CHANGE MANAGEMENT (RETENTION REDEPLOYMENT REDUNDANCY) POLICY

CHANGE MANAGEMENT (RETENTION REDEPLOYMENT REDUNDANCY) POLICY Version 2, March 2011 Page 1 of 29

Version 2, March 2011 Page 2 of 29

POLICY REFERENCE INFORMATION SHEET Document Title Document Reference Number Change Management (Retention, Redeployment, Redundancy) P/113/HR/03/11 Version Number V2.00 Status: Operational Draft Type: Corporate Clinical Personnel Author/Lead Job Title Date last reviewed, approved and implemented (this version) Operational Personnel Sam Knight HR Corporate Manager - Diversity March 2011 Date of Next Review March 2012 Consultation Director s Name HR Team TCNC Kate Truscott Director s Signature Date of Signature Retention Period All Policies are for indefinite retention. Version 2, March 2011 Page 3 of 29

1. INTRODUCTION The Trust aims to provide all employees with employment security, however service development and the need to continually improve organisational effectiveness will sometimes necessitate changes to staffing levels, structures, roles and ways of working. In these circumstances the Trust is committed to ensuring the change is managed in a way that is sensitive, consistent, fair and in line with statutory requirements and best practice. 2. SCOPE This policy applies to all staff for whom the Trust has a contractual responsibility including Doctors/Consultants irrespective of age, colour, disability, nationality, religion/belief, sexual orientation, marital, social and employment status, gender reassignment, political affiliation, trade union or other membership or any other status. 3. POLICY STATEMENT AND PRINCIPLES 3.1 This policy and procedure gives clear guidance to managers to enable the effective implementation of major organisational change, which is driven by the business need of the Trust. Change can be triggered either by the external environment or by an internal review of service requirements. This will include the reorganisation, relocation, merger, expansion or closure of a service, competitive tendering or outsourcing, or a major change in working practice. 3.2 The Trust is committed to the following principles for managing organisational change: The Trust will provide information about proposed organisational change as it would be in accordance with good industrial relations practice to disclose to staff and the trade unions. Staff will receive notice of an organisational change which may affect their futures at the earliest opportunity. Staff will be treated as individuals with due regard to their personal and employment circumstances and their career aspirations at all stages of the change management procedure. Staff will have the right to be accompanied by a trade union representative or workplace colleague at meetings to discuss the organisational change. Requests by the employee for additional support at any individual meetings will be considered e.g. where disability is involved and familiarity with the impairment or individual or specialist input would be beneficial. The Trust will consider all reasonably practicable steps to avoid compulsory redundancies. Staff will receive training and development, as appropriate, to meet new skill requirements and where appropriate to identify new career Version 2, March 2011 Page 4 of 29

opportunities, with funding and time to attend agreed training and development activities. Staff will have access to Trust counselling services and career support as appropriate. Staff are central to the achievement and success of organisational change. The Trust acknowledges that change can cause concern and uncertainty and should therefore be managed fairly and consistently in accordance with established good practice. 4. DUTIES AND RESPONSIBILITIES Chief Executive To assure the Board that this policy is acted on through delegation to the appropriate directorates and committees Trust Board To ensure that this policy is acted on through delegation of responsibility for the development and implementation of the policy to the appropriate directors and committees. To ensure the policy, procedures and guidelines comply with UK and EU legislative requirements (see appendix 2). To formally notify recognised Trade Unions of any proposed organisational changes and will undertake consultation with them in line with legal requirements. In order to enable staff side representatives to fully participate in the change management process, which may require frequent meetings with management and staff, the Trust will support staff side members with paid time off over and above existing arrangements. To ensure the policy and procedures are monitored and reviewed formally through the appropriate committees e.g. TCNC, Governance Committee. Directors and Assistant Directors To ensure that this policy is acted on through a process of policy dissemination and implementation in collaboration with Trust senior managers. Managers are critical to the change management process and shall therefore be regularly briefed so that they are in a position to respond to the concerns of staff and their teams. Senior Managers and Clinicians, Managers and Clinicians with responsibility for managing staff should Provide information to staff and trade unions so that they are able to make meaningful contributions to the consultation process. Ensure equality and diversity issues are considered at the earliest opportunity and all appropriate individual support is identified and provided for e.g. use of interpreters, translation of documents, clarification of understanding of the policy and procedures, clarification of any cultural issues or barriers and adjustments to time-scales to accommodate the needs identified. Ensure no member of staff is discriminated against on the grounds of ethnic origin, nationality, race, disability, gender, marital or partnership status, age, Version 2, March 2011 Page 5 of 29

