Organisational and Workforce Change Procedure PROCEDURE DOCUMENT CATEGORY: CLASSIFICATION: PURPOSE Controlled Document Number: Version Number: 9 Controlled Document Sponsor: Controlled Document Lead: Procedure HR To underpin Organisational and Workforce Change Policy 532 Executive Director of Delivery Director of Human Resources Approved By: Executive Director of Delivery On: 12 February 2013 Review Date: February 2016 Distribution: Essential Reading for: Directors, People Managers, T.U. Representatives Information for: All Employees
1.0. Introduction to Procedural Document for Managers This document provides people managers with procedures that underpin the Organisational and Workforce Change Policy. 2.0. Procedure for implementation of Organisational and Workforce Change Policy. 2.1. The Organisational and Workforce Change Policy and this associated procedural documentation and guidance is based upon current legislation including the Employment Rights Act 1996. The procedure for redundancy dismissals meets the requirements of the statutory dismissal procedures. 3.0. Implementation 3.1. Once the decision regarding the proposed change has been made the proposed new structure and workforce plan for the services affected and details of all current posts affected will be outlined. The services affected will be identified at the beginning of the process. If further services become affected this will be reviewed with Staff Side at the earliest opportunity. Staff Side will be consulted about the workforce plan and the process for implementation. 3.2. Staff in the affected areas will be ring fenced for the new posts in the Workforce Plan. 3.3. There are four potential outcomes of the Organisational Change. 3.3.1 Identical number of identical posts: Where a post is identical in the new structure to that in the previous structure a staff member will be slotted in. This will apply where there are the same number of identical posts as in the new structure as the old structure. 3.3.2 Fewer jobs, same post: In this case there will be a process to identify the preferences of the affected staff. Staff will be required to complete a preferences form indicating which posts they are interested in. This will include a consideration of whether staff want to remain in the service area, move to another service area or reduce hours of work. A desk top assessment of preferences will be conducted. Page 1 of 10 Version: 9
3.3.3 New types of posts with new competence where the number of jobs remains the same: Where the nature of work changes and posts are different competency based selection interviews will take place. The interviews will be structured against the job description, person specification and the selection criteria. In such circumstances the interview panel will have at least one member from outside the immediate work area and will include a HR Practitioner. If the competence based interview fails to result in the right number of staff per post of the staff involved, the attendance record over the past 2 years and current disciplinary record will be used. If this is to be used the staff will be given a copy of their relevant record so as to ensure a transparent, accurate process is followed. If these criteria do not separate candidates the final stage will be the employee s total NHS service. The panel will have to carefully consider the position of all new staff to the Trust. This is to ensure that the process neither advantages nor disadvantages new or longer serving staff. The decisions of the panel and supporting documentation will be subject to a quality assurance and impact assessment by a joint management /staff side overview. This will take place before decisions are communicated. The impact assessment will include the consideration of the race, disability, gender, sexual orientation, religion or belief and age of all staff involved. This will take place within 2 working days of the interviews ending. Once posts have been filled any remaining staff will be declared at risk. The letter at Appendix 2 must be sent to the individuals affected. 3.3.4 New types of posts with new competences and fewer jobs: The same selection process as described in 3.3.3 will apply. 4.0. Individual Meetings with Staff (at risk interview) 4.1. This will apply after jobs in the immediate work area have been allocated. 4.2. Staff at risk of redundancy will meet with the appropriate manager and HR representative and staff representative to discuss: 4.2.1 Current skills, training and experience Willingness/ability to increase/decrease hours and/or change shift pattern Page 2 of 10 Version: 9
Willingness/ability to retrain Other areas they may like to work Career prospects Other relevant personal circumstances 4.3. The resulting information will be retained so that the attention of staff affected by change may be drawn to relevant vacancies. At these meetings the manager/hr representative will explain: 4.3.1 Why redundancies are necessary Why the staff member is in the pool of staff being considered Discuss options available e.g. suitable alternative employment (redeployment) See Sections 6 & 7. Discuss the requirement to issue formal notice of redundancy and to explain procedures to be followed during notice period. 