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Developing new and more efficient ways of working, whilst managing the change this involves, will become essential factors over the coming years as local authorities continue to adapt to the challenges the future holds.
Therefore, the Council needs to be flexible in adapting its structures and work organisation to ensure it has the right capabilities to deliver its services in the most appropriate manner.
Symptoms that might indicate a need for organisational restructuring include:
It is recognised that whatever organisational change is necessary, the Council can only be successful through the effective employment and utilisation of its workforce, therefore it is necessary to have a balanced and fair approach to restructuring, and when necessary to redundancies.
Before any restructuring, whether minor or major, is considered advice and guidance must be sought from Human Resources.
Those responsible for restructuring must work with Human Resources to establish a Transition Plan from the old to the new structure, which is clear and transparent and communicated to all involved.
The Transition Plan should identify the following elements:
Specific jobs, that have a clear match between the old and new structure, will be identified at the earliest opportunity, and post holders will be slotted into what is effectively the same job in the new structure and notified as soon as possible. A "directly comparable post" will be a post where a post in the new structure has been created from one role in the old structure with no significant additions or reductions and there is only one potential post holder at risk. On the converse, where for example a role in the new structure combines aspects of two or more roles from the old structure the post holders at risk will all be ring fenced to the new role.
There may be instances where the change may take some time to implement, in which case maximum employee flexibility and involvement is required. This could result in staff carrying out different duties than before, which may subsequently change again, this is particularly relevant with the introduction of new technology. It is important that we recognise this fact and adopt the following principles:
Before any new structure is approved, any newly defined jobs within the scope of the National Single Status Job Evaluation Scheme must be evaluated.
In the case of a major restructure of Services, it will be necessary at the end of the process to identify any unchanged posts that appear inconsistent, in respect to the evaluated new posts and for check job evaluations to be carried out and the results implemented.
A restructuring report must be provided that will include:
Job Descriptions and Universal Competency Framework based Person Specifications in respect of changed jobs must be completed at the earliest opportunity by those carrying out the review and accompany all letters confirming appointments, which will be sent out by Human Resources (unless these are to be developed in conjunction with the post holder as part of the consultation process).
The report will be considered by the Chief Executive at Management Team utilising the power delegated by Full Council on the 31st May 2011.
Part 3 10 Delegated to Officers No. 11
“Regarding, restructuring and the fixing of staffing levels except in cases where Section 4 of the Local Government and Housing Act 1989 makes it appropriate for the full Council to consider any specific proposals of the Head of Paid Service in this regard.” To be delegated to the Chief Executive.
In cases where a new structure is introduced and the duties do not fit the definition of "directly comparable" as set out in 2 above, those posts will be “ring fenced" (where appropriate) to the Department(s) and staff will be invited to apply for these posts by way of Application Form and interviews which will take place in accordance with the Council’s Recruitment and Selection Policy. No post will be advertised externally until it has been established that there are no suitable internal candidates. Trade Unions will be consulted at every stage.
The Council’s Protection Policy will apply in the event of any downgrading occurring. Where there is a dispute on "directly comparability" an appeal must be lodged in writing to their Head of Department/Assistant Director clearly stating their grounds of appeal. See the Council’s Appeal Policy for details.
The Council will seek to safeguard the job security and prospects of all of its employees. However as it adapts to change, the composition and size of its workforce may need to be reviewed from time to time and there may be occasions when, as a result of the adaptations, some jobs become redundant.
In these circumstances, the Council will seek to offer suitable alternative employment to any employee whose job is redundant and compulsory redundancy will only be instigated once all reasonable alternatives have been explored within an appropriate timeframe.
When redundancy is unavoidable, the Council will initially seek, wherever possible, to select employees who volunteer for redundancy, before resorting to compulsory redundancy. However, because of the need to retain essential knowledge and skills within the Council, those who volunteer for redundancy will not automatically be selected.
Other than in exceptional cases (e.g., cover for maternity leave), which will be a dismissal for “some other substantial reason,” the completion of a fixed term period of employment may also be a redundancy* and the same arrangements will apply to that of a permanent employee (*Fixedterm employees have a right to statutory redundancy pay if they have been continuously employed for two years or more).