religion or belief, sexual orientation or transgender status when applying this policy, especially in the consideration of reasonable adjustments when considering suitable alternative employment for an individual. Work in partnership with recognised Trade Unions who play a vital role in advising and representing staff undergoing organisational change and in working with managers to ensure that it is managed with the least disruption to services and patients in accordance with the principle of avoiding compulsory redundancies wherever possible. All Employees Staff are expected to play an active role during consultation and implementation of the proposed changes, and in identifying new career opportunities Human Resources Will advise and guide managers to effectively manage retention, redeployment and redundancy of staff affected by the organisational change. This includes: answering questions on policy and practice, provide coaching for managers and support managers through the informal and formal stages of the process. Will provide individual/group support to staff affected by redeployment/redundancy. This includes supporting individuals to make informed choices and decisions, ensuring the Trust fulfils its legal requirements regarding suitable alternative employment options for affected staff. The Director of Human Resources and Diversity is responsible for notifying the Department for Business Innovation and Skills (BIS) if the Trust proposes to make 20 or more staff redundant in accordance with legislation. A copy of the notification form will be sent to the appropriate recognised Trade Unions. Occupational Health Will provide support for staff affected by redeployment/redundancy Staff Counselling Will support individual mental health and well being at a time of challenge and change. Provide counselling in a supportive and therapeutic environment, helping individuals clarify their problems/issues and enable them to find solutions. Offer confidential support and advice. Training Department Will ensure any appropriate relevant training needs associated with redeployment i.e. CV preparation, interview techniques, career advice are provided for at risk staff. 5. PROCEDURE (see appendix 4) 6. EQUALITY AND DIVERSITY An equality impact assessment has been completed and the changes identified have been incorporated into the policy Version 2, March 2011 Page 6 of 29

7. MENTAL CAPACITY Not applicable 8. IMPLEMENTATION TCNC approval HR Management Team Open Space Policy Log Intranet 9. MONITORING AND AUDIT HR quarterly report to the Governance Committee 10. AUTHORSHIP AND CONSULTATION This policy and procedure circulated for comment to the Human Resources management team and Policy Working Group representatives This policy has approval by the TCNC which has appropriate Trade Union representation and Trust Governance Committee 11. DATE AND REVIEW DATE March 2011 and yearly thereafter 12. REFERENCES ACAS NHS London Change Management Policy and Procedure (February 2010) 13. APPENDICES 1 Definitions 2 Law and Legislation 3 Change Management Procedure Version 2, March 2011 Page 7 of 29

