Organisational Change - bcpft.nhs.uk

Version 1.1 October 2016

Organisational Change

Target Audience

Who Should Read This Policy

All Trust Staff

Staff on secondment from other organisations or agency staff

Management of Organisational Change Policy


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Ref. Contents Page

1.0 Introduction 5

2.0 Purpose 5

3.0 Objectives 5

4.0 Process 6

4.1 Overview of Organisational Change Process 6

4.2 Preliminary Measures 6

4.3 Arrangements for Consultation 7

4.4 At Risk Arrangements 8

4.5 Measures for Maximising Employment Security 9

4.6 Ring Fencing Arrangements 9

4.7 Redeployment 10

4.8 Trial Periods 11

4.9 Protection of Pay 11

4.10 Redundancy 12

4.11 Support and Assistance Offered to Employees Affected by Change 14

4.12 Right of Appeal 14

5.0 Procedures connected to this Policy 14

6.0 Links to Relevant Legislation 15

6.1 Links to Relevant National Standards 16

6.2 Links to other Key Policies 16

6.3 References 17

7.0 Roles and Responsibilities for this Policy 18

8.0 Training 19

9.0 Equality Impact Assessment 19

10.0 Data Protection and Freedom of Information 20

11.0 Monitoring this Policy is Working in Practice 20

Appendices

1.0 Guidance Notes for Dealing with Staff who are Declared ‘At Risk’ 21

2.0 Protection of Pay and Conditions of Service 24

3.0 Redundancy Summary Report 27



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Explanation of terms used in this policy Policy - The aims and principles under which services, divisions, or units will operate. A policy

outlines roles and responsibilities, defines the scope of the subject covered, and provides a high level description of the controls that must be in place to ensure compliance

Organisational Change - A management initiated change to the way services are organised, structured or delivered, which could be expected to have a significant or direct impact on the

employment, working arrangements or working practices of staff

‘At Risk’ - Staff are defined as being ‘at risk’ when: The proposed organisational change identified that their post is no longer required within the

organisation

There is a reduction in the number of posts such that they might be unsuccessful in gaining a

post following a competitive selection process

Members of staff whose posts are ‘at risk’ will be notified in accordance with the consultation process

set out in Section 7.0 of this policy.

An electronic register of ‘at risk’ employees will be kept by the Human Resources Department

Ring Fencing - Those staff identified as being ‘at risk’ will need to be offered suitable alternative

employment, where appropriate. All vacancies that may be identified as suitable alternative employment will be ring fenced for those staff identified as ‘at risk’ to apply for

Automatic Slotting In - Where the substantive duties of the post holder are wholly or mainly the

same in the new structure as they were in the old, and where there is no change in grade to the post

or no other staff in the same role are displaced, the member of staff should slot in automatically without competition and without detriment to their terms and conditions

Competitive Interview Process - Where the posts in the revised structure or new service are

similar to existing posts and/or where there are fewer available posts than the number of staff

potentially ‘at risk’, the identifiable group will be ring fenced so that only the staff potentially ‘at risk’ are considered for the available posts

Expressions of Interest - Where new posts are established these will be restricted in the first

instance to those directly affected by the change, who have not been the subject of automatic slotting

or competitive interview. Those affected will be asked to identify which of the posts available they would prefer to be considered for. A selection process will then take place in line with Trust Equal

Opportunities requirements

Redundancy - The Employment Rights Act 1996 states that redundancy arises when employees are dismissed in the following circumstances:

Where the employer has ceased, or intends to cease, to carry on the business for the purposes

of which the employee was employed; or where the employer has ceased, or intends to cease,

to carry on the business in the place where the employee was so employed; or

Where the requirements of the business for employees to carry out work of a particular kind, in

the place where they were so employed, have ceased or diminished or are expected to cease or diminish

Reckonable Service - “Reckonable service” for the purposes of an NHS redundancy payment, which is calculated on the basis of the service up to the date of termination of the contract, means

continuous full-time or part-time employment with the present or any previous NHS employer but with the following additions:

subject to paragraph 16.6 below, where there has been a break in service of 12 months or less,

the period of employment prior to the break will count as reckonable service periods of employment as a trainee with a general medical practitioner, in accordance with the

provisions of the Trainee Practitioner Scheme, will count as reckonable service



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at employer discretion, any period or periods of employment with employers outside the NHS,

where these are judged to be relevant to NHS employment, can be included in reckonable

service – see Section 12 of the NHS Terms and Conditions of Service Handbook

The following employment will not count as reckonable service:

employment that has been taken into account for the purposes of a previous redundancy, or

loss of office payment by an NHS employer where the employee has previously been given NHS pension benefits, any employment that has

been taken into account for the purposes of those pension benefits

Continuous Service - Continuous service is calculated in accordance with Part XIV, Chapter 1, of the

Employment Rights Act 1996, “Continuous Employment.” For the purpose of determining whether service has been continuous it does not matter whether an employee works on a full-time or part-time

basis. For the purpose of determining eligibility for redundancy pay, previous continuous employment

with different NHS employers may be counted as long as there has not been a break of a week or more (measured Sunday to Saturday) between any periods of employment.

Reckonable service will not be counted where for previous employment for which an employee has

received NHS pension benefits



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1.0 Introduction Black Country Partnership NHS Foundation Trust is committed to maintaining a secure employment environment for all employees. However it is recognised that from time to time organisational change is required in line with the changing needs of the organisation. The Trust is committed to the principles of equal opportunities in employment for all. This policy will be applied equitably and fairly and aims to ensure that no employee receives less favourable treatment on the grounds of age, gender, ethnicity, religion or belief, disability, marriage or civil partnership, pregnancy or maternity, or sexual orientation.