The recognised trade unions will have full involvement throughout the procedure and employees may be accompanied by their trade union representative, or work colleague at any stage of the procedure.
This procedure will apply where one or more employees are at risk of, or under notice of, redundancy by the Council.
A dismissal because of redundancy is defined as follows by the Employment Rights Act 1996:
An employee who is dismissed will have been dismissed for redundancy if the dismissal is attributable wholly or mainly to the fact that:-
(a) The employer has ceased or intends to cease:
(i) To carry on the business for the purposes of which the employee was employed; or
(ii) To carry on the business in the place where the employee was employed; or
(b) The requirement of the business for employees:
(i) To carry out work of a particular kind; or
(ii) To carry out work of a particular kind in the place where the employee was employed; have ceased or diminished, or are expected to cease or diminish.
This is the definition that is relevant for the purposes of determining whether or not a dismissal is fair and whether or not the employee is entitled to a redundancy payment.
This definition referred to above does not in any way prejudice the application of the Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE), where these are deemed to apply, or the mobility clause contained within the Staff Handbook.
Redundancy may also occur where re-organisation of a service, section or job will result in significant changes or reduction in the nature of the work,
the hours, the salary, the job location or status. However, redundancy is a complex area of employment law so managers must involve Human Resources as soon as they become aware that a redundancy situation might occur.
The Council will notify, for the purposes of consultation, the recognised trade unions, in good time, where there is a proposal to make one or more employees redundant. The statutory minimum consultation periods for proposed redundancies set out below will always be observed – these are:
The Council will disclose in writing basic information relating to:
Any consultation will also seek ways of:-
For details of a model consultation procedure please see Appendix A.
‘Collective Consultation’ rules must be followed if the organisation (defined as the whole of the organisation) is intending on making 20 or more employees redundant within any 90-day period.
There are no set rules to follow if there are fewer than 20 redundancies planned, but its good practice to fully consult employees and their representatives.
Notification
The Redundancy Payments Service (RPS) must also be notified before a consultation starts. The deadline depends on the number of proposed redundancies.
Notify RPS by filling in form HR1. Instructions on where to send it are on the form.
The deadline for notifying RPS depends on the number of proposed redundancies.
The authority could be fined an unlimited amount if RPS are not notified.
Rapid Response Service: rrs.enquiries@dwp.gov.uk
The Council will, wherever possible, consider all reasonable steps to minimise the effect of redundancy, including but not limited to:-
Where redundancies may arise from a restructure within or across services, any new posts may be “ring fenced” depending on the circumstances to employees at risk of redundancy according to the particular circumstances. If a post cannot be filled from existing employees within the same tier, vacancies will be opened up to the tiers below. If the above measures have not been successful and it remains necessary to consider redundancy, management will consider asking for volunteers for redundancy or early retirement. In order to maintain future service delivery the Council reserves the right to decide whether a particular employee should be allowed to leave.
The Council will take all reasonable steps to seek suitable alternative employment (redeployment) for employees whose jobs are deleted and who are at risk of redundancy. A Redeployment Guide can be found in Appendix B. The general principles regarding redeployment are as follows:
Every employee at risk of redundancy will initially be offered support from their manager and Human Resources. This could include:
After the initial contact has been made about the support available, it is the responsibility of the line manager, Human Resources and the employee to keep in contact with each other about ongoing support.
In certain cases of redundancy, selection will not be relevant, as in such circumstances where either one employee, or an entire group of employees are identified as redundant. In these circumstances, redeployment will be sought. Where this cannot be arranged, redundancy will apply.
Where there is scope for selection, volunteers for redeployment or redundancy will be sought first, from among the group of employees identified as at risk of redundancy.
Where it is appropriate to seek volunteers from among a wider group of employees across the Council, then a trawl for volunteers will be conducted throughout those areas, as identified previously. Any such volunteers will be released only on the condition that their post is filled by an employee who would otherwise be made redundant, subject to a review of all relevant circumstances.