DEFINITIONS For the purpose of applying the provisions contained in this document, the following definitions shall have the following meanings Version 2, March 2011 Page 8 of 29 Appendix 1 Basic Pay Is the sum due in respect of basic hours worked by the individual concerned within the standard working week. Compulsory Redundancy Where the Trust has exhausted all reasonable steps for redeployment, staff who have not been successful in gaining suitable alternative employment or accepted voluntary redundancy will be declared compulsorily redundant. Continuous Service means full or part time employment with the Trust or any previous NHS employer, providing there has not been a break of more than one week (Sunday to Saturday) between employments. This reflects the provisions of the Employment Rights Act 1996 and Agenda for Change handbook (where applicable) on continuous employment. Long Term Protection Means an employee will be entitled to receive protection of basic pay on a mark time basis (i.e. without benefit of any subsequent pay increases or increments). Organisational Change Any significant structural or managerial change in the Trust e.g. re-organisation; changes in working environments, unit or department closures; the amalgamation or transfer of services. It does not include employees who: - move of their own volition to a new post - have been required to move to a new post as a consequence of disciplinary action in accordance with the Trust s Disciplinary Procedure - due to ill health, where it has been identified that alternative employment is appropriate and the Trust has a post available that is considered suitable, will be required to accept the terms and conditions attached to the new post Protection arrangements Protection of pay provisions will be put in place in order to support staff, who as a result of organisational change, are required to move to a new post which would entail a reduction in earnings and certain terms and conditions of employment. Protection of pay will last for 18 months. Reckonable Service means Continuous Service plus any service with a previous NHS employer where there has been a break of 12 months or less. At the Trust s discretion any period of employment outside the NHS which is relevant to NHS employment may be counted as reckonable service.

Redeployment means the transferring or recruitment of Staff At Risk into a suitable alternative post. Redundancy A member of staff may become redundant if they are dismissed and the reason for the dismissal is wholly or mainly due to: the fact the Trust has ceased, or intends to cease, to carry out on the activity for purposes for which the individual was employed or has ceased or intends to cease, to carry out the activity in the place the individual was employed OR the fact the requirements of the Trust for staff 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. Ringfencing means the process by which Staff At Risk will be considered for a post in a new staffing or management structure which is similar to their current post and where there is more than one contender for that post. Slotting In means the process by which Staff At Risk are confirmed into a post in a new staffing or management structure which is similar to their current post and where that individual is the only contender for that post. Slotting in may occur where a post is in the same band as the individual s current post (or possibly one grade lower, in which case pay protection might apply) or where it remains substantially the same (usually defined as 70% the same) with regard to job content, responsibility, grade status and requirements for skills knowledge and experience. Staff At Risk means staff whose posts may potentially be redundant as a result of organisational change if suitable alternative employment cannot be found (see appendix 3) for staff who are unable to fulfil the demands of their current post for health reasons, supported by appropriate medical evidence or where there is appropriate evidence that working relationships have irretrievably broken down. Suitable Alternative Employment Is a role within the Trust that is on broadly similar terms such as salary, hours of work, geographical location, travel arrangements, job content and status and within the same range of skills required as the current employment where the individual meets all the essential criteria of the person specification. Local agreement with the Trust Joint Negotiation Committee (TCNC) also recognises one band lower than the individual s current salary as suitable alternative employment, providing the individual receives 18 months protection of current salary. Staff under Agenda for Change terms and conditions who unreasonably refuse a suitable alternative employment offered by the Trust, or another NHS employer, will mean that they in effect resign their current post and will not be entitled to a redundancy payment. Total Pay Is basic pay plus allowances that form part of the contractual terms and conditions of employment. TUPE means the Transfer of Undertaking (Protection of Employment) Regulations 2006. Version 2, March 2011 Page 9 of 29

Voluntary Redundancy If the Trust deems this to be a suitable option, expressions of interest will be sought for voluntary redundancy/early retirement, if there are insufficient volunteers from the designated at risk groups then the Trust can decide to widen the expressions of interest in similar posts across the Trust. Version 2, March 2011 Page 10 of 29

Legislation affecting Redeployment and Redundancy Appendix 2 Data Protection Act Disability Discrimination Act 1995 and 2005 Disability Equality Duty 2006 Employment Rights Act 1996 as amended Employment Rights (Dispute Resolution Act) 1998 Employment Relations Act 1999 Version 2, March 2011 Page 11 of 29

