guidance on all matters relating to the management of organisational change. To ensure both fairness and the adherence to current employment legislation during the application of this policy. Where pay protection is applicable liaison with the Pay and Pensions Team. Where an employee is to be placed on the at risk database ensure that appropriate documentation provided and processed. To provide annual reports to both the Trust Joint Council and the Workforce Performance Forum outlining the number of employees in their divisions affected by organisational change 5 Managers Managers considering changes to the organisation of health service provision should be aware of the possible impact such organisational change may have on employees and should seek advice from their Divisional Human Resource Manager about how any changes might be managed, before taking any action, including speaking to employees or their representatives. The Manager, supported by Human Resources, should then discuss the possible issues arising from organisational change with employees and relevant accredited Trade Union/Professional Association representatives. Managers should also provide the employees with an information pack about the proposed organisational change. The Manager should provide appropriate support to their employees throughout the process, including exploring alternative roles if this is appropriate. The Manager should maintain ongoing responsibility for an individual who is on pay protection and for supporting the individual to identify posts at the original Banding/Grading as appropriate. The Manager must ensure that the employee is supported to seek Workforce Management December

18 suitable alternative employment, including regularly meeting with the employee to discuss their search for suitable posts. 6 Employees To familiarise themselves with this policy and the how it may impact upon them. To make every reasonable effort to engage with all the opportunities of communication and consultation afforded to them during in the organisational change process. To be proactive in contributing to proposals for changes that may affect them and subsequent changes required to their roles. 7 Trade Unions/Professional Associations Trade Union Representatives will ensure they have an understanding of this policy and the implementation process for each organisational change process. Trade Union Representatives will provide advice regarding the member s responsibilities in considering options of employment being offered. Advise members of the consequences if the conditions above are not met. 8 The Workforce Policy Review & Approval Process The recognised formal committees and forums are responsible for the review, approval and monitoring of this policy are as follows: Workforce Policy Review Group Partnership Forum Workforce Performance Forum Joint Local Negotiating Committee Trust Joint Council Workforce Management December

19 Appendix 2 Policy Definitions 1 Organisational Change Organisational change is any structural or managerial change in the organisation of health service provision impacting on workforce, which could for example, be as a result of a service change, a transformation scheme or partnership working with another Trust. These changes could include the following:- Changing the structure of a particular service, Business Unit or Division Decommissioning and commissioning services Changes of skill or band mix Changes in working practices Changes in hours of work or working patterns A substantial change to the work base The introduction of new or changed roles A reduction in the number or type of posts required overall This list is not exhaustive and other factors may be considered. This process can be amended to be shorter or longer by joint agreement. This will be dependent on complexity, numbers/groups of staff. 2 Organisational Change Review Group This group meets on a monthly basis to consider any organisational change programmes that impact across the organisation, and the likely impact of these changes on the workforce. 3 Displaced employee A displaced employee is a person whose position/job no longer exists due to an organisational change including where the position/job is moved to a substantially different work location, which will be determined on a case by case basis. Any employee who is displaced will be declared at risk and enter the at risk process. 4 Companion This is defined as either an accredited Trade Union/Professional Organisation Representative, or a fellow employee. 5 Formally at risk The employee is under contractual notice of termination of employment due to redundancy. Any individual with at risk or formally at risk status will be afforded preferential rights. 6 Suitable Alternative Employment Workforce Management December

20 The following will apply to displaced and formally at risk staff. Suitable alternative employment is work that is on broadly similar terms and within the same range of skills required as the current employment where the individual meets the essential criteria of the person specification. Staff at risk will be given prior consideration for suitable posts in line with their skills, experience and capabilities. This is a post identified as an alternative to redundancy, as determined by reference to sections 138 and 141 of the Employment Rights Act In considering whether a post is suitable alternative employment, the pre-existing personal circumstances of the individual should be considered, however, employees will be expected to show flexibility. The following factors, amongst other things, will be taken into account when seeking any alternative job opportunities: Banding/Grade Pay and protection of earnings Personal circumstances Transport/travelling circumstances Equivalent hours of work Career prospects Length of service Equal opportunities Status Working environment Health and safety Skills and experience 7 At Risk Register This is the Trust s database of all those employees who have been declared at risk. 8 Ringfenced Interview This occurs when the pool of candidates to be considered for a post is restricted i.e. ring fenced, to a particular group of staff who have been placed at risk. 9 Preferential Interview Preferential interviews will be afforded to employees who are identified as at risk and apply for another post in the Trust. To qualify for a preferential interview they must be able to demonstrate that they can meet, or be trained, in the essential elements of the person specification. If they can demonstrate suitability they will then be guaranteed an interview. 10 Slotting In Workforce Management December