The Council reserves the right to refuse a request by any employee for voluntary redundancy. Such a request will not, however, be unreasonably
refused and refusal will normally be for reasons related to the need to retain knowledge and skills. There is no right of appeal in the event of a refusal in respect of an applicant refused voluntary redundancy. Where volunteers are not forthcoming or are insufficient, then selection of employees for compulsory redundancy will be necessary. For purposes of compulsory redundancy, employees will be selected primarily on their ability to undertake the duties and responsibilities of the posts, which are retained.
Management will confirm the selection criteria for redundancy in writing following consultation with the recognised trade unions. The aim of the selection will be to retain the necessary skills and competencies required, to maintain the level and quality of service required.
The criteria must be reasonable, fair and objective and must be free from any discrimination or biasness. Managers must involve Human Resources when deciding the selection criterion which is likely to include:
An example process is set out in Appendix D.
Selection will be undertaken by means of interview and (where considered appropriate) testing and other assessments (including psychometrics and the use of assessment centres) against the competency criteria for the post, as set out in the Person Specification. Any tests used, must be objective and relevant to the post(s) concerned.
All employees involved must be given the same assessments, which should be reviewed by the same Panel. Interviews will be carried out in the most objective manner possible and care will be taken to ensure best practice in respect of equality and diversity. It is advisable to work jointly with Human Resources and a trade union representative and it is important that a thorough written record is retained.
Managers should provide feedback to individuals on how they scored against the criteria. Where they have not been part of the assessment panel copies of the results should be made available to the recognised trade union.
Taking account of the number of jobs available, the number of employees who best meet the criteria, will be retained or appointed as appropriate. Employees who are not selected, will be dismissed for redundancy, or where possible redeployed to other suitable posts.
The selection process above will operate to the same standards which would apply to the process of normal recruitment and selection in accordance with the Council’s Recruitment and Selection Policy. Where it is felt appropriate to use different selection criteria, this will be jointly agreed with trade unions in advance of the selection.
Once full consultation has taken place and the selections for redundancy have been confirmed, employees will be given redundancy notices. Redundancy notices should confirm the following information:
Periods are set out in the employee’s Written Particulars of Employment. Employees will be required to work their notice period. In exceptional circumstances, they may ask/be asked to leave before notice expires. In the event that a manager feels it is not in the Council’s best interest for the employee to work his/her notice period, this should be discussed with Human Resources. All circumstances must be taken into account including the risk to the Council of the employees remaining in posts and the loss of the employee’s knowledge/skills in advance of the redundancy date. Employees can continue, and are encouraged, to look for alternative redeployment opportunities throughout their notice period.
Compensation will, in addition to normal remuneration to the date of termination, become payable to employees who are dismissed by reason of redundancy, subject to the provision of statute, other relevant regulations, the Council’s policies and procedures and according to individual entitlement. A redundancy payment formula, set out in Appendix E to this policy. Such payment will take into account
(a) Previous continuous service with local authorities and other organisations specified within the Redundancy Payments (Continuity of Employment in Local Government etc). Modification Order 1999 and the Transfer of Undertakings (Protection of employment) Regulations 1981.
(b) A calculation based on the employee’s actual week’s pay
(c) For employees over the age of 55 the immediate release of pension benefits. In certain circumstances a lump sum payment in lieu of statutory or contractual notices (whichever is the longest where the whole or part of the period notice is not given). However, the employee will where possible be required to service his or her statutory or contractual period of notice. Employees will lose their entitlement to a redundancy payment in the following circumstances:
Managers should ask all employees to provide written confirmation that they will not be taking up employment with a body specified in schedule 1 of the Modification Order 1999 in a timescale of less than 4 weeks from their last day of service with the Council. The most likely example of such an employer is another local authority. NB: this includes returning to work for Tendring District Council in any capacity. If the employee is redeployed by the Council or by a body covered by the Order under the above timescales he/she will not be paid a redundancy payment. Human Resources will make the employee aware of the Order and discuss the potential monetary implications with them. If the employee does not qualify for a redundancy payment, the Modification Order does not apply.
If an employee does take on a new job with a Modification Order body in these circumstances, the provisions relating to a trial period in the ERA will apply. Therefore, if the employee decides not to continue with the job during the first 4 weeks he or she will be able to terminate the contract (whether with or without notice) and receive a redundancy payment from the old employer.
