Managing Change Policy (Schools) Managing change from Jan 2011 New policy for use in schools.
Managing Change Procedure (School) Effective from 01 January 2007 This procedure does not form part of an employeeâ€™s contract of employment and does not create any contractual rights. 1. Purpose 1.1 To manage organisational change effectively in consultation with affected employees and recognised trade union representatives. 2. Scope 2.1 This procedure applies to all employees at the school appointed by the governing body or headteacher except:Those on fixed-term/temporary contracts whose employment is not terminated on the grounds of redundancy at the end of the contract (eg cover for maternity leave/sickness/specific projects, where there is no reasonable expectation of the contract being renewed) (refer to paragraph 13.2). 2.2 Where a service is transferred(in whole or in part) into or out of the council, the Transfer of Undertakings (Protection of Employment) Regulations 1981 (the TUPE Regulations) may apply. The provisions relating to the transfer of employees is covered in the Code of Practice on Workforce Matters in Local Authority Service Contracts. http://www.communities.gov.uk/pub/98/ODPMCircular032003BestValuePerformanceImprovementwith200 4addendumsPDF196Kb_id1136098.pdf 3. On-going responsibilities 3.1 The governing body and headteacher have an on-going responsibility to ensure that their organisational structures are effective. This includes reviewing the need for posts when they become vacant and reviewing workloads, productivity and the prioritisation of resources.
3.2 The headteacher will tell employees and recognised trade union representatives about change, that may affect them, at staff meetings and trade union consultation meetings.
3.3 The governing body is responsible for determining the school’s staffing structure. The governing body should agree to all proposals to change the staffing structure prior to any change being implemented. All proposals must be properly costed, including redundancy and early retirement costs which will be met by the governing body from the school’s delegated budget unless there is a reduction in the workforce. Where an employee’s fixed term contract is terminated on the grounds of redundancy, and the employee has over two years’ service in the post on the effective date of termination, the Local Authority will not fund any severance payments. 3.4 Relevant HR advice must be sought. 2 4. Authority to Dismiss 4.1 The authority to dismiss may be delegated to the headteacher; one, or more governors; one or more governors and the headteacher. In (school to insert name) school the governing body has determined that the authority to dismiss has been delegated to ………. This is known as the "dismissing body" within the procedure. 3 The Procedure 5. Minor change 5.1 Minor changes to terms and conditions (eg duties, job description or hours of work) should be consulted directly between the headteacher, or the employee’s line manager, and the affected employees and recognised trade union representatives. 5.2 Once consultation has been completed the headteacher will issue the employee(s) concerned with written confirmation of the proposed change(s), and implement the change once written acceptance is received from the employee(s). 5.3 The obligation to inform and consult the trade unions on proposed dismissals on the grounds of redundancy, as set out at paragraphs 6.5 to 6.8 below, also arises where it is proposed to dismiss and reengage employees on new terms and conditions. 6. Major change 6.1 In the case of major change, the headteacher should draw up a service review plan for consultation with the affected employees and the Branch Secretaries of the recognised trade unions as early as possible. 6.2 The service review plan should include: (a) The management case for the change
(b) The postholders/workgroups who will be affected by the change
(c) Any posts/employees who will be excluded from the scope of the review
(d) An indicative structure, including numbers of posts (if available)
(e) The existing structure, including numbers of posts
(f) Draft job paperwork, if available
(g) A timetable for the change to be consulted on and implemented. 6.3 Headteachers are responsible for ensuring that consultation with affected employees and recognised trade union representatives takes place at each stage of the process with the aim of reaching agreement on proposals. Where this is not possible, the manager leading the review must state clearly where, following consultation, changes will be introduced without the agreement of affected employees and/or recognised trade union representatives. 6.4 Affected employees who are not currently working in their substantive posts (eg, those on maternity or paternity leave /secondment/extended leave) will be consulted. 6.5 Where redundancies are possible the headteacher must inform, in writing, the Branch Secretaries of the recognised trade unions for the work groups affected of the following: • The reasons for the proposals, including relevant budget information;
• The number and descriptions of employees the employer proposes to dismiss as 4 redundant;
• The total number of employees of that description employed at the establishment in question;
• The proposed method of selecting the employees who may be dismissed;
• The proposed method of carrying out the dismissals, including the period over which the dismissals are to take effect and;