21 This occurs where the substantive duties of the displaced employee are wholly or mainly the same in the new structure as they were in the old, where the two posts are on the same Band/Grade and where no other employees in the same role are displaced, the employee then slots into the post automatically without competition. 11 Redeployment This refers to an offer of alternative employment gained either through the at risk process or a post being offered under the slotting in process. 12 Revision of Banding/Grade This occurs when the new post, irrespective of the title, is at a different Band/Grade than the current post. 13 TUPE (Transfer of Undertaking Protection of Employment) These regulations apply when jobs or services are transferred in and out of the Trust. 14 Redundancy This occurs if the employee is dismissed and the dismissal is attributable wholly or mainly to the fact that: a) the employer has ceased, or intends to cease: i) to carry on the business for the purposes of which the employee was employed by him; or ii) to carry on the business in the place where the employee was so employed; or b) the requirements of the business for employees: i) to carry out work of a particular kind; or ii) to carry out work of a particular kind in the place where the employee was employee have ceased or diminished, or are expected to cease or diminish. 15 Contractual Notice The statutory or contractual notice period, whichever is greater, will apply to employees receiving notice from the Trust for dismissal on the grounds of redundancy. Workforce Management December

22 Appendix 3 Template Organisational Change Report Item: REPORT TO ORGANISATIONAL CHANGE REVIEW GROUP TO BE HELD ON: <Insert date of the organisational change meeting here> To be Reported At The Group By: PURPOSE OF THE REPORT: <Insert brief summary of proposed change> KEY POINTS: Current establishment/skill mix: Proposed establishment/skill mix: Net Loss to establishment/skill mix (if applicable): COMMUNICATION PLAN: <Summarise the communication plan including external and internal communication> COST / BENEFIT ANALYSIS: <Insert cost / benefit analysis of proposed change> BENEFITS / RISKS TO SERVICE DELIVERY/ PATIENT CARE: <Summarise the benefits and the risks of the proposed changes to service delivery and / or patient care > Workforce Management December

23 OTHER IMPLICATIONS: Workforce Assurance on Risk Management Financial Other Equality Impact Risk Assessments PRIOR DISCUSSION: <Insert any prior meetings where the organisational change proposal has been discussed / reviewed and the date of that meeting > ENDORSEMENTS: I confirm that this document has been read and approved by: Print Name of Divisional Director/Corporate Executive Lead: Print Name of Finance Manager: Print Name of Divisional HR Manager: Print Name of Lead Manager: I can confirm that the care model described within this paper has been approved by the Director of Patient Experience and Chief Nurse and / or the Medical Director: Yes Date: Please note, a signature from either the Director of Patient Experience and Chief Nurse or the Medical Director is required if your proposed change impacts upon Clinical or Allied Health Professional staff. Workforce Management December

24 <Title of Organisational Change> 1. Introduction 1.1 This paper describes the proposed organisational change in the <Name of Department> within the <Name of Business Unit>, <Name of Division>. 1.2 The <Name of Department>: <Insert a description of how the Department is currently structured> <Insert what the change will be e.g. restructure, skill mix review, role re-design, service reduction> 2. Background & Rationale 2.1 <Provide the rationale behind the proposal and explain the background and the reasons for the proposed organisational change> For example: Efficiency / productivity Quality of service Benefit to patient care 3. Proposed Organisational Change 3.1<Insert details of the proposed organisational change> 3.2 <Insert description of how the proposed organisational change affects the workforce/services> 4. Current & Proposed Organisational Structure 4.1<Describe and attach current organisational structure including breakdown of job title, pay band and wte> 4.2 <Describe and attach proposed organisational structure including breakdown of job title, pay band and wte> 4.3 <Complete the table below to detail the current and proposed workforce> POST AND GRADE CURRENT PROPOSED VARIANCE BASED AT (wte) (wte) (wte) MID-POINT e.g. Receptionist, Band TOTAL 4.4 <Insert the proposed process of managing the organisational change> 4.5 < Where pay protection applies, identify opportunities and plan to return individuals affected to the substantive band.> Workforce Management December