If there has been a break in service of eight days or more between employment with the Council or with a body covered by the Modification
Order then service has been broken for the purposes of continuous service calculations. Where an employee returns to local government service following a break for maternity reasons, or reasons concerned with caring for children or other dependents, he or she is entitled to have previous continuous local government service taken into account, proving that the break does not exceed eight years and that no permanent paid full time employment has intervened. Where this has occurred the period of the break itself does not count, although the period of continuous service prior to the break will count towards eligibility for, or calculation of severance payments.
Employees under notice of redundancy will be granted reasonable time off with pay to look for alternative employment or to make arrangements for training. Such time off must be approved in advance by the relevant Manager. Employees must give reasonable notice of time off to their manager and interview expenses will not be paid.
If an employee feels aggrieved about their selection for redundancy they should lodge an appeal in writing with their Assistant Director/Head of Department, giving details of the reasons as to why the employee is aggrieved. This must be submitted within the timescales required by the Council’s Appeal Policy.
The dismissal of staff up to and including Management Team Member level as redundant, or by way of a mutually agreed Compromise Agreement is delegated to the Chief Executive (except where Section 4 of the Local Government Act 1989 applies).
Whilst the redundancy definition set out in the Council’s Redundancy Policy and Procedure will fit some restructuring scenarios, there may be other exceptional circumstances where the Council judges it necessary, in the interests of the efficient exercise of its function to exercise its discretion to offer early release to employees. These circumstances may include:
In cases of early release, the following compensation arrangements will apply
Following redundancy and receipt of a redundancy payment, ex–employees are not permitted to be re-employed by the Council for a minimum of one year. The only exception to this is in relation to appointments made by the Returning Officer during District Elections and By-Elections.
For posts that are politically restricted, in line with the above, political restriction continues to apply for two years after leaving the employment of Tendring District Council.
For advice and guidance on the interpretation of this Policy and Procedure, contact Human Resources.
Appendix A
MODEL REDUNDANCY CONSULTATION PROCEDURE
1. As soon as an Assistant Director/Head of Department becomes aware that redundancies might occur the situation is reported to Management Team as a matter of urgency. Management Team asks Human Resources to support the process including consultations with recognised trade unions and the employees likely to be affected.
2. At this stage the Assistant Director/Head of Department may not have detailed information but they still consult as soon as possible and do not wait for the statutory minimum time-scale to start.
3. When more detailed information becomes available the Assistant Director/Head of Department and a member of the Human Resources team meets with the recognised trade unions and put the following in writing:
4. The purpose of consultation is to seek ways of avoiding redundancy dismissals.
5. In addition to consulting with the recognised trade unions, the Assistant
Director/Head of Service meets with individuals at risk of redundancy to explain:
(Only once meaningful consultation has been carried out can notices of redundancy be given.)
6. Human Resources make available to the employees at risk of redundancy:
Appendix B
REDEPLOYMENT GUIDE
1.0 Offers of alternative employment
1.1 All reasonable efforts will be made to re-deploy employees at risk of redundancy into suitable alternative employment within the Council.
1.2 When considering suitable alternative work the following should be taken into account:
1.3 A member of Human Resources will advise the employee of his/her rights
under the redundancy and redeployment policy and procedure and will interview the employee at risk to ascertain their skills, competencies and personal preferences for redeployment. This information will be recorded and retained on a “redeployment register”. The employee will be sent a job description and person specification and will be invited to express their interest in roles that are within their capability. They are expected to attend any interviews for jobs if they meet the competency criteria outlined on the Person Specification.
1.4 Where there is only one short-listed applicant for a post, an informal interview will be arranged. Where more than one “at risk” employee is short-listed the Council’s recruitment and selection code of practice must be followed. Please see Protocol for redeploying employees, Appendix C.
1.5 An employee at risk of redundancy will be considered before any other applicants for vacant posts.
1.6 The Workforce Planning Panel will have a positive regard for the Redeployment Register when considering vacancy requests and service restructuring.
1.7 Managers will not advertise externally any positions where there are employees at risk of redundancy who meet the competency requirementsof the person specification.