5.0. Procedure for Dealing with Potential Redundancy UHB will take reasonable steps to avoid compulsory redundancy for affected staff, including: 5.1 A recruitment freeze Not replacing staff who leave Reduction in overtime Reducing use of agency/temporary staff Review of temporary/fixed term contracts (subject to the requirements of the Fixed-Term Employees (Prevention of Less Favourable Treatment) Regulations 2002 At risk staff being given priority for any vacancies Working with other local NHS employers to help redeploy staff and by using the NHS jobs to support staff Voluntary reductions in hours of work/job share Redeployment and/or re-training Voluntary early retirement Voluntary redundancy 6.0. Redeployment Decisions about redundancy requests will be made taking into consideration of operational efficiency and financial cost. 6.1. Staff at risk of redundancy will be given priority for suitable vacancies. This will be done by curtailing external recruitment for any permanent posts within the Trust, or within that location, until it is certain that the vacancy could not have been filled by an appropriate member of staff internally. 6.2. Any offer of redeployment will be in writing confirming details of post, location, pay, changes to terms and conditions and agreed Page 3 of 10 Version: 9
protection arrangements. 7.0. Suitable Alternative Employment 7.1. Suitable alternative employment is determined by reference to Section 16 of the AfC Terms and Conditions Handbook, and as defined in the Employment Rights Act 1996.* 7.2. In considering whether a post is suitable alternative employment, regard should be had to the personal circumstances of the individual. Staff will, however, be expected to show some flexibility. 7.3. Suitable alternative employment may not always be at the same grade or place. The following factors may be taken into account. 7.3.1 Place of work Hours of work Time and cost of travelling Pay, grade and protection of earnings Skills Qualifications Status Career prospects Personal circumstances 7.4. A staff member who unreasonably refuses suitable alternative employment will lose their right to redundancy pay. Where a member of staff fails to make any necessary application, they will be deemed to have refused suitable alternative employment. 7.5. Suitable alternative employment will be brought to the staff member s notice in writing before the end of the contract. 8.0. Trial Period 8.1. Where suitable alternative employment is offered and accepted, an individual under notice of redundancy has statutory right to a trial period of 4 weeks in the new job. This will be extended by agreement for people with specific disabilities. 8.2. The 4 week trial period can be extended for retraining purposes subject to a written agreement. This period allows both the member of staff to confirm that he/she wishes to accept the post, and the new manager to ensure that the employee can meet the required standard. If for good reason either party finds the situation unacceptable during the trial period, redundancy pay will be not be affected. Page 4 of 10 Version: 9
Trial periods will be reviewed at fortnightly intervals. 9.0. Assistance for Staff The Trust will so far as is reasonably practicable assist redundant staff by liaising with the Job Centre, and other local NHS employers where requested, in order that information about other employment and/or training opportunities is made available to redundant employees. 9.1 If a member of staff wishes to appeal against a decision to dismiss them due to redundancy they must do so in writing. This must be to the Senior Manager described in the letter sent to them. The individual must detail their reasons for appeal. (See section 12.0) 10.0 Retraining/Updating Skills 10.1. Where an individual wishes to change to a new post within the Trust, which requires retraining, this will be encouraged wherever possible. This may involve induction training, on-the-job training, courses, seminars or refresher training, or training to meet the new KSF outline (where applicable). 10.2. Retraining to seek new professional or occupational qualifications will be considered individually and the current skills, experience and wishes of the individual member of staff will be taken into account. 10.3. Reasonable time off work with pay will be given to receive training which will assist him or her to secure alternative employment. Assistance with appropriate training costs will be considered on an individual basis. 10.4. Permanent staff who are considered to be at risk due to organisational change will be offered the opportunity of tasters/visits/secondments temporarily to another department in order to try the work. The duration of this will be consistent with Section 8 of this document. 11.0. Selection for Redundancy 11.1. Where redundancies are necessary the Trust will aim to handle these in the most fair, consistent and sympathetic manner possible. 11.2. A person is at risk of redundancy after posts in the new structure have been filled. When a person is identified as at risk a letter should be sent to the individual confirming this and the reasons for it. Page 5 of 10 Version: 9
