Document type: / HR Guidance
Staff group to whom it applies: / All staff within the Trust
Distribution: / The whole of the Trust
How to access: / Intranet and internet/ward folder
Issue date: / October 2013
Next review: / December 2017
Approved by: / Director of Human Resources and Workforce Development
Developed by: / Diane Shelley, Senior HR Manager in conjunction with the Employment Policy Group (consisting of Managers HR Managers and Staff Side representatives)
Director leads: / Alan Davis, Director of Human Resources and Workforce Development
Contact for advice: / Human Resources Managers
CONTENTS
PAGE1. / INTRODUCTION / 4
2. / PREPARING FOR CONSULTATION / 4-5
3. / WOMEN ON MATERNITY LEAVE / 5-6
4. / COLLECTIVE CONSULTATION / 6-8
5. / INDIVIDUAL CONSULTATION / 8
6. / SELECTION FOR REDUNDANCY / 8-9
7. / AT RISK REGISTER / 9-10
8. / MANAGING THE HUMAN DIMENSION OF CHANGE / 10-12
APPENDICES
APPENDIX 1 / PROPOSED ORGANISATIONAL CHANGE FORM / 13
APPENDIX 2 / Table for management of change:
a - pool with interview selection
b - pool with matrix selection
c - individual (stand alone) post / 14-16
APPENDIX 3 / TRADE UNION INVITE TO CONSULTATION / 17
APPENDIX 4 / TRADE UNION CONSULTATION OUTCOME LETTER - NO CHANGE / 18
APPENDIX 5 / TRADE UNION CONSULTATION OUTCOME LETTER - CHANGES / 19
APPENDIX 6 / INVITE EMPLOYEES TO INITIAL CONSULTATION MEETING / 20
APPENDIX 7 / ATTENDANCE SHEET - CONSULTATION / 21
APPENDIX 8 / CONFIRMATION OF CONSULTATION - POOL / 22-23
APPENDIX 9 / CONFIRMATION OF CONSULTATION - STAND ALONE POST / 24-25
APPENDIX 10 / AT RISK REGISTER APPLICATION FORM / 26-30
APPENDIX 11 / NHS EMPLOYMENT/PENSION HISTORY QUESTIONNAIRE / 31-34
APPENDIX 12 / INVITE TO 1-1 MEETINGS / 35
APPENDIX 13 / 1-1 MEETINGS / 36-37
APPENDIX 14 / STAFF COUNSULTATION OUTCOME LETTER / 38-39
APPENDIX 15 / STAFF CONSULTATION OUTCOME LETTER - INDIVIDUAL (STAND ALONE) POST / 40-41
APPENDIX 16 / LETTER - SUCCESSFUL AT INTERVIEW / 42
APPENDIX 17 / LETTER - UNSUCCESSFUL AT INTERVIEW / 43
APPENDIX 18 / BUSINESS CASE FOR REDUNDANCY/FOR REMUNERATION COMMITTEE / 44-46
APPENDIX 19 / MATRIX FLOWCHART / 48
APPENDIX 20 / LETTER TO CONFIRM INDIVIDUAL MATRIX SCORE / 49
APPENDIX 21 / ACKNOWLEDGEMENT OF MATRIX APPEAL / 50
APPENDIX 22 / LETTER TO CONFIRM NO REVIEWS REQUESTED / 51
APPENDIX 23 / MATRIX PROCESS ON HOLD DUE TO REVIEW / 52
APPENDIX 24 / MATRIX REVIEW OUTCOME / 53
APPENDIX 25 / NOTIFICATION OF REDUNDANCY WHILE ON TRIAL / 54-55
APPENDIX 26 / DISMISSAL ON GROUNDS OF REDUNDANCY / 56-57
APPENDIX 27 / ORGANISATIONAL CHANGE - FREQUENTLY ASKED QUESTIONS / 58-66
APPENDIX 28 VERSION CONTROL SHEET 67
ORGANISATIONAL CHANGE
MANAGEMENT GUIDANCE
1. / INTRODUCTIONThis guide should be used in conjunction with the Organisational Change Policy and Procedure.