2.0 Purpose The purpose of this policy is to provide a framework to enable organisational Change to be managed in a systematic and fair manner, minimising the risk of redundancy and balancing the needs of employees and the organisation. The intention of this policy is to enable the Trust to manage the continuing need to have a flexible workforce. It is important that the policy is not restrictive and allows a flexible approach to be adopted to reflect the circumstances of each organisational change. 3.0 Objectives

The Trust will manage all aspects of organisational change in a fair and reasonable manner taking into account employment legislation, local policies and procedures and relevant terms and conditions of employment

The Trust is committed to providing maximum employment security for staff. As part of this commitment the Trust will seek to work with NHS organisations and Trade Union Representatives to avoid any job losses

The Trust recognises that the best way to handle change is through the cooperation and partnership with individual members of staff and Trade Union Representatives and through the generation of an atmosphere of mutual trust and confidence

The Trust is committed to having meaningful and early consultation with staff and Trade Union Representatives about major organisational changes and will adopt a partnership approach prior to, throughout implementation and as part of any review arrangements

Where services provided by the Trust are to be transferred to external organisations in accordance with the Acquired Rights Directive and the Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE), staff affected will have their rights protected in accordance with those regulations and any subsequent amendments

The application of this policy will be subject to an Equality Impact Assessment prior to the commencement of the process. This will be carried out by the Lead Executive Director/Director responsible in conjunction with the lead Human Resources Manager



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Consultation with affected

staff

4.0 Process

4.1 Overview of Organisational Change Process

Please refer to Appendix 1 for detailed guidance notes for dealing with staff who are declared ‘at risk’ as a result of organisational change.

4.2 Preliminary Measures

Plans or proposals will be developed for organisational change processes. Each plan or proposal should identify the staffing levels, types and grades of staff to deliver each part of the proposed service. A comparison with the existing workforce plan should then identify any implications for staff, the processes to be undertaken on a staged or by total organisational change basis, dependent on the size of the change. The Trust is committed to engaging Trade Union representatives in organisational change. The manager should in partnership with the lead HR representative ensure that a clear business case for the proposed organisational change has been identified and the implications for the workforce understood. Senior management/Board approval should then be sought as appropriate. Once a proposal for organisational change has been approved by senior management/ Board, the next stage will be to inform the Trade Unions/ Staff Representatives to enable preliminary discussions to occur. This process will take account of the need to consult meaningfully and will allow the opportunity for all views to be taken into account including any alternative proposals put forward by the staff and staff side. To facilitate these discussions a consultation paper should be developed. The content of the consultation paper will vary depending on the nature of the change proposed, but is likely to include:

Details of the proposed change e.g. - Existing/proposed organisational charts

Business case identified

Organisational change proposal approved

Formal Consultation with Staff Side

Staff ‘at risk’ identified

Automatic slotting/ring fencing arrangements

Competitive interview/expressions of interest processes

occur

Staff still ‘at risk’ are redeployed where possible

Staff still ‘at risk’ are served notice of redundancy, redeployment process continues during notice period



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- Details of new posts - Job descriptions/person specifications for posts where there have been

significant changes

Any changes to working patterns

Any changes to work locations

Proposed timetable for implementing change

An outline of the benefits/reasons for the change Collective consultation will be required if the Trust is proposing to dismiss as redundant 20 or more employees within one establishment (service area) within a period of 90 days or less. The duty to consult collectively is in addition to the Trust’s obligations to consult individually with each of the potentially redundant employees. Trade Union representatives will be informed of individual consultations via Staff Forum. In these circumstances individuals identified as being ‘at risk’ will be informed of this in writing according to the following time scales:

At least 30 days before the first dismissal if 20-99 employees are to be made redundant over a period of 90 days or less

At least 90 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

If the Trust is proposing to dismiss as redundant 100 or more employees within a period of 90 days or less, the Trust is obliged to notify the Secretary of State in writing of its proposal at least 90 days before the first of the dismissals takes effect, and in any event before giving notice to terminate any employee's contract. Where the proposals affect between 20 and 99 employees, the statutory notice period is 30 days, however employees will be provided with a minimum of 12 weeks formal notification that they could be at risk of redundancy (this timescale will be inclusive of contractual notice period). A copy of this notice will be given to the Trade Union representatives involved in the consultation process. For organisational changes that do not require collective consultation the period of consultation will be determined on a case by case basis, the principal consideration being that the consultation period will allow enough time to ensure meaningful consultation can take place. It is anticipated that the consultation period will normally be at least 30 days in duration.

4.3 Arrangements for Consultation

Each individual member of staff affected by a proposed organisational change is entitled to be fully consulted. It will be the responsibility of the relevant head of department/ senior manager, with advice from the Human Resources function, to facilitate this. Consultation will initially take the form of a meeting between the head of the department/ senior manager and the group of staff affected, followed by an individual discussion where appropriate between each affected employee and the relevant manager and if required a member of Human Resources. All staff are entitled to be accompanied at these meetings by a recognised staff representative or work colleague from within the Trust.



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Any employee(s) who have not been able to attend the consultation meeting(s) should be kept informed and up to date as soon as is reasonably practicable. The purpose of these meetings is to enable effective consultation and to provide support and advice. The meeting will include the provision of the following information:

An explanation of the change and general implications for the staff and the Trust

The proposed timetable and process for handling the changes

An explanation of the policy; how it will be implemented and other relevant conditions of service

Advice to staff on the preparation of Personal Profile/Preference Form where appropriate

Discussion relating to the individual staff member’s circumstances e.g. location, career development

Supporting staff and listening to staff views

If the change affects more than one department, consistent information should be provided to all affected parties. All formal consultation meetings will be documented and confirmed in writing to all parties concerned by the manager.