11.3. The selection of staff at risk will be made in a fair and consistent way based on objective and non-discriminatory procedure. It will take account of the need to maintain operational efficiency and the financial position of the Trust. 11.4. The Trust will take steps to agree the pool of staff and the criteria for selection with recognised Trade Unions as part of the consultation process. The pool will include all those whose contracts include the work now diminishing. 12.0 Right To Appeal 12.1. If the individual wishes to appeal he/she must inform the relevant Senior Manager; 12.2. The relevant Senior Manager must invite the individual to an appeal meeting; 12.3. The individual must take reasonable steps to attend the meeting; 12.4. After the meeting, the relevant Senior Manger must inform the individual in writing of the final decision. This will be within 7 working days of the decision. 13.0. Time Off Provisions 13.1. Staff will be given reasonable time off during the final notice period to look for future employment. 13.2. Staff should request this time off at the earliest opportunity through the normal leave procedures and they should not have these requests unreasonably refused. 14.0. Exclusion from Eligibility 14.1 Employees shall not be entitled to redundancy payments or early retirement on grounds of redundancy if: 14.1.1 They are dismissed for reasons of misconduct, with or without notice; or 14.1.2 At the date of the termination of the contract have obtained without a breaks, or with a break not exceeding four weeks, suitable alternative employment with the same or another NHS employer; or 14.1.3 Unreasonably refuse to accept or apply for suitable alternative employment with the same or another NHS employer; or Page 6 of 10 Version: 9
14.1.4 Leave their employment before expiry of notice, except if they are being released early (paragraphs below); or 14.1.5 Are offered a renewal of contract (with the substitution of the new employer for the previous NHS one) 14.1.6 Where their employment is transferred to another public service employer who is not an NHS employer. Suitable Alternative Employment 14.2 The Trust has a responsibility before making a member of staff redundant or agreeing early retirement on grounds of redundancy to seek suitable alternative employment for that person, either in their own organisation or through arrangements with another NHS employer. Employers should avoid the loss of staff through redundancy wherever possible to retain valuable skills and experience where appropriate within the local health economy. 14.3. Suitable alternative employment should be determined by reference to Sections 138 and 142 of the Employment Rights Act 1996. In considering whether a post is suitable alternative employment, regard should be had to the personal circumstances of the employee. Employees will, however, be expected to show some flexibility. 14.4. Suitable alternative employment must be brought to the employee s notice in writing or by electronic means agreed with the employee before the date of termination of contract and with reasonable time for the employee to consider it. The employment should be available not later than four weeks from that date. Where this is done, but the employee fails to make any necessary application, the employee shall be deemed to have refused suitable alternative employment. Where an employee accepts suitable alternative employment the trial period provisions in Section 138 (3) of the Employment Rights Act 1996 will apply. See Section 8 of this procedure. Early Release of Redundant Employees 14.5. Employees who have been notified of the termination of their employment on grounds of redundancy, and for whom no suitable alternative employment in the NHS is available, may, during the period of notice, obtain other employment outside the NHS. 14.5. If they wish to take this up before the period of notice of redundancy expires we the Trust will, unless there are compelling reasons to the contrary, release such employees at Page 7 of 10 Version: 9
their request on a mutually agreeable date. The date will become the revised date of redundancy for the purpose of calculating any entitlement to a redundancy payment under this agreement. Claim for Redundancy Payment 14.6. Claims for redundancy payment or retirement on grounds of redundancy must be submitted within six months of date of termination of employment. Before payment is made the employee will certify that: They had not obtained, been offered or unreasonably refused to apply for or accept suitable alternative health service employment within four weeks of the termination date. They understand that payment is made only on this condition and undertake to refund it if this condition is not satisfied. Retrospective Pay Awards 14.7. If a retrospective pay award is notified after the date of termination of employment, then the redundancy payment and/or pension will be recalculated, and any arrears due paid. * In the case of medical staff, the appropriate documents are Temporary Appendix VI (iii) of the Terms & Conditions of Service for Hospital, Medical & Dental Staff or Temporary Schedule 26 of the Terms & Conditions - Consultants (England) 2003. Page 8 of 10 Version: 9
APPENDIX 1 Definitions Skills and Competence : Those required for the post as outlined in the person specification Attendance Record: This relates to short term absence (unless disability related) and overall time keeping but excludes long term absence, work related injury, special leave, carer leave and Trade Union activity. The reference period will be two years prior to the change. Disciplinary Record: This relates to formal disciplinary warnings which are current. MEDICAL STAFF: In the case of medical staff, the skills & competencies will be assessed against the Job Description/Person specification and work performance using all appropriate and available information including appraisals, performance statistics, benchmarking, and local assessments which will be shared with the individual and their representative. Page 9 of 10 Version: 9