Appendix 3 Staff who are unable to fulfil the demands of their current post for health reasons supported by appropriate medical evidence Where staff as a result of a medical condition are unable to continue to work in their current role or environment, they will be designated at risk. In these circumstances staff will be entitled to preferential interviews for other posts within the Trust providing they meet all the essential criteria of the person specification. If the individual is not accepted for the post, they must advise the individual of the reasons why and confirm, in writing, within 5 working days, in accordance with Disability Discrimination Act (DDA) guidelines. At risk status will only occur after consultation with the staff member concerned, their manager, Human Resource Manager and Occupational Health, and only after all other options have been exhausted through the Trust s Managing Absence and Capability procedures (as appropriate). Irretrievable break down of working relationships Where there is appropriate evidence of a formal process e.g. disciplinary/harassment/grievance that working relationships have broken down between a member of staff and his/her colleagues and/or manager to the extent that this could reasonably be expected to have an adverse affect on future working relationships and individual s health and well-being, there will be consideration given for at risk status. At risk status can only be established when an investigation of the facts has taken place and the claim(s) made by either party are found to be justified and the decision to place the member of staff at risk has been supported by Human Resource Manager and Occupational Health and appropriate medical evidence. It is not possible to place a member of staff at risk where: The claim is investigated and found not to be justified. He/she chooses not to progress the claim to enable an investigation to take place. Version 2, March 2011 Page 12 of 29

Appendix 4 GUIDELINES FOR: MANAGING ORGANISATIONAL CHANGE (RETENTION REDEPLOYMENT REDUNDANCY) Version 2, March 2011 Page 13 of 29

Introduction The Trust aims to provide all employees with employment security, however service development and the need to continually improve organisational effectiveness will sometimes necessitate changes to staffing levels, structures, roles and ways of working. In these circumstances the Trust is committed to ensuring the change is managed in a way that is sensitive, consistent, fair and in line with statutory requirements and best practice. The following procedure outlines the stages of the Change Management process. CONSULTATION 1 Purpose of Consultation 1.1 In accordance with legislation and partnership working principles the Trust commits itself to meaningful and appropriate consultation with recognised Trade Unions and staff affected by the organisational change with a view to reaching agreement on the way forward, although there will be times when organisational change will need to proceed without a consensus being reached on all issues. The timing and extent of consultation will be proportionate to the degree of the proposed change, the number of staff affected and the impact on individuals. 1.2 The purpose of the consultation meetings with Trade Unions and staff will be: To receive and where possible address any questions on the consultation document. To consider any comments or views on the consultation document including any alternative proposals and costings (which the Trust as far as practicable make available) before determining any final decision to proceed. To clarify any change processes and timeframes specific to the organisational change under discussion. 2 Consultation Procedure 2.1 Managers will prepare a consultation document (see appendix 4a) on the proposed organisational change having gathered information to support the need for change and consulted with Human Resources as appropriate. 2.2 The Trust will allow sufficient time for meaningful consultation with staff and their representatives. However where changes need to be implemented quickly, Trade Unions will be briefed immediately verbally, followed by a written brief. Version 2, March 2011 Page 14 of 29

2.3 In a collective redundancy scenario consultation will continue for a period of no less that the statutory time-scales. Where 20-99 redundancies are proposed consultation should commence at least 30 days before the first redundancy takes place. Where 100 or more redundancies are proposed then consultation should commence at least 90 days before the first redundancy takes place. In an individual redundancy scenario and up to 20 proposed redundancies, consultation and notice of redundancy will be for 90 days and include informal, formal consultation and notice of redundancy. Consultation with Trade Unions 2.4 The Trust and its Managers responsible for proposing and implementing the change will ensure that recognised Trade Unions are kept informed of developments and staff are communicated with in accordance with the Change Management Consultation document. Consultation with staff 2.5 A meeting will be held with all staff affected by the organisational change to announce the proposed change and explain the consultation process which will follow. It is recognised that staff may require time to reflect and respond and may not wish to contribute their concerns at an open meeting. 2.6 Each member of staff affected by the organisational change will be provided with a copy of the consultation document. Staff who are absent from work for any reason including maternity leave, sickness absence, secondment to another organisation or on a career break will be sent a copy of the consultation document to their home address so that they have an opportunity to participate in the consultation process. 2.7 Each member of staff will be offered at least one individual meeting with their manager at which they have the right to be accompanied by a Trade Union representative or work place colleague acting in a supportive, not pro-active way. At the meeting, the individual will be invited to comment and respond to the proposed change, including how it may impact on their personal circumstances. A written record of the main points of the meeting (not verbatim notes) will be kept and provided to the individual and their representative where applicable. In a redundancy scenario the meeting will be to discuss the issues set out in the change management individual redundancy checklist (appendix 4b). 2.8 Staff will be kept informed on a regular basis through a variety of communication methods for example, team meetings, newsletters, email, letters, frequently asked questions. End of the Consultation 2.9 At the end of the consultation period the manager will give full consideration to all the comments received from staff and Trade Unions and will communicate any Version 2, March 2011 Page 15 of 29