4.4 At Risk Arrangements

Staff will formally be declared ‘at risk’, and placed on an ‘at risk’ register when:

The proposed organisational change identifies that their post is no longer required within the organisation

There is a reduction in the number of posts such that they might be unsuccessful in gaining a post following a competitive selection process

Those employees affected will be formally notified in writing by the appropriate line manager that they are ‘at risk’ and will be informed of the measures that will be taken to help them to seek suitable alternative employment. Being placed ‘at risk’ does not mean that an individual will automatically be made redundant. It does mean that the individual will have access to the Trust Ringfenced vacancies of the NHS E-recruitment site, as well as the range of support measures the Trust will provide. The line manager must ensure that Human Resources are notified of any staff ‘at risk’, so that a register is maintained to support the identification of redeployment opportunities. Individuals ‘at risk’ are expected to undertake appropriate work offered to them during the period of time they are ‘at risk’. The Human Resources department will be proactive in helping to identify suitable alternative roles and they will work with managers to accommodate internal staff ‘at risk’ before any external recruitment takes place.



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4.5 Measures for Maximising Employment Security

Once preliminary discussions and/or consultations have taken place and in order to mitigate the effect of any such changes on staff, the following measures will be considered, as appropriate, dependent upon the particular circumstances:

Employment control measures, e.g. vacancy freeze and other vacancy control processes such as the suspension of the normal recruitment process, reviewing acting up/secondment arrangements

Reviewing the use of bank and agency staff

Reviewing temporary/fixed term contracts (subject to the requirements of the Fixed Term Employees (Prevention of Less Favourable Treatment) Regulations 2002)

Voluntary reduction in contracted hours of work

Use of flexible working options, such as job sharing agreements In the case of a vacancy freeze being put in place, when a vacancy arises the decision to recruit to the post will be assessed on its own merits. The decision to lift the vacancy freeze will be authorised by the Executive Director of Operations in consultation with the appropriate senior line manager. Any such requests that are approved will usually be made available to those staff ‘at risk’ in the first instance. The vacancy control process will be used to determine which fixed term contracts may be renewed. Whilst decisions on renewal of a fixed term contract will be looked at on their own merit, it is recommended that HR advice is sought prior to a decision to terminate the contract due to the need to consider any legal considerations and potential costs of non-renewal. This list is not exhaustive and the particular circumstances of each situation will be considered, where other approaches to maintaining employment security may be considered.

4.6 Ring Fencing Arrangements

Ring fencing arrangements will apply where the workforce plan has identified one or more of the following situations:

The establishment of new posts arising from a changed or new service where staff are identified as being at risk

The establishment of fewer posts arising from the changed or new service

The integration of existing departments or structures including situations where a new organisational structure has resulted in changes to existing roles

A combination of any of the above

It will be necessary in the first instance to identify the parameters of the various ring-fencing arrangements. Having done so, selection to the revised or new posts will take place using the following processes:

Automatic slotting in

Competitive Interview

Expressions of interest

Open competition

Automatic slotting in: Where the substantive duties of the post holder are wholly or mainly the same in the new structure as they were in the old, and where there is no change in grade to the post and or no other staff in the same role are displaced, the



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member of staff should slot in automatically without competition and without detriment to their terms and conditions. Responsibility for taking this decision will rest with the appropriate Director or equivalent, following staff side consultation. Competitive Interview Process: This will be used where the posts in the revised or new service are similar to existing posts and/or where there are fewer available posts than staff potentially ‘at risk’. The identifiable group will be “ring fenced” so that that only the staff potentially ‘at risk’ are considered for the available posts. Expressions of interest: Where new posts are established these will be restricted in the first instance to those directly affected by the change, who have not been the subject of automatic slotting or competitive interview. New posts for this purpose include those where there has been significant change to the duties, line management responsibility, where slotting in is not appropriate. NB This may include posts where the same or similar job title still exists but the duties or sphere of responsibilities have changed. At the discretion of the Trust posts that are either one band higher or one band lower than the current post held by the individual(s) ‘at risk’ may be considered for inclusion as part of the ring fence. Those affected will be asked to identify which of the posts available they would prefer to be considered for.

A selection process will then take place and may include a competitive interview, tests etc. in line with the recruitment process. The approach will depend on the numbers involved

Open Competition: Posts in the revised or new structure which are not filled through ring fencing arrangements will be recruited to by open competition, according to the Trust’s normal recruitment process.

4.7 Redeployment

Where there are displaced staff arising from the ring fencing appointments process, the staff affected should be seen again by their manager and/or a member of Human Resources and where requested a staff representative or colleague. The meeting will provide an opportunity to agree the interim employment arrangements, review the staff profile and in particular the individuals preferences with regard to redeployment opportunities. Consideration will be given to relevant training in support of seeking suitable alternative employment. This will be identified as part of individual consultation meetings and will reflect the needs of the service as well as individual needs and preferences. The aim will be to reach agreement in each case about whether a post represents suitable alternative employment. Employees who unreasonably refuse to apply for or accept an offer of suitable alternative employment will not be entitled to any redundancy payment. “Reasonableness” concerns whether individuals, taking into account personal circumstances, were being reasonable in refusing the offer. For a member of staff to be matched to a post it must be considered to be a suitable alternative to an individual’s substantive post. For a post to be considered as a suitable alternative, it should:

provide similar earnings (pay protection may need to apply)

have similar status

be within the member of staff's capability



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be within a suitable geographical location

posts that are either one band higher or one band lower than the current post held by the individual(s) ‘at risk’ may be considered

Some flexibility and reasonable consideration of posts, by members of staff and managers, is expected. Staff may wish to seek advice from their Trade Union representative on what constitutes suitable alternative employment. Once an individual has been placed into a suitable alternative post they will be regarded as having been permanently placed into a new role and will therefore be no longer regarded as ‘at risk’ and are therefore excluded from further consideration for posts that are restricted for filling by those designated as ‘at risk’. For full details of the procedure that will be followed please refer to Appendix 1.