25 5. Communication, Consultation and Impact of Proposed Organisational Change 5.1<Insert the following considerations when reviewing the impact on employees, where appropriate> measures to minimise the number of employees adversely affected process of statutory consultation process of individual consultation 5.2 Selection for Posts within the organisational change <Describe the process to be adopted for the selection> 5.3 <Detail how the proposed change will be communicated to employees and internal and external stakeholders (if applicable)> 6. Timescales 6.1 <Insert timetable for implementation of the proposed organisational change identifying key milestones> 7. Queries, questions and concerns 7.1 <Insert what queries, questions and concerns require resolution before commencement of the organisational change process> 8. Next Steps 8.1 <Insert process to be undertaken following Organisational Change Forum> Outcome: Review Group Date: Organisational Change Signed: Date: Workforce Management December

26 Appendix 4: Organisational Change Consultation Process Flow Chart In response to a need for change management should consider: The risks, sensitivities and implications of the change, i.e. whether it is Minor (no effect of T&Cs or job losses) or Major (significant impact on T&Cs and /or likely to result in a workforce reduction/ skill mix change) Gaining provisional authorisation from Senior Management Major Change Minor Change Informal consultation If employees oppose the change (Discussion with staff and local staff reps) Agree in partnership the process for implementation (there is no need to have a formal consultation paper/set period of consultation) Involve staff at the earliest opportunity Organisational Change Review Group Paper presented at the meeting. Once paper approved then consultation can proceed Allow time for staff to consider options before implementing any changes Retain notes of any discussions and confirm arrangements in writing Meet with employees to launch period of consultation (This is usually 30 days and further individual meetings should be offered to employees during it.) End of Consultation Consider feedback from affected employees and review this against original proposal. Final document is released Appeal Consider the need to conduct restricted selection process for staff placed at risk by changes Implement Changes In line with Trust s At Risk procedures and Protection of Pay policy Appeal Workforce Management December

27 Appendix 5 Policy Review and Approval Process Reference Number Version: Status Author: Sue Millward HR Final Job Title: Head of Workforce - Resources Version / Amendment History Version Date Author Reason 1 August 2006 Director of HR Original Policy 2 July 2008 Director of HR Major Amendments 3 Sept 2010 Deputy Director of HR Major Amendments 3.1 Nov 2012 Head of Workforce - Resources Minor Amendments 3.2 December 2014 Deputy Director of Workforce Management Minor Amendments Intended Recipients: All employees Training and Dissemination: Policy is launched through Signpost/Synapse and located on intranet; new starters notified of policy at induction; briefings available to all employees; implemented through Partnership Forum. To be read in conjunction with: Protection of Pay/Earnings Following Organisational and Other Change;,Trust Staff Handbook, Policy for Managing Work Related Stress To be used in conjunction with: Workforce Management December

28 In consultation with and Date: Partnership Forum and relevant stakeholders (November 2014), Joint Local Negotiating Committee (November 2014), Trust Joint Council (November 2014) and Workforce Performance Forum (December 2014), Management Executive (December 2015) EIRA stage One Completed Stage Two Completed Yes No Procedural Documentation Review Group Assurance and Date Yes December 2014 Approving Body and Date Approved Management Executive December 2014 Date of Issue December 2014 Review Date and Frequency Contact for Review Executive Lead Signature Approving Executive Signature December 2017 (then every 3 years) Deputy Director of Workforce Management Director of Workforce Management Director of Workforce Management Workforce Management December

29 Appendix 6 - HR Policy & Guidance Implementation Plan HR Policy & Guidance Implementation Plan Policy/Guidelines Title: Organisational Change Policy V 3.2 HR Snr Lead (responsible for the policy) Jane Thomas Policy/Guidelines effective date: December 2014 Version Control (please outline any previous versions of policies/guidelines that this replaces) Name of policy/guidelines (inc version) that are replaced and need to be removed/archived Where are they held (e.g. intranet, HRshared drive) Date to be archived/remove d Who is responsible for removing it Organisational Policy V3.1 Change Intranet End of November 2014 Employment Services How will it be disseminated? Please describe below how the policy will be launched within the organisation and who is responsible for the different elements Method Date Name Responsibility Job Title Communication plan Intranet/Flo via December 2014 Workforce Management December