decisions that are in conflict or where the proposal has changed as a result of the consultation, and re-issue the change management document having taken into account the consultation process and any changes/decisions as a result of it. 3 Support for staff 3.1 All staff affected by the organisational change will be encouraged to seek the advice and support of their Trade Union. Relevant support will be provided by the Trust and may include: Help with the production of CV/application forms (including assistance with NHS jobs). Help with preparation for interviews. Career advice. Support in developing coping strategies and stress management, with support of the counselling service. Time to meet with recognised Trade Union representatives, Occupational Health and Human Resources to discuss the change. Further assistance for staff who are at risk of redundancy will include reasonable time off to seek other employment or undertake appropriate training. Placement on the Trust at risk register. 4 Process for filling posts in the new structure 4.1 There will be two stages in the process for filling posts in the new structure Stage One takes place amongst the staff that are affected by the change. Posts in the new structure are filled by Slotting in or Ringfencing. Staff who are in a post as temporary movement to a higher band (acting up) will be considered for posts relating to their substantive post. Stage two is where wider competition takes place for any posts that remain vacant in the new structure following slotting in or ringfencing processes. The post can then be opened up to access by any staff at risk on the Trust risk register for whom the post is considered as suitable alternative employment or to open competition internally and externally in line with the normal recruitment processes when all slotting in, ringfencing and at risk staff have been considered and the post is still vacant. The two stages may run in parallel but all reasonably practicable steps will be taken to avoid compulsory redundancies. 4.2 Job descriptions and person specifications will be produced for new posts. Jobs will be matched or evaluated in accordance with national or local job evaluation systems. Version 2, March 2011 Page 16 of 29

4.3 Selection criteria for all posts in the new structure (whether or not there is competition) must be non discriminatory, fair, objective, clearly defined and based on the skills and competency requirements of the post. The selection criteria must be made available within the consultation document. 4.4 Staff who are offered posts during Stage One will be deemed to have been offered suitable alternative employment by the Trust. This will be confirmed in writing within 5 working days by the Manager. The letter will include the consequences of refusing to accept the post which in effect will mean the individual has resigned from the Trust and therefore will lose their entitlement to redundancy payment. Staff are expected to accept or reject the offer in writing 5 working days after receipt of the letter from the Manager. In some circumstances e.g. annual/other leave this period by mutual agreement can be appropriately extended. The Manager should forward a copy of the staff acceptance letter to Human Resources for inclusion in the individual personnel file. The Manager should then complete a change form, which forms the new contractual status for the individual. 4.5 Individuals should only be turned down for posts where they fail to meet all the essential criteria, or where others in the at risk pool are considered to meet the requirements better (the fact there may be better candidates internal or external is not a reason for non-selection of at risk staff). Any individual who is not appointed to a post in the new structure during a competitive interview process will be offered post-interview feedback, coaching or training where appropriate and has the right to appeal the process via the Trust grievance procedure. Trial periods 4.6 Staff at risk will be given a preferential interview for posts where they meet all the essential criteria, or could do within 4-8 weeks of an induction/job trial. If an individual has a period of induction/job trial the manager and the individual will use the job trial plan (appendix 4c). This is to provide a fair, objective outcome focused plan that allows the individual and manager to trial the job in order to mutually assess the post as suitable alternative employment. Due to the redundancy time frames it is expected that only one or two job trials may be offered during the at risk period. If the individual and/or manager, based on the outcomes of the job trial plan decide that the post/individual is not suitable alternative employment, then after two job trials the individual will be dismissed by means of redundancy. Staff should be released from their current post in which they are at risk to undertake the induction/job trial, or for example be able to visit/shadow in order to gain an understanding of the role being offered as suitable alternative employment. 4.7 Special provision is made in law where an individual s job becomes redundant while he or she is absent, on maternity or adoption leave; the individual is entitled to be offered any suitable alternative employment vacancy before the existing contract ends, in preference to individuals who are not absent on such leave. Version 2, March 2011 Page 17 of 29