4.8 Trial Periods

In accordance with employment legislation a four-week trial period will be offered to any employee “at risk” of redundancy who is offered a new job with different terms and conditions. The purpose of the trial period will be for the employee and the line manager to assess the suitability of the post. The details of the trial period should be confirmed in writing. In certain circumstances an extension to the trial period may be agreed, for example if further training is required. Any extension should be confirmed in writing. If an employee considers that the post is not suitable the reasons for this must be identified in writing. Employees who unreasonably refuse to accept an offer of suitable alternative employment will not be entitled to any redundancy payment. During the trial period regular reviews should be held between the employee and the new line manager to assess how things are going. In addition, a final review of the trial period will be carried out by the new line manager, in conjunction with the employee and a decision will be made as to whether the job is suitable. The employee’s redundancy entitlements will remain until the final review meeting has taken place. The member of staff will retain all entitlements, including redundancy, under their old substantive contract until permanently redeployed into the new job.

4.9 Protection of Pay

Protection arrangements will apply to all employees who, as a consequence of organisational change are required to move to a post at a lower basic salary or basic hourly rate of pay, or required to reduce their contracted working hours, change their working pattern, or other change which results in a loss of earnings, subject to meeting the conditions outlined in Appendix 2. Protection will only be granted on appointment to lower graded posts if the post is deemed by the Trust to be suitable alternative employment and the individual’s concerned would otherwise be at risk of redundancy.



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Staff who are redeployed to a suitable alternative post that involves a change in work location may be eligible for reimbursement of excess travel costs with effect from the date that the redeployment takes effect for a period of no more than one year. For details of the eligibility criteria refer to Expenses (Travel and Subsistence Policy).

4.10 Redundancy

4.10.1 Voluntary Redundancy In the first instance requests for expressions of interest in voluntary redundancy may, after consultation with the Trade Union representatives, be sought from either the staff affected or a wider group, if on a large scale, with a view to creating vacancies to facilitate staff transfers. In these circumstances applications will be carefully considered but acceptance in each case is not automatic, as priority will be given to maintaining the balance of skills and experience needed for the efficient and effective provision of future service needs. The final decision therefore rests with the Trust. The Payroll department can provide an estimate of redundancy payments to staff who wish to consider voluntary redundancy. The request for such information does not imply a decision to apply for voluntary redundancy on the part of the employee and any estimate will be given ‘without prejudice’. Applications for voluntary redundancy should be in writing and received within the timescales set. Each application will be considered on an individual basis. Employees will be informed in writing whether their request for voluntary redundancy has been approved. 4.10.2 Compulsory Redundancy Where there are still staff ‘at risk’ following exploration of redeployment and/or voluntary redundancy or if the scale of the organisational change means that such measures will not be sufficient to achieve the required service changes, redundancy will be implemented. Selection criteria for redundancy, where required, will be discussed as part of the joint consultation process with recognised trade union/staff representatives. Selection criteria will comply with relevant employment legislation and will be based upon objective and non-discriminatory factors. Selection criteria will include consideration of:

Experience, knowledge and skills

Standard of work performance

Aptitude for work

Qualifications

Disciplinary record

Attendance/absence Prior to agreeing selection criteria an Equality Impact Assessment should be conducted.



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Written notice of the redundancy termination must be given to the employee as soon as possible and no later than the required statutory or contractual notice periods, whichever is the longer. However this should not precede the conclusion of the consultation period. Contractual notice will be as per the individual Contract of Employment and/or relevant terms and conditions of service. Written notice of the redundancy termination will include the following:

The reason for redundancy

Notice entitlements

Any redundancy pay entitlements

Right of appeal Identification of suitable alternative employment options will continue during the notice period, as required. Details of all redundancies must be provided to the Trust’s Remuneration Committee for authorisation and assurance purposes. The manager and Human Resources representative responsible for managing the organisational change process must complete a redundancy summary report (see Appendix 3) to be submitted to Remuneration Committee. This report must include details of the reason for the organisational change, the redeployment options that have been explored, including any suitable alternative posts that have been offered to the employee, and why they have not been successful in securing a suitable alternative post. 4.10.3 Redundancy Payments Redundancy payments will be made in accordance with Section 16 of the Agenda for Change Terms and Conditions Handbook, which are continually being updated and so advice should be sought from the Human Resources department.

Members of staff otherwise eligible shall not be entitled to redundancy payments under these arrangements if they:

Are dismissed for reasons of misconduct, with or without notice as per the Trust’s Disciplinary Policy

At the date of termination of the contract have obtained without break or with a break not exceeding 4 weeks, suitable alternative employment with the same or other NHS Employer

Unreasonably refuse to accept or apply for suitable alternative employment with the same or other NHS employer

Leave their employment before the expiry of their notice period, except in cases involving an agreed early release date

Are offered a renewal of contract (with the substitution of the new employer for the previous one) where the employment is transferred to another public service employer who is not an NHS employer

4.10.4 Reckonable service is not counted when:

Service is counted previously in respect of a redundancy by an NHS employer

Any previous employment for which an employee has received NHS pension benefits

Loss of office payment



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MARS severance payment (which is offset against any subsequent redundancy payment)

4.11 Support and Assistance Offered to Employees Affected by Change

The Trust recognises the need and importance of providing support to staff affected by change throughout the process. Therefore employees who are directly affected by change and/or formally ‘at risk’ of redundancy will be offered support, identified as part of the individual consultation process. This may include any of the following, or other support agreed as appropriate:

Support to assist with identifying and applying for suitable alternative employment e.g. access to restricted areas of NHS Jobs, career review, help with CV’s/application forms and interview skills

Those individuals formally ‘at risk’ of redundancy have a statutory entitlement to be given reasonable time-off with pay, by agreement with the line manager, to support the job search/re-training

Early release (e.g. before the effective date of redundancy termination). The revised date would then be used for the calculation of any redundancy payment

Supporting staff i.e. training where appropriate e.g. provision of resilience training, coping with change, team building days (reflective practice / team dynamics), career development and interview skills

In addition, the Staff Support Service, Occupational Health Department, the Chaplaincy Team and Staff Side organisations will be available to provide specific support to staff affected by organisational change.