This guidance should be used for all aspects of organisational change including significant changes in working practices, terms and conditions, place of work and not just changes that result in redundancy.
2. / PREPARING FOR CONSULTATION
Before a manager can begin the consultation process of management of change there are a number of practical steps that need to be taken.
Although the preparation is time consuming, it will ensure a smooth process during the consultation stages and implementation of a revised structure.
2.1 / The first step is to fully review the need for the changes being considered and what is the best way to redesign the service or workforce structure which must include discussions with HR, Finance and the appropriate Senior Manager. It may also be useful to involve the relevant Trade Unions at this early stage, in particular, to help develop the proposal and the process to be followed.
2.2 / The manager must complete Appendix 5 of the Organisational Change Policy and Procedure to aid the completion of this template, Appendix 1 may be useful to ensure that all stages of the process are followed including:
a) / Review the organisation/department chart and include both the original and proposed new one to show the difference.
b) / Consider who and why staff should be in a pool or identified as individual post.
c) / Write any new job descriptions required and ensure that they are graded through the job evaluation process. This is particularly important if savings are expected to be released. Input from the staff may be required and while the job description may be written as part of the preparations be prepared to amend this through the consultation process.
d) / If a redundancy matrix selection criteria is to be used to select the employees from a pool for redundancy, prepare the documents at this point. This enables it to be considered during the consultation process with the trade unions prior to any discussions with the affected staff.
e) / Include details of who will make up interview panels, matrix and matrix appeal panels.
f) / Complete the Equality Impact Assessment to check if particular groups of staff are disproportionately affected by the proposed change.
2.3 / Plan the timeline. Appendix 2 contains a spreadsheet that can be used to schedule the appropriate meetings and ensure the timetables are maintained. It tracks the process and provides an audit trail to aid the success of an organisational change process.
There are different tables for each of the scenarios available.
Appendix 2A - pool with interview selection
Appendix 2B - pool with matrix selection
Appendix 2C - individual (stand alone) post
2.4 / The number of potential redundancies in the Trust and not just in the department determines the length of consultation required as detailed in Section 8.2 of the policy. The manager must therefore check with HR before commencing consultation.
2.5 / Assessing how employees in the ‘existing structure’ will be put into the new structure is not always as straight forward as it may initially seem. (See Section 9 of the Organisational Change Policy).
Where employees are to be slotted in to post in the new structure you may need to consider asking for each person’s preference in terms of the posts available. How these preferences will be allocated should be identified during the consultation process. An example could be that they would be allocated in rank order following an interview or matrix exercise.
3. / WOMEN ON MATERNITY LEAVE
3.1 / If one of the employees affected by the organisational change is on maternity leave or will be on maternity leave during the consultation period it is important that you discuss this with your HR support.
Women on maternity leave are given special protection by the law to ensure that they cannot be disadvantaged due to their maternity leave.
A woman on maternity leave has the right to return to the same job before she went on maternity leave. Therefore, if the post in the new structure remains the same or almost the same as the woman’s previous post, she must be given a post in the new structure and cannot be made redundant.
If the post in the new structure has substantially changed, the woman on maternity leave can be in the pool from which the redundancies are selected but you have to ensure they are part of the consultation and that you can genuinely justify why the individual has been selected.
It is therefore important to ensure that any selection criteria is non-discriminatory. Consideration must be given to using information from before the pregnancy to score any criteria if the pregnancy had affected the employee’s attendance or performance.
If using interviews as a selection process ensure the employee on maternity leave is given sufficient notice and not disadvantaged by her absence from work and being unaware of work related developments.
If the employee on maternity leave is selected for redundancy and a suitable alternative post is identified in the new structure or elsewhere in the Trust, they must be offered the post before any other employee.
The alternative post must be suitable and appropriate for the employee, if not then you do not have to offer her the post. In these circumstances the law states that suitable and appropriate means the post makes her no worse off in terms of location, terms and conditions, status and she has the capacity for the work.