Change of location 4.8 If as a result of organisational change, there is a requirement to move staff from their normal place of work to another location within the Trust and this results in increased travel costs to and from work, staff may be reimbursed their extra daily travelling expenses for a period of 4 years from the date of the transfer in accordance with the Agenda for Change handbook. 5. Redundancy arrangements 5.1 A member of staff will have their contract of employment terminated on the grounds of redundancy if no suitable alterative employment can be found or if a trial period is unsuccessful. 5.2 The terms under which a redundancy payment and or early retirement benefit are payable are summarised: To qualify for a redundancy payment/early retirement benefit the individual must have: a contract of employment with the Trust and at least 2 years (104 weeks) continuous service within the NHS. A redundancy payment takes the form of a lump sum, dependent on the employee s reckonable service at the date of termination of employment. The lump sum is calculated on the basis of 1 month s pay for each complete year of reckonable service, subject to a minimum of 2 years continuous service and a maximum of 24 years reckonable service (i.e. the maximum payable is 24 months). Early retirement on the grounds of redundancy is available, subject to the employee: - being a member of the NHS pension scheme - having at least 2 years continuous service and 2 years pensionable membership and - having reached the minimum pension age in accordance with the relevant NHS pension scheme arrangements Some staff may be subject to locally agreed contractual arrangements in respect of redundancy which will need to be honoured. 5.3 Staff will not be entitled to redundancy payments/early retirement on the grounds of redundancy if they: Are dismissed for reasons of misconduct. At the date of the termination of the contract have obtained without a break, or with a break not exceeding 4 weeks, suitable alternative employment with the Trust or other NHS employer. Unreasonably refuse to accept suitable alternative employment with the Trust or another NHS employer. Leave their employment before expiry of notice, except if they are being released early. Version 2, March 2011 Page 18 of 29

Are offered a renewal of contract with the substitution of a new employer for the Trust. 5.4 Staff whose employment is subject to Transfer of Undertakings Protection Employment (TUPE) will not be redundant and therefore will not be entitled to redundancy payments/early retirement on the grounds of redundancy. Further information can be found in Part 3, Section 16: Redundancy Pay, Agenda for Change handbook. 5.5 The manager will liaise with the Human Resources Manager in order to obtain details of redundancy entitlements and other aspects of the redundancy process. The manager will provide, in writing, the individual and their Trade Union representative (see appendix 4d). 6 Protection Arrangements 6.1 Protection of pay provisions will be put in place in order to support staff, who as a result of organisational change, are required to move to a new post which would entail a reduction in earnings and certain terms and conditions of employment. Protection of pay will last for 18 months. 6.2 When an employee is subject to a further non-voluntary transfer to a lower grade post (at a subsequent re-organisation or re-structuring) the pay protection period will run from the new date of the subsequent compulsory change. 6.3 Where, as a result of organisational change, an employee is required to transfer to a post defined as suitable alternative employment (this may be no more than 1 grade lower than the individual s current post) and reduce their contractual hours, then pay protection will apply. Employees are not eligible for pay protection where the change of job role is of their choice, or where they are downgraded for other reasons (e.g. as a result of disciplinary action). 6.4 Where, as a result of organisational change, an employee is required to transfer to a post defined as suitable alternative employment and their earnings are reduced due to a reduction in hours/shift changes, but where the pay band remains the same, protection will apply for 6 months. However short term protection will not be paid where it is an employees contractual requirement that they work different shifts and a request has been made by the Manager to move to a different shift pattern to meet the needs of the service e.g. nights to days. Marking Time 6.5 The salary will freeze the point of protection and no further uplifts will be applied until the pay rate for the job into which the person has been redeployed catches up with their frozen pay rate. Version 2, March 2011 Page 19 of 29