• The proposed method of calculating the amount of any severance payments to be made (other than statutory redundancy pay) to employees who may be dismissed 6.6 Consultation with affected employees and recognised trade union representatives must include clear proposals for avoiding the dismissals, reducing the number of employees to be dismissed and mitigating the consequences of the dismissals. For example, by managing recruitment and using acting-up/secondment arrangements as appropriate in advance of the implementation of the review. This must be undertaken with a view to reaching agreement with the representatives. 7. Ensuring effective service delivery during times of change 7.1 In order to manage change effectively headteachers should consider temporarily acting staff up for up to three months. Acting up opportunities to higher graded posts for more than three months will be advertised within the school and will be followed by interview. 7.2 As an alternative Headteachers may also award Support Staff up to four additional increments above the maximum of their current grade for up to 18 months in return for undertaking duties additional to their current post. 8. Drafting new/revised job paperwork 8.1 The headteacher is responsible for revising/drafting job paperwork for each post in the proposed structure and consulting with affected employees and recognised trade union representatives. Finalised job paperwork should be submitted for evaluation/re-evaluation and notification of resulting grades. 8.2 Where change results in reduction in an employee's contractual pay, contractual pay protection will apply (refer to paragraph 14 below). 9. Drafting a new organisational structure 9.1 Each post in the existing structure should be classified as: • Unchanged - where the job content is little changed from the existing or
• Changed - where the job content is significantly different from the existing or
• Deleted – where there is a changed or reduced need for work of a particular kind leading to a loss of posts, or a service or function has been discontinued or a workplace is being closed. 9.2 New posts are those where there is no equivalent post in the existing structure. 9.3 It is for the headteacher to decide whether a post is unchanged or changed following 5
consultation with affected postholders and recognised trade union representatives. Factors that may be taken into account include: ? The grade of the job
? The similarity/difference between the current and new job descriptions and whether the differences relate to key elements or minor ones
? The "actual" role that the postholder has been undertaking and for how long. 9.4 It should be noted that classification of a post as changed or deleted could result in the same outcome for a postholder (ie, that their employment may be terminated on the grounds of redundancy). 10. Drawing up ring fences and methods of appointment 10.1 Only postholders at risk of redundancy may be included in ring fences. 10.2 An employee who is acting-up/seconded to a post and who has another job in the school that is their substantive post (ie not an acting-up or secondment position) may only be included in ring fences that relate to their substantive post. 10.3 Where the number of posts is less than the number of postholders who could be considered for them, there will be two ring fences based on the length of their continuous service (which is continuous service in local government including other bodies covered by The Redundancy Payments (Continuity of Employment in Local Government, etc.) (Modification) Order 1999 (as amended)): (a) A primary ring fence for postholders with two or more years' continuous service
(b) A secondary ring fence for postholders with less than two yearsâ€™ continuous service New/changed posts 10.4 A postholder will be included in a ring fence for each changed post that includes work currently undertaken by that postholder, taking into account the purpose, content, level and grade of the existing and proposed posts. 10.5 A postholder will be included in a ring fence for each new post where there is some overlap in the job content of the existing and proposed posts. 10.6 Any decision to exclude or include a postholder from a ring fence must be justifiable in objective terms and with all evidence available to support the decision. 10.7 Postholders in a ring fence will normally be expected to undergo a selection process on a competitive basis to determine how far they meet the essential criteria in the employee specification. The selection process will normally apply even if there is only one postholder in the ring fence. References may be sought. Exceptionally and only where a large proportion of the workgroup are involved, this may be varied, provided that the proposed arrangement: â€˘ Is clearly defined and transparent;
• Is based on objective criteria; 6 • Does not disadvantage any particular groups in the workforce; and
• Is approved by the governing body. Unchanged posts 10.8 Where the number of unchanged posts is equal to or greater than the number of postholders who could be considered for them, then the postholders will be directly appointed. 10.9 Where the number of unchanged posts is less than the number of postholders who could be considered for them, the headteacher should consult their HR Adviser on the use and application of one or more of the following selection methods. These should be the subject of consultation with the affected postholders and recognised trade union representatives: • Use the ring fence and selection process outlined above
• Seek volunteers for redeployment; or