If there is only one post and more than one person on maternity leave who is eligible for the post, you have to consider who is most suitable.
If an employee on maternity leave is made redundant they would receive contractual maternity pay up to the date of termination only but could receive a payment for the remainder of any statutory maternity leave as a lump sum in their final salary.
Should the individual on maternity leave unreasonably turn down a suitable alternative post, she loses her right to a redundancy payment.
As part of any consultation with an employee on maternity leave it is important that the implications of her redundancy have on her statutory and contractual maternity rights and pay and discussed with her.
4. / COLLECTIVE CONSULTATION
4.1 / Trade Unions
The relevant trade unions should be invited to a briefing session in writing or verbally (see Appendix 3 for template letter).
The purpose of the meeting is consultation but it is the manager’s decision if they can make any changes proposed by the Trade Unions. However, the manager needs to be prepared to explain why the changes proposed by the Trade Unions will not to be implemented.
Appendix 4 can be used to confirm the outcome of the meeting where no changes to the proposal has been made and Appendix 5 where a change to the proposal has been made. Remember to change the documentation in line with the changes prior to consultation with the employees.
4.2 / Employees
Once the meeting with Staff Side has occurred the employees can be invited to the consultation meeting as a group. It may be appropriate to invite the whole department together to consult on the proposed changes. However, you should think carefully about which groups you invite together.
It may be necessary to see the employees in the separate selection pools and for those in individual (stand alone) posts it may be necessary to see them individually or as a group. You should discuss this with your HR support prior to setting up the meeting.
Employees should be given a copy of the Business Case and Employee Information Pack to take away to help digest the information.
You must also ensure you invite any employee who is absent from work due to sickness, maternity leave or annual leave. Should they be unable to attend the arranged meeting you must make arrangements to see then individually as near to the date as practically possible. Their consultation period will, however, still commence and end at the same time as the remainder of the staff in a pool.
It is advisable to prepare a script for the meeting to ensure a clear and consistent message is given to all groups.
The employees should be invited in writing, see Appendix 6 for a template letter.
The Trade Unions involved should also be invited to the meeting to support the employees.
You should make sure your HR Representative is also available to attend the meeting to support you and consider any process questions.
You must keep a record of those who have attended a group consultation, Appendix 7, can be used for this purpose.
Following the meeting, the employees should be sent a letter confirming the consultation, see Appendix 8 for template letter to pool and Appendix 9 for template for stand alone.
These letters should include a copy of the At Risk Register Form for the individual to complete (Appendix 10) and a copy of the NHS Employment/Pension Questionnaire (Appendix 11). This is to ensure any suitable post can be identified early and that payroll can use the information to check the employee’s service in case a redundancy payment is due at a later date to prevent any delays later.
They should also be given a copy of the employee document for reference.
5. / INDIVIDUAL CONSULTATION
All employees should be offered an individual consultation meeting but they do not have to take up this offer. They should be given the opportunity to be represented at the meeting by their Trade Union Representative or fellow worker not acting in a legal capacity.
It is important that all staff have an opportunity to put forward their own proposals/comments etc. or should they feel more comfortable to meet with you as a group to communicate this, you should consider this.
Staff may also confirm any comments on the proposal via email or in writing. It is more important that the staff feel and indeed have the opportunity to be heard than how this occurs.
Appendix 12 can be used to invite employees to the 1-1 meeting if requested and Appendix 13 used to record the details of the 1-1 meeting.
It is important that when reviewing any comments/suggestions or alternatives to the proposal that the manager considers these seriously records their decision and reasons and reports these back to the individual or group that raised them.
At the end of the consultation, Appendix 14 or 15 should be sent to each individual affected by change to inform them of the outcome of the consultation.
6. / SELECTION FOR REDUNDANCY
6.1 / Interview
When selecting an interview panel it is advisable to have an independent person on the panel to ensure objectivity and prevent claims of bias. This may be a manager from a different Directorate, HR or for senior roles an external person from another Trust.