4.12 Right of Appeal

4.12.1 Appeals against Redeployment To be addressed in line with stage 2 of the Grievance Policy. 4.12.2 Appeals against Dismissal For appeals against dismissal on the grounds of redundancy the individual should write, setting out their intention to appeal to the Executive Director of Operations within 10 working days of the meeting at which the decision to dismiss was communicated. The appeal would be heard by a panel made up of three Trust Directors, to consist of at least one Executive Director and one Non-Executive Director. A senior member of the Human Resources team may also be present to support the panel if necessary. The decision of an appeal hearing will be final. Under normal circumstances an appeal shall be heard no later than 30 working days (based on Monday to Friday, not including weekends or bank holidays) after receipt of the notification of appeal. There will be one level of internal appeal only. 5.0 Procedures connected to this Policy There are no Standard Operating Procedures connected to this policy.



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6.0 Links to Relevant Legislation Trade Union and Labour Relations (Consolidation) Act 1992 A UK Act of Parliament which regulates British labour law. The Act's effect is to define trade unions and state they are the subjects of legal rights and duties protect the right of workers to organise into, or leave, a union without suffering discrimination or detriment provide a framework for a union to engage in collective bargaining for better workplace or business standards with employers protect the right of workers in a union to take action, including strike action and industrial action short of a strike, to support and defend their interests, when reasonable notice is given, and when that action is "in contemplation or furtherance of a trade dispute" Collective Redundancies and Transfer of Undertakings (Protection of Employment) Regulations 1995 The Regulations require the employer to consult either elected representatives of the employees or representatives of a recognised trade union where there are to be redundancies or a transfer of an undertaking. They also limit the requirement to consult about redundancies to cases where at least 20 redundancies are proposed. The Regulations also provide protection for elected representatives against dismissal and against being subjected to any other detriment and confer on them a right to time off with pay to carry out their functions. Trade union representatives already have such protection, and such a right, under the Trade Union and Labour Relations (Consolidation) Act 1992. Employment Right Act 1996 Employment Rights Act 1996 came into force on 22 August 1996. It sets out the statutory employment rights of workers and employees. If these employment rights are breached, the Employment Rights Act 1996 gives the Employment Tribunals powers to order compensation to workers and employees. Collective Redundancies and the Transfer of Undertakings (Protection of Employment) (Amendment) Regulations 1999 The Regulations amend the provisions of the Trade Union and Labour Relations (Consolidation) Act 1992 relating to information and consultation on redundancies and the provisions of the Transfer of Undertakings (Protection of Employment) Regulations 1981 relating to information and consultation. In relation to redundancies, they provide that representatives of employees who may be affected by the dismissals or by measures taken in connection with the dismissals must be consulted. For both redundancies and transfers they provide that employers must consult representatives of recognised trade unions but, if no trade union is recognised, then employers must consult either existing employee representatives or specially elected employee representatives. If elections are held for employee representatives they must be held in accordance with these Regulations. If employees fail to elect representatives after being invited to do so, the employer must give the employees concerned the information he would have had to give to their representatives. The maximum compensation which can be awarded in the event of an employer’s failure to consult has been increased in some cases so that in all cases involving redundancies it is 90 days' pay and in cases involving transfers it is 13 weeks' pay.



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Collective Redundancies (Amendment) Regulations 2006 The Regulations amend section 193 of the Trade Union and Labour Relations (Consolidation) Act 1992 to provide that, in addition to the existing requirements of that section, an employer proposing collective redundancies must notify the Secretary of State of his proposal before he gives notice to an employee to terminate an employee's contract of employment in respect of any of those dismissals. Agency Workers Regulations 2010 This Directive establishes a general framework for protection of temporary agency workers. The Regulations provide certain rights for temporary agency workers including in relation to basic working and employment conditions. Other links to legislation include:

Unfair Dismissal and Statement of Reasons for Dismissal (Variation of Qualifying Period) Order 2012

Trade Union and Labour Relations (Consolidation) Act 1992 (Amendment) Order 2013 which comes into force on 6 April 2013

The Information and Consultation of Employees Regulations 2004 (SI 2004/3426)

The Employment Equality (Age) Regulations 2006 (SI 2006/1031)

The employee shareholder status provisions under the Growth and Infrastructure Act 2013

6.1 Links to Relevant National Standards

NHS Injury Allowance 2013 The NHS Injury Allowance provides support for staff who sustain an injury, disease or other health condition which is attributable to their employment. 6.2 Links to other Key Policies Grievance and Disputes Policy This policy aims to encourage full and open communication between managers and employees with the aim of resolving any concerns quickly and as near to the source as possible. This policy has been developed to give guidance on the procedure to be adopted where early action to resolve an issue has failed and a grievance has developed. Flexible Working Policy This policy has been developed to provide an operational framework through which managers will respond to requests from employees seeking to change their working arrangements. All reasonable efforts should be made to facilitate and accommodate flexible working requests where such arrangements are practicable and workable. Recruitment and Selection Policy The purpose of this policy is to provide a framework for the recruitment, selection and appointment of staff to be conducted in a manner that is effective, systematic, comprehensive and fair, promoting equality of opportunity at all times, whilst being flexible and adaptable to meet the needs of the service.