1.8 The Council will provide appropriate and reasonable training required by the employee to adapt to the duties of a suitable post. The costs of such training will be borne by the restructuring service and will not exceed the costs of redundancy.
1.9 Consideration should be given to retaining an employee in a temporary capacity until permanent vacancies arise. This is particularly appropriate where vacancies arise regularly and does not affect the employee’s right to a redundancy payment should a permanent vacancy not be found.
1.10 Any offer of an alternative position should be made in writing before employment ends and to start within four weeks of the date of redundancy. If these time scales are not adhered to, then the employee will be entitled to a redundancy payment. The offer should make it clear how the new employment differs from the old.
1.11 Where an employee has been offered what Human Resources considers suitable alternative employment and he/she has unreasonably refused, then the right to a redundancy payment may be forfeited.
1.12 In deciding whether a refusal is unreasonable each case will be judged on its own merits taking into account the employee’s circumstances.The employee must demonstrate to the HR Manager why they feel it is unsuitable.
1.13 Where an employee accepts an offer of alternative employment they will be entitled to a four-week trial period. This is a two way process to assess the employee’s suitability for the job. Trial periods may be extended by written agreement for training purposes only and must be agreed before the start of any trial period. The trial period must be for a set length of time, and take service needs into account.
1.14 At the end of the trial period the employee will either be confirmed in the post, or if the new job is found to be unsuitable on the part of the employee or employer then further suitable alternatives will be looked for (see 1.12 above). An employee will only be made redundant and receive the appropriate redundancy payment if all reasonable attempts to redeploy them have failed or they are unsuccessful.
2 Redeployment to a lower graded post
2.1 All reasonable efforts will be made to re-deploy employees to similarlygraded posts. However, situations may arise where the only redeployment opportunity, which can be offered, is to a lower graded post. It is in the Council’s interest to encourage employees who have valuable skills, experience and competencies to remain employed. If this situation arises, the Council will pay a protection payment based on the following:
2.2 In calculating the payment protection, all elements of contractual pay will be included, i.e. basic pay, contractual overtime, and any other contractual allowance. Any non-contractual overtime will not be included. Annual leave entitlement will not be protected.
2.3 The monthly payment will be subject to statutory deductions, in the normal manner.
2.4 After redeployment to a lower grade, the employee may request continued priority for vacancies where they meet the competency criteria of the person specification. This will be provided for a period of up to 12 months following the redeployment.
3 Reduction in hours of the current post / redeployment to a post on fewer hours
3.1 If the hours that the employee works are reduced, due to a change in the service requirements, or the employee is re-deployed to an alternative post on fewer hours the payment protection will apply as above.
4 Redeployment to a higher graded post
4.1 Where a post or a number of posts are deleted, and a new post is created at a higher level, those employees whose existing post is deleted will be given prior consideration, provided that:
5 Redeployment to an alternative location
5.1 In the event that the employee is redeployed to an alternative location, the Council will reimburse travel costs as outlined in the Disturbance Policy.
Appendix C
PROTOCAL FOR REDEPLOYING EMPLOYEES
This protocol must be read in conjunction with the Council’s redundancy and redeployment policy and procedure.
1. If a new job is created and comprises a substantial amount of one or more employees’ current duties it will be considered as ring-fenced to these employees.
2. If there is only one employee ring-fenced, the manager will discuss with Human Resources whether or not it is necessary for the employee to be interviewed, or whether he/she can be ‘slotted in’ automatically.
3. The procedure for redeployment: All ring-fenced employees will receive the job description and person specification for the job and be asked to demonstrate how they meet the essential criteria in the person specification. If an employee doesn’t meet one or more of the essential criteria they must state what support/training they will require in order to meet it/them. This is in line with the Council’s intention to provide appropriate and reasonable support and development opportunities to an employee at risk of redundancy as detailed in this Policy. All ring-fenced employees who apply will be interviewed in line with the criteria set out in the Council’s Code of Practice on Recruitment and Selection. The highest scoring employee will be offered the job.
4. An employee who is not successful for redeployment at his/her current level in the Council will be considered to be ‘at risk’ of redundancy. He/she may applyfor redeployment to a lower graded post in line with 3 above.