Organisational Change Procedure

The Organisational Change Procedure provides guidance on the University’s procedure for organisational change.

Policy Owner:	Human Resources
Approved By:	Executive Board: December 2016
Consultation Completed:	Trade Unions: February 2017
Equality Impact Assessed:	TBC
Date of Issue:	March 2017
Review Period:	Annual or as required by legislation

Organisational Change

1 Introduction

Queen Margaret University recognises that change is integral to organisational life and is committed to managing change processes effectively in a transparent way, engaging and consulting with staff and their representatives in anticipation of change as well as its implementation.

This procedure aims to provide a fair and consistent approach and framework for delivering a staffing profile which is aligned to the University’s academic and business plans. It ensures compliance, as a minimum standard, with legislative provisions and guidelines and in so doing contributes to the continuation of a positive employee relations climate within the institution.

The procedure also aims to minimise uncertainty, anxiety and disruption amongst staff during periods of significant organisational change by providing clarity in what they can expect to happen when directly affected by organisational change, and in particular, re-structuring.

2 Scope

Organisational change covers a wide range of possible events, many of which are already embedded in the University’s academic and administrative policies and procedures. The application of this procedure is appropriate when circumstances arise or are anticipated which will directly impact upon staff and require re-structuring, and/or significant changes to, for example:

The way in which work is organised and managed within teams, (where individual fixed term contracts are coming to an end the Exit Management Policy and Procedure applies)
The continuing ability to finance particular work such as research projects
The volume and type of workload undertaken
The duties, roles, responsibilities or working practices of individuals or groups of staff
The numbers of staff employed either in total or in a specific context, location or activity

This list is indicative, not exhaustive.

The procedure provides guidance where as a result of these changes, job losses and / or redeployment may occur.

With the exclusion of QMU Executive Board (where a separate provision is made), the procedure applies to all staff whether on full-time or part-time contracts.

The procedure does not apply to agency staff, freelance or self-employed people or anyone else who is not employed by the University under a contract of employment.

The application of this procedure will take into account the provisions within other University policies and procedures, for example:

Health and wellbeing
Learning and development
Job evaluation
Diversity
Equal Opportunities
Flexible Working
Dignity at Work

Again, this list is indicative, not exhaustive.

In particular, Queen Margaret University is committed to ensuring that this procedure does not discriminate directly or indirectly on grounds of race, colour, ethnic or national origin, religion or belief, gender, gender reassignment, sexual orientation, marital status, disability, age, or trade union membership and activity.

Legislation provides for specific measures under these circumstances to protect the interests of employees with a disability and women on maternity leave. Again, the University is committed to complying with these provisions in full.

3 Establishing a new structure

3.1 Where parts of the University are under consideration of organisational change, notification of intention will be provided to trade unions at a special meeting of the JNCC. Trade unions will be consulted on the principles and criteria to be applied in assessing any restructuring.

3.2 Initial draft proposals will be subject to collective consultation with trade unions in order to offer constructive suggestions with a view to avoiding any potential redundancies.

3.3 Revised proposals for restructuring will then be proposed. A consultation paper including comparative organisation charts will be produced to reflect the managerial and reporting arrangements in both the existing and proposed new structures. The relevant department will be responsible for the preparation of the organisation charts in conjunction with HR.

3.4 The case for proposed re-structuring, including the financial implications of the change, will be submitted to SMT for approval, unless subject to project funding in which case approval should be sought from the relevant EB member

3.5 Where posts in the proposed new structures represent significant changes to posts in the current structures, the relevant line manager – with assistance from HR if required – will prepare role profiles for the new posts and these will be graded by HR and sent to the Validation Panel for validation following the HERA job evaluation process. Once posts have been graded, a comparison of job grade, qualifications and essential criteria will be made between the job descriptions of the posts on the new structure and those on the current structure to determine which posts, and which employees, may be directly affected by the re-structuring.

3.6 The new structure may consist of a combination of posts which are directly comparable with (or the same as) posts on the current structure, and posts which are new or reflect significant changes in the role(s).

3.7 If the proposed reduction in the number of posts is such as to possibly lead to 20 or more redundancies over a 90 day period, this represents a ‘collective’ redundancy and will be subject to the appropriate statutory consultation with representatives of the recognised trade unions in the first instance, as well as the individual staff who may possibly be affected in due course.

4 Transferring to posts in the new structure

4.1 The Line Manager and HR meet with the employees whose posts are affected by the proposed re-structure or change to commence the Consultation Process. A consultation document will be provided at the meeting providing timescales for affected employees to respond to the consultation. Consideration will be given to responses received and the consultation document amended where applicable.