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Stress Management Policy The aim of this policy is to reduce the potential health risks to staff through the effective management of work-related stress. 6.3 References

ACAS (2014) How to Manage Change. http://www.acas.org.uk/media/pdf/k/m/Acas-How-to-manage-change-advisory-booklet.pdf

http://www.acas.org.uk/media/pdf/k/m/Acas-How-to-manage-change-advisory-booklet.pdf

http://www.acas.org.uk/media/pdf/k/m/Acas-How-to-manage-change-advisory-booklet.pdf



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7.0 Roles and Responsibilities for this Policy

Title Role Key Responsibilities

Employees Adherence

- Adhere to this policy and procedure - Engage in meaningful consultation about the nature and impact of organisational change

- Show some flexibility and reasonable consideration of alternative posts, where appropriate

Recognised Trade

Union Representatives

Operational

- Engage in meaningful consultation with management regarding organisational change proposals

- work in partnership with management to resolve any issues - support their members throughout the consultation process

Managers

Implementation

- Develop effective workforce plans in accordance with service requirements - Identify the business case for change and prepare a consultation document explaining the rationale and the detail of the

proposed changes, the process that will be followed and timescales - Ensure the proposals for change are made known to all affected staff, together with recognised Trade Unions, professional

organisations and other relevant staff bodies at the earliest opportunity

- Ensure that staff engagement and meaningful consultation takes place in accordance with this policy, ensuring that the scope for staff concern and anxiety is minimised

- Ensure all formal consultation meetings are documented and confirmed in writing to all parties - Implement changes, once the consultation process has concluded

- Ensure that the activities defined within this policy are followed

- Ensure there is no discrimination or bias in implementing organisational change - Work in partnership with Trade Union representatives to resolve issues relating to organisational change

Human Resources Department

Specialist Advice

- Support the development of effective workforce plans to enable, where practical, effective advance planning of future

service changes and associated staffing implications

- Provide appropriate support and guidance to line managers when planning and managing service developments that will result in organisational change

- Monitor and review organisational change outcomes to ensure that there is no discrimination or bias - Support staff through the organisational change process, for example by providing access to online job opportunities

Workforce Committee Responsible

- Agree revisions to the Trust approach to the Organisational Change process

- Develop and agree action plans to address any issues or areas of concern identified in the Organisational Change process

Directors

- Ensure that the policy requirements are observed within their area of responsibility - Ensure that line managers receive any training deemed necessary to discharge their responsibilities under this policy

appropriately - Ensure that the appropriate level of consultation and staff engagement takes place at the appropriate time

- Support the creation of effective workforce plans in accordance with service requirements



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Title Role Key Responsibilities

Director of Operations Executive Lead

Responsibility for this policy has been delegated by the Chief Executive to the Director of Operations who will: - Ensure that effective procedures, systems and guidance are implemented for the Organisational Change Process

- Ensure that the policy is implemented appropriately and that outcomes are monitored to ensure there is no bias in accordance with the Trusts Equal Opportunities Policy

- Ensure that the policy is revised as a result in changes to the Law or in the light of experience when applying the policy

- Ensure the policy is implemented in accordance with the Trust Board’s strategic interests and concerns - Ensure that any serious concerns regarding the implementation of this policy are bought to the attention of the board

Trust Board

Scrutiny,

direction and performance

- Strategic overview and final responsibility for setting the direction of the Organisational Change process

Chief Executive Accountable - Overall responsibility for ensuring that this policy is implemented within the Trust. Operational responsibility has been

delegated

8.0 Training

What aspect(s) of this policy will

require staff training?

Which staff groups require this

training?

Is this training covered in the Trust’s Mandatory and Risk

Management Training Needs Analysis document?

If no, how will the training be delivered?

Who will deliver the training?

How often will staff require

training

Who will ensure and monitor that staff have

this training?

There is no

specific requirement for

staff to receive training in

relation to this

policy

n/a No, staff will receive specific

training in relation to this policy where it is identified in

their individual training needs analysis as part of their

development for their

particular role and responsibilities

Further guidance on the

application of this policy and associated

procedures can be obtained from Human

Resources – Operational

HR

n/a n/a n/a

9.0 Equality Impact Assessment Black Country Partnership NHS Foundation Trust is committed to ensuring that the way we provide services and the way we recruit and treat staff reflects individual needs, promotes equality and does not discriminate unfairly against any particular individual or group. The Equality Impact Assessment for this policy has been completed and is readily available on the Intranet. If you require this in a different format e.g. larger print, Braille, different languages or audio tape, please contact the Equality & Diversity Team on Ext. 8067 or email [email protected]



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10.0 Data Protection and Freedom of Information

This statement reflects legal requirements incorporated within the Data Protection Act and Freedom of Information Act that apply to staff who work within the public sector. All staff have a responsibility to ensure that they do not disclose information about the Trust’s activities in respect of service users in its care to unauthorised individuals. This responsibility applies whether you are currently employed or after your employment ends and in certain aspects of your personal life e.g. use of social networking sites etc. The Trust seeks to ensure a high level of transparency in all its business activities but reserves the right not to disclose information where relevant legislation applies. 11.0 Monitoring this Policy is Working in Practice

What key elements will be

monitored? (measurable policy objectives)

Where

described in policy?

How will they be

monitored? (method + sample size)

Who will

undertake this monitoring?

How Frequently?

Group/Committee

that will receive and review results

Group/Committee

to ensure actions are completed

Evidence

this has happened

There is a 12 week KPI for the completion of an

Organisational Change process

4.2

On the HR Organisational

Change Casework Database. Detailed in

monthly performance

reports

HR Business

Partners Monthly

Reported to the Divisional

Performance Groups

Divisional

Performance Group

Minutes of

meeting

Impact on staff 7.0

On the HR Organisational Change Casework

Database. Detailed in monthly performance

reports

HR Business

Partners Monthly

Reported to the

Divisional Performance Groups

Divisional

Performance Group

Minutes of

meeting

Redundancy 4.10

On the HR Organisational

Change Casework Database. Detailed in

monthly performance reports

HR Business Partners

Monthly Reported to the Divisional

Performance Groups

Divisional Performance Group

Minutes of meeting



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Appendix 1

Guidance Notes for Dealing with Staff who are Declared ‘At Risk’ as a Result of Organisational Change

The general philosophy and policy of the trust will always be to seek alternative employment for individuals declared ‘at risk’ and to avoid redundancy situations wherever possible. Resolution will be sought within a 12 week timescale. These arrangements will be implemented working in partnership with Trade Union representatives and ensuring individuals are informed and updated as appropriate: 1. During a period of organisational change a member of staff who is declared ‘at

risk’ will be seen as soon as possible by his /her Manager and the lead Human Resource representative. The member of staff may be accompanied by a Trade Union representative or a colleague employed by the Trust.