6.6 NHS pension scheme members may within 1 month of the end of the protection period, apply to the Pensions Agency to have their higher rate of pay preserved for the purposes of their future pension calculations. The Trust will normally support such an application, but the final decision will rest with the Pensions Agency. 7 Transfer of Undertakings Protection of Employment (TUPE) 7.1 Where there is a proposal to transfer services and staff to a different employer, there will be consultation with the trade Unions at the earliest opportunity. This will be a minimum of 30 days (unless otherwise agreed) and where 100 or more staff are affected will be 90 days where reasonably practicable. 7.2 When services are transferred from one organisation to another in line with TUPE or by virtue of a Transfer Order under the National Health Service Act 1977, which mirrors TUPE, the employment of staff who are assigned to the services which are being transferred will transfer to the new organisation. TUPE applies in contracting out scenarios, retendering and where the services are brought back into the NHS. 7.3 All the terms and conditions within the transferring employees contract of employment (including relevant policies and procedures) will transfer them and should not be changed as a consequence of the transfer. 7.4 Where staff have responsibilities spanning more than one NHS organisation or more than one service, discussions will take place with the individual, their Trade Union representative and the organisations concerned to determine if their employment should transfer. The options in this situation might be that the individual will transfer to one organisation with an agreement to provide services to the other(s), or have more than one contract of employment, or, in exceptional circumstances, to be declared at risk. 7.5 In all of these circumstances the manager will abide by this policy and procedure in relation to consultation and information and support to all affected individuals. 8. Appeals, complaints and joint agreements 8.1 Appeals against the selection criteria for redundancy or the decision to dismiss an employee by reason of redundancy will be heard in accordance with the Trust Grievance Procedure. The decision of the Appeal Panel will be final and there will be no further opportunity for recourse. 8.2 In the event of a complaint about the misapplication of the Change Management Policy and Procedure in the way that the consultation or redeployment processes have been handled will be dealt with in accordance with the Trust Grievance Policy. Version 2, March 2011 Page 20 of 29

Appendix 4a CHANGE MANAGEMENT CONSULTATION DOCUMENT and Guidelines Introduction (to include current situation analysis, the need for change and the rationale behind the change) Proposal for change (The proposed change including the options that have been considered) Impact of the change (to include the impact on service/business, impact on other services including supplementary and ancillary services, the financial, staffing, work load, workforce, risks and benefits associated with the proposed change) Consultation Process (description of the consultation process, including planned meetings, timetable of events and how staff and representatives can respond to the proposed change within the timescales) Information ( the document should include) details of the number and grades/bands of staff who may be at risk of redundancy as a result of the proposed change identification of posts which are 70% the same and arrangements for slotting in or ringfencing for the new structure selection arrangements for new posts in the structure the way in which staff will be selected or transferred within the new structure if necessary, the selection criteria for redundancy which needs to be fair, measurable and objective and based on the needs to meet the future requirements of the service. Selection criteria can include, for example: skills and experience, qualifications, attendance, conduct and performance records the measures taken to avoid compulsory redundancies which may include natural wastage, redeployment, re-training, voluntary early retirement or voluntary redundancy details of any suitable alternative employment which may exist health and safety/risk assessment (as an appendix) equality impact assessment (as an appendix) details regarding implementation of the proposed change including time-scales, proposed staffing structure(s) and any location changes the way in which the change will be communicated with staff Version 2, March 2011 Page 21 of 29