4.2 As part of this consultation, and in conjunction with Human Resources, the following actions should be considered as a priority to minimise the number of potential job losses:

Recruitment freeze to vacant posts
Reduction or elimination of agency employment
Termination of consultancies or outsourced contracts at renewal
Voluntary severance scheme across the university
Temporary reduction in contractual hours

4.3 If the proposed need to reduce numbers employed and implement redundancies remains, consultation with the trade unions will include the provision in writing of the following:

The reasons for the proposed redundancies
The numbers and categories of employees who are considered to be ‘at risk’ of redundancy
The proposed method of implementing redundancies, including criteria for selection for compulsory redundancy from the pool(s) of employees at risk (see 5.10 below).
The time period over which the redundancies will be carried out
The opportunities for voluntary severance
The proposed parameters for calculating redundancy compensation payments
Reduction in contractual hours and other flexible working arrangements with suitable incentives and pension protection

4.4 When the consultation period is complete and the structure is decided, where the re-structure or change determines that there will be less posts available , all existing posts directly affected by the re-structure will be put “at risk” until such time as the matching and selection processes have been completed and staff are appointed into the new posts.

4.5 Once employees are identified as ‘at risk’ of potential redundancy they will be consulted individually (accompanied if desired by a colleague or trade union) by their line manager at the earliest opportunity and informed of the reasons why they are considered to be at risk. They will be invited to make any representations concerning this status within 10 working days of the individual consultation (or as otherwise agreed) to their line manager.

4.6 Any representations received within the agreed period will be fully considered by the line manager and any subsequent recommendations from the line manager submitted to appropriate Executive Board member before a final decision is made by Executive Board on the number of potential redundancies and the identity of those employees potentially ‘at risk’ of being made redundant. These “at risk” employees will be entered on the ‘Redeployment Register’ and active consideration under the redeployment procedure commenced (see below).

4.7 Being designated as ‘at risk’ does not of itself mean that individual contractual notice of termination on grounds of redundancy need be issued. The timing of the formal confirmation of contractual notice of termination will be determined by the programme for implementation of a new structure and / or reductions in numbers employed.

4.8 Where it is necessary to designate staff as ‘at risk’ but as part of a pool from which selection for redundancy will then follow, it may be that an appointment process to new posts, or to a reduced number of current posts (see 4.1 and 4.2 above), will serve to confirm to those staff not successful in securing such an appointment that their post is at risk of redundancy. Alternatively, selection for redundancy from a pool may be through assessment against criteria such as skills and experience.

Where the number of existing posts match the number of posts in the new structure matching or selection will follow. Where the existing post holder is neither matched nor selected for a new post redeployment opportunities will be explored.

4.9 Matching

Where required a matching panel will be convened, the panel will consist of the relevant line manager, the department senior manager, HR and one other manager from out with the department in which the re-structuring is taking place.

Where the Matching Panel determines that there is little or no change to jobs or responsibilities in the old and new structures, and the grade is the same, posts will simply transfer into the new structure (i.e. there will be no need for selection). Where a new higher grade is being introduced a matching exercise will be carried out comparing the competencies and essential criteria of the existing role against those of the new role.

Normally where not less than 75% (notionally) or more of the job in the new structure reflects the current post the existing post is matched to the new post. This is known as ‘matching’.

4.10 Selection

Where significant elements of a new post are reflected in a number of current “at risk” posts, but these elements are insufficient to enable a match i.e. less than 75% the employees in these current “at risk” posts will have the first opportunity to compete for the available post. This is known as “ring fencing” and restricts the selection process to those affected by the re-structure. Management will establish and circulate to these staff the selection criteria for the new post based on the competencies and essential criteria described in the job description. Staff will need to meet the essential criteria for the new post, or reasonably be expected to meet these criteria after appropriate support and training. Selection by competency based interview (and the use of other appropriate assessment techniques) will follow the normal appointments process.

In the event that, after interview a suitable candidate cannot be identified from the employees in the “at risk” posts or from the Redeployment Register, the new post will be available for application from all staff (including those not “at risk”) and subject to a competitive interview process.

Redeployment

Where the existing post holder is neither matched nor selected for a new post, they will explore with the Dean or Director, options for redeployment, including the provision of appropriate training. Where a post is available at a lower grade for which they have appropriate competences, they may be offered the opportunity to move into that post without loss of earnings or conditions, normally for a period of four years

5 Avoidance of redundancy / redeployment

5.1Eligibility for consideration for redeployment will be for staff designated ‘at risk’ of redundancy and staff under formal notice of redundancy, and will exclude any staff who may have volunteered and been accepted for voluntary severance.

5.2Eligible staff will be entered on the Redeployment Register which will be maintained by Human Resources. In order to enable optimum consideration for redeployment, registration will normally include the submission by the individual (with assistance as necessary) of a summary CV in a standard format identifying their key qualifications, experience, expertise, particular skills and employment interests. In addition, the current details of grade, salary, job title, school or department and, if known, expected date of redundancy will be registered.

5.3 Vacancies which arise within the University, and which are approved for appointment via the VAP process, will be available in the first instance and prior to advertising internally or externally, for consideration by staff on the Redeployment Register. Human Resources will circulate details of the vacancies to staff on the Register together with timescales in which expressions of interest must be received (normally within 7 days).