2. The purpose of the meeting will be to formally declare the member of staff ‘at

risk’. The meeting will also provide an opportunity for all parties to discuss interim employment options available and review the individual’s preferences with regard to redeployment opportunities. The lead Human Resource representative will review and record all details regarding job preferences, which will assist the individual with their search for redeployment.

3. The relevant Line Manager, supported by a Human Resources representative

has responsibility for ensuring the individual has access to all Trust Ring-fenced vacancies. The individual is to take personal responsibility in identifying suitable redeployment opportunities in line with their preferences notify the lead Human Resource Manager within reasonable timescales as agreed.

4. ‘At risk’ staff may be offered suitable alternative employment, which may

mean:

taking a new role

a variation in role or responsibilities

changing working team or location

changing hours or work patterns

undertaking training

5. The ‘at risk’ member of staff will be considered for posts classed as suitable alternatives in advance of internal or external competition. Staff who meet the essential criteria in the person specification for posts will be guaranteed a redeployment interview.

6. When a suitable vacant post is identified the lead Human Resource

representative will contact the manager responsible for the vacancy and arrange redeployment interview as speedily as possible and within 10 working days. Present at the redeployment interview will be the manager of the vacancy and a Human Resource representative. The purpose of the redeployment interview will be to discuss the requirements of the post in detail, assess the employee’s suitability and to allow the manager and member of staff to check or clarify any outstanding issues or queries regarding the vacant post.



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7. If suitable, the member of staff will be offered a trial period of no less than 4

weeks in order to provide a settling in period during which time the employee and the Manager will assess the suitability of the post. A trial period may be extended with agreement. Any extension agreement should be confirmed in writing and should specify the end of the trial period.

8. During the trial period the appropriate Manager must meet with the individual

member of staff weekly to review the trial period and to ensure that queries or issues are clarified. On completion of the 4-week trial the appropriate Manager and Human Resource Manager must meet with the member of staff to review and assess the suitability of the post. The criteria for appointment will be that the individual is capable of performing the new job satisfactorily. (Appropriate training will be provided). If the post is considered suitable then the new manager will confirm all the relevant contractual details.

9. The manager will inform Human Resources that the ‘at risk’ member of staff

has been placed in a suitable post and the employee’s name will be removed from the ‘at risk’ register.

10. If either the Manager or member of staff feels the post is not suitable then the

reasons must be fully explored and recorded with relevant feedback. The employee’s manager and lead Human Resource Manager will resume responsibility for managing the process.

11. ‘At Risk ‘staff will be provided with ongoing support until an appropriate post is

found or alternative arrangements made within 12 weeks. The issues must be handled fairly and consistently. ‘At Risk ‘staff will be expected to take a positive approach to applying for posts identified as suitable. Every practical opportunity will be taken to mitigate against redundancy.

12. Where a member of staff identified as ‘at risk’ expresses an interest in a post

that is either not classed as a suitable alternative or for which they do not meet the essential criteria they will still be eligible for prior consideration. This will be agreed by the Group Director/Manager in conjunction with Human Resources and if eligible the member of staff will be subject to an assessment interview.

13. Throughout the process it is important that regular reviews are maintained

between the appropriate Managers, Human Resource representative and the ‘at risk’ members of staff to ensure that the process is handled smoothly and efficiently at all times. Once a member of staff has been notified that he/she is formally ‘at risk’ it is expected that a suitable post will have been identified and the person commenced in a trial period within a 12- week time frame of the date of being formally declared ‘at risk.’

14. Should a suitable alternative post not have been found within 12 weeks, a

further extension may be agreed by the Executive Director of Operations. Any agreed extensions should not exceed a further 6 weeks at which point formal notice to terminate employment will be considered.

15. The following arrangements are in place to assist with identifying suitable

posts for ‘at risk’ employees:



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The Lead Human Resource representative will be responsible for ensuring the appropriate details of ‘at risk’ staff, for which they have a responsibility, are maintained on the centrally held ‘at risk’ register

The Lead Human Resource Manager will be responsible ensuring the individual has access to the Trust Ring-fenced vacancies list, which is circulated by the Recruitment Team on a weekly/ Bi weekly basis. The employee is responsible for responding within agreed timeframes, liaising with the Lead Human Resources representative regarding options

In line with the above protocol if a post is considered suitable the lead Human Resource Manager must notify all appropriate parties that a post has been identified on the list and take action as appropriate. As a minimum this should include the employee’s existing Manager and their Trade Union representative

As a further measure to ensure suitable posts have been identified, the workforce metric form will also be shared with to the Staff Forum to ensure that suitable posts are held for consideration



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Appendix 2

Protection of Pay and Conditions of Service

1.0 Introduction

These arrangements apply to all staff with a minimum of 1 year’s reckonable service, with the following exceptions:

Staff on ‘as and when’ contracts.

Staff who move posts out of choice i.e. staff who choose to move to a lower graded post or choose to reduce their hours etc. That the Trust does not regard as suitable alternative employment.

Staff affected by changes brought about as a result of the capability or sickness absence policy, disciplinary action, or because of personal or other circumstances.