Appendix 4b Change Management Individual Redundancy Meeting checklist 1. Have you arranged the meeting in an appropriate environment and informed the individual of their right to be accompanied by their Trade Union representative or work colleague acting in a supportive not pro-active manner? 2. Have you contacted your Human Resources Manager and sought advice/guidance or requested their presence at the meeting? 3. Have you discussed the proposed changes as outlined in the Change Management Consultation document, and in particular how those changes affect the individual? 4. Have you explained why the individual is at risk of redundancy and what that means? 5. Have you discussed any ideas for avoiding redundancy? 6. Have you explored the possibility of redeployment with the individual? 7. Have you explained the process of redeployment with the individual? 8. Have you given the individual a copy of the change management policy and procedure? 9. Have you explained the arrangements for protection of pay? (and terms and conditions where appropriate) 10. Have you offered appropriate support and assistance e.g. Occupational Health, Training needs/requirements, retirement policy and options (if appropriate)? 11. Have you offered the individual the option to request a redundancy estimate or retirement forecast if appropriate? 12. Have you informed the individual that they will receive a letter within 5 working days to confirm their at risk status and the key points discussed, including answers where ever possible to questions raised at the meeting for which there was no immediate answers at the time? Version 2, March 2011 Page 22 of 29

C O N F I D E N T I A L Appendix 4c Job Trial Plan Name Job Role Grade Employing/contracting body Address Version 2, March 2011 Page 23 of 29

Purpose of this plan The purpose of this plan is for the staff member: Roles and responsibilities for management of this plan The Responsible Manager identified by the employer/contracting body is: Name Job title The Professional Supervisor is: Name Job title Human Resources Representative Name Job Title Name Job Title Version 2, March 2011 Page 24 of 29

Post in which the staff member will be completing this plan On successful completion of the plan it is proposed that Progress review At the 4-6 week stage there will be a review of the Job Trial, by the Responsible Manager, Supervisor and Human Resources representative. Version 2, March 2011 Page 25 of 29

Agreement All parties agree to the outcomes set out in the plan and will take forward the Job Trial as set out in the plan, adhering to the accompanying notes. If further outcomes need to be added to the plan, these may be added following agreement of all parties. Staff member Name Signature Date Responsible Manager Supervisor HR Manager Version 2, March 2011 Page 26 of 29

(to be copied for each outcome usually no more than 6 outcomes) Action Plan Outcomes OUTCOME 1 Topic: Specific outcome How will this outcome be achieved? How Where Supervised/supported by Resources required (including funding and provider of funding) Timescale Supportive evidence Individual responsible for monitoring/sign off Version 2, March 2011 Page 27 of 29

(to be copied for each outcome usually no more than 6 outcomes) OUTCOME completion OUTCOME 1 Review Date Staff Comments Signed: Date: Supervisor Comments Signed: Date: Manager Comments Signed: Date:

Redundancy entitlement letter Appendix 4d This needs to include the following: The number of weeks notice, in accordance with the contractual notice period The effective date of the redundancy, which will also be the last day of service The number of days outstanding annual leave, where applicable, will be paid in lieu The amount of redundancy payment/enhanced pension benefits will be paid, where applicable What efforts will be made to assist the individual in seeking alternative employment during the notice period What support is offered during the notice period e.g. CV and interview preparation What work the individual will be expected to undertake during their notice period What reasonable time off with pay will be given to seek and prepare for alternative work, including appropriate training Early release will normally be given, unless there are compelling service reasons to the contrary, if the individual is successful in obtaining other employment outside the NHS and wishes to take this up during the notice period; the date of early release will then become the revised date of redundancy for the purpose of calculating any entitlement to a redundancy payment The right of appeal against the selection for redundancy or the terms of the redundancy Change management (3R s) policy Version 2.00, March 2011 Page 29 of 29