5.4New posts which are subject to limited competition amongst current postholders, together with posts which are a straightforward reduction in numbers employed as described in 5 above, will be ‘ring-fenced’ for those directly affected in the first instance rather than the wider population within the Redeployment Register.

5.5Eligible staff who wish to express an interest in applying for a vacancy must meet the essential criteria for the post as described in the person specification, or have a reasonable expectation of doing so through re-training within a reasonable time period.

5.6Normally redeployment will only be considered into posts at the same grade as the post currently held although posts at a single grade lower may also be considered appropriate. However, staff on the Register already on that (lower) grade will have priority for interview provided they meet the essential criteria.

5.7Staff on the Register who meet the requirements described in 5.5 and 5.6 will be afforded a priority interview for the vacant post, under limited competition if more than one applicant from the Register is involved.

5.8The interview and selection process will follow the university Recruitment and Selection Procedure, with the exception that external references will not be required. Academic staff seeking redeployment in another discipline or area of interest may, however, present supporting references from relevant external parties together with their standard application.

5.9Where staff on the Redeployment Register are successful in securing redeployment into a post on the same grade, their salary will be maintained and incremental progression and effective dates will be unaffected. On acceptance of a new post any eligibility to redundancy will be lost.

5.10 Where redeployment is into a post on a single grade below that currently held, the salary of the staff member will be protected for up to a maximum of 4 years. During this protected period the salary is frozen and does not attract increments or increases to the salary scales. Protection will cease at the end of the 4 year period or when the maximum point for the grade below (excluding the contribution points) increases to equal or overtake the frozen salary as a result of scale increases, whichever is the sooner. At the end of the 4 year period, the staff member’s salary will be reduced to the value of the maximum scale point for the grade of the post into which they have been redeployed.

5.11 Successful redeployment (including when protection applies) will result in the removal of the employee from the Redeployment Register and the withdrawal of any formal notice of redundancy and ‘at risk’ designation.

‘Successful’ is determined in this context once any trial period is concluded (see 6.4 and 6.5 below).

6 Suitable alternative employment

6.1The university reserves the right to identify particular posts in a new structure or vacant posts in a current structure as constituting ‘suitable alternative employment’ for particular staff ‘at risk’ or under formal notice of redundancy.

Such posts will only be regarded as ‘suitable alternative employment’ through mutual consent with the relevant staff member.

6.2The determination of whether a post constitutes suitable alternative employment will take into account a range of factors including the comparability of the new position with that currently held in terms of grade, hours and pattern of work, contractual status (e.g. fixed term v open ended), location, management arrangements and working environment.

6.3During the probationary period there will be a minimum period of 4 weeks from commencement in a suitable alternative post will be regarded as a trial period following which either the member of staff or the university may conclude that the post does not, in fact, represent a suitable alternative. This period may be extended by mutual agreement in which case further dates for review will be set at the outset.

6.4It is possible for posts in a single lower grade to be considered as suitable alternative employment, particularly if pay protection will apply. Such circumstances will depend on individual salary placings, the grading scale and quantum of future scale increases which may already be known.

6.5Employees will remain on the re-deployment register until there redundancy date as outlined in the formal notice of redundancy, should no suitable alternative employment be found by this date the employee’s employment with the university will end by reason of redundancy. If the employee’s employment is terminated by either side during the trial (or extended trial) period, the employment will be deemed to end on the date the original, redundant post ended for the purposes of calculating any redundancy entitlement and the dismissal will be on grounds of redundancy.

7 Career support

7.1 Once a member of staff is under formal notice of redundancy, and while all internal efforts at redeployment are continuing, the University will make available, where possible, professional, and where appropriate out sourcing support for improving job seeking skills such as assistance with compiling a CV, internet and journal job searching, interview techniques and practice, and opportunities for re-training externally. This may be through a combination of internal expertise, external specialists, and government agencies.

7.2 Staff under notice of redundancy are also entitled to reasonable time off to search for alternative employment, develop employability, attend interviews or appointments with advisers on looking for alternative work.

7.3 In the event of staff experiencing difficulties in coping with the pressures of and / or the impending impact of redundancy, the University provides access to independent and confidential counselling services.

8 Appeals

8.1 During the process of consultation, decisions will not have been finalised and it is therefore not appropriate for appeals to be heard.

8.2 However, once the consultative process is complete, staff have the right to appeal against any decision which affects them directly, particularly if they are notified of redundancy. The University procedures for hearing Appeals against dismissal will be utilised under such circumstances.

Human Resources
2017

Consultation Document Template

Confidential 2016

1. Introduction

Reason for restructuring

This paper describes the current posts and the proposal for change and details the process to transition to the new structure.

2. Current Structure

The current structure (see appendix) is as follows: (attach org charts, current job descriptions)

3. Proposals for Change

(Attach proposed org chart and proposed job descriptions)

4. Resulting Change of Scope

Management of the Consultation Process