2.0 Definitions

Basic salary: monthly sum due in respect of basic hours worked by the individual within the standard working week. Additional earnings: Defined as enhanced payments over and above basic salary which were regularly paid in the 12 months prior to the change. It will include the following where they are regular requirements of the job:

Contracted over time

Unsocial hours payment

Standby and on-call duty payments Mark Time: an employee will remain on their current salary, and will not receive any incremental or annual cost of living rise for the duration of the period of protection until such a time as the total level of pay in the new post exceeds the value of the protected pay, or until such a time as the employee changes jobs voluntarily (whichever is the sooner) at which point the new salary and terms will apply. Reckonable service: is total NHS service (aggregated if discontinuous in line with the provision of the NHS Terms and Conditions of Service handbook) but excluding service that has already been the subject of a redundancy payment or where superannuation benefit has been taken.

3.0 Protection of Earnings

Short Term Pay Protection

This is protection of basic pay and additional earnings (see definitions section) on a mark time basis. It will be payable where an individual is affected by a reduced level of regular enhanced payments/allowances or a reduction in basic hours, as a result of some form of organisational change.



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NHS Reckonable Service Protected Period

0-1 year 0

1-2 years 6 months

2-5 years 9 months

5 years + 1 year

When calculating eligible protected earnings the calculation will be based on basic salary plus the monthly average of the additional earnings. The calculation will be based on an average taken of the 3 months or 13 weeks worked prior to the date that the organisational change took effect.

Where an individual’s earnings in the new post are higher or equal to his/her protected earnings, the higher earnings will be paid. At the end of the protection period the earnings of the new post will apply. Short term protection of earnings is conditional on the employee undertaking for example, any shift work or additional duties which may be required up to the level at which earnings in the new post equal the protected earnings. In situations where there is a staged pay award the individual would be eligible for the full award for the year protection took effect. Long Term Pay Protection

This is payable on redeployment as a result of a change in duties necessitating downgrading, or where an employee is offered a lower graded post considered to be a suitable alternative to their current post.

They will be entitled to have basic pay in the former post protected on a mark-time basis in accordance with the following table:

NHS Reckonable Service Protected Period

0-1 year 0

1-2 years 1 year

2-5 years 2 years

5 years + 3 years

Conditions of Long Term Pay Protection

The employee is entitled to protection of basic pay, until:

The period specified expires, or

The employee is appointed to a post in which the annual basic salary is equal to or higher than the protected basic salary, or

The employee moves to another post of their choosing, or

The employee leaves the Trust or retires, or

In situations where there is a staged pay award the individual would be eligible for the full award for the year protection took effect.



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Following the expiry of any protection period, the employee will receive the salary appropriate to the banding of the new post and incremental progression, where appropriate. The incremental date may be changed depending on the individual circumstances. If for any particular pay period the earnings in the new post exceed the protectable pay, protection of pay is extinguished and earnings in the new post are paid in full for that particular pay period. Any additional earnings derived from work in the new post will be remunerated at the rate appropriate to the new post. It is a shared responsibility of both the employee to apply for any suitable posts that arise mirroring more closely the terms and conditions of his/her previous post, and that of the manager to bring any suitable posts to the attention of the employee. Consideration of suitability will be based on the requirements of the person specification. Protection of pay is conditional on the employee undertaking any reasonable and mutually agreed overtime, shift work or other additional duties which may be required up to the level at which earnings in the new post equal the protected earnings.

Reasonable assistance will be given by the Trust to provide re-training where new skills are required. Failure on the part of the employee to apply for any reasonable alternative posts commensurate with the previous post may bring the protection arrangements to an end. Any subsequent changes in post due to organisational change shall attract protection in its own right.

Protection arrangements will cease if the employee is required to move to a new post which is of a lower grade as a consequence of disciplinary action or is downgraded within the Trust’s Capability Policy. Staff currently receiving pay protection under previous protection arrangements will be unaffected by this agreement and will continue to receive protection under the arrangements in force at the time.

4.0 Employees eligible for both short and long term pay protection

In cases where an employee is eligible for both short and long term protection, these will run concurrently.

5.0 Preservation of Pension Benefits

Members of staff who belong to the NHS Pension Scheme whose pay is reduced when the protection arrangements cease should seek advice the Pensions Officer.



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Appendix 3

Redundancy Summary Report

This form should be completed by the Manager and Human Resources representative responsible for managing the organisational change process when no suitable alternative employment has been found and redundancy is recommended. This form must be submitted to the Trust’s Remuneration Committee for authorisation and assurance purposes.

Name of employee:

Substantive Job title:

Directorate:

Department:

Date employee declared ‘at risk’:

Reason for redundancy

Details of redeployment options explored (including details of any suitable alternative employment offered):

Date employee placed on the At Risk Register:

Number of years continuous NHS service:

Pension entitlement on redundancy (if applicable):

Agenda for Change redundancy pay entitlement:

Total payment in lieu of notice:

Total amount payable to the employee:

Total cost to the organisation:



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Policy Details

* For more information on the consultation process, implementation plan, equality impact assessment,

or archiving arrangements, please contact Corporate Governance

Review and Amendment History

Version Date Details of Change

1.1 Oct 2016 Minor amendments and new policy template

1.0 Nov 2011 New policy for BCPFT

Title of Policy Organisational Change Policy

Unique Identifier for this policy BCPFT-HR-POL-20

State if policy is New or Revised Revised

Previous Policy Title where applicable N/A

Policy Category Clinical, HR, H&S, Infection Control etc.

HR

Executive Director whose portfolio this policy comes under

Director of Operations

Policy Lead/Author Job titles only

Head of Operational Human Resources

Committee/Group responsible for the approval of this policy

Workforce Committee

Month/year consultation process completed *

July 2016

Month/year policy approved August 2016

Month/year policy ratified and issued October 2016

Next review date October 2019

Implementation Plan completed * Yes

Equality Impact Assessment completed * Yes

Previous version(s) archived * Yes

Disclosure status ‘B’ can be disclosed to patients and the public

Organisational Change - bcpft.nhs.uk

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