• Apply reasonable and objective selection criteria, such as:
o Qualifications and skills
o Live sickness absence warnings on file (subject to the duty to make reasonable adjustments under the Disability Discrimination Act 1995)
o Performance, in particular performance management reviews or a live performance improvement plan on file
o Live disciplinary warning on file 11. Approving the organisational structure, ring fences and methods of appointment 11.1 The Full Governing Body determines the organisational structure for the school. The (insert name) committee determines pay and grading for all leadership group positions. The Governing Body's Selection Committee makes appointments to these posts, except in the case of appointments to the posts of
headteacher and deputy headteacher, where the Selection Committee makes a recommendation for approval to the Full Governing Body. 11.2 The Headteacher should determine ring fences and methods of appointment. Headteachers have the discretion to seek the views of a committee of the Governing Body before finalising proposals for change 11.3 Any change to terms and conditions of employment affecting a workgroup requires the approval of the relevant committee of the governing body. 12. Progressing change 12.1 Once consultation has been completed and the organisational structure, ring fences and methods of appointment have been approved, the headteacher will issue each affected postholder with written confirmation of: (a) Their status within the review (i.e. whether their post is unchanged, changed or 7 deleted)
(b) If in an unchanged post, include any revised job paperwork
(c) If in a changed or deleted post, the reason that their post is being changed or deleted (i.e. because there is a reduced need for work of a particular kind, or an area of the curriculum subject has been discontinued or a workplace is being closed)
(d) If applicable, which ring fences they have been placed in and the methods of appointment/selection criteria that will be used to select postholders for these posts
(e) If applicable, details of any suitable alternative post(s) that the manager wishes to offer the postholder
(f) Their right to lodge an appeal to a committee of the governing body in relation to one or more of the following grounds within ten working days of receiving written confirmation:
â€˘ The classification of their post
â€˘ Their inclusion in/exclusion from a ring fence
• The inclusion of another postholder in a ring fence
• The suitability of any alternative post(s) that the manager has offered to the postholder. Appeals 12.2 The Appeals Committee hears appeals on the above grounds from all employees. 12.3 Employees who may be affected by the outcome of an appeal should be informed and given the opportunity to make a submission to the appeal panel. 12.4 Appeal outcomes will be confirmed to the employee(s) concerned within five working days. 12.5 Employees are encouraged not to use the Employee Grievance Procedure in relation to issues where appeal provisions already exist. However, a recognised trade union may lodge a dispute in relation to the application of this procedure on behalf of a group of its members. 12.6 The appointment process will be suspended until all appeals/disputes have been heard and outcomes have been confirmed in writing to appellants. 13. Implementing change 13.1 Once any appeals/disputes have been resolved, the headteacher will issue any amended confirmation (as outlined in paragraph 12.1 above) of post classification and ring fence/methods of appointment/selection criteria arrangements to each postholder affected by the outcome of an appeal. 13.2 The headteacher will then publish to all affected postholders and recognised trade union representatives a finalised schedule showing all primary and secondary ring fences, application deadlines and dates of interview/test/assessment arrangements (including 8 wider internal/external recruitment for any posts that might not be filled by existing postholders) and the appointment process will begin. 13.3 In applying selection criteria, or considering employees for posts, it may be reasonable to consider whether any lack of skills or experience could be overcome by a reasonable period of training. The headteacher must not place unreasonable expectations on a candidate in terms of how far they should meet the employee specification for a post. 13.4 The employee is entitled to a minimum of a four-week statutory trial period where starting a different post of changed job within four weeks of the end of the previous job. 13.5 If the employee needs training, the headteacher and the employee can agree in writing an extension to the four-week statutory trial period before its start for the purposes of training. 13.6 The headteacher will also set clear objectives that are appropriate to the job and the postholder with the aim of enabling the postholder to meet all of the essential criteria for the post by the end of the statutory trial period. The employee’s line manager will regularly review the postholder’s progress during the statutory trial period to assess whether the post is suitable.
13.7 If successful, the postholder will be confirmed in post. If unsuccessful, the postholder should be considered for any other posts that they were ring-fenced for or, if none are available, paragraph 14 below will apply. 13.8 If an employee unreasonably refuses an offer of suitable alternative employment or unreasonably resigns from such a post then this may affect his/her entitlement to redundancy pay. In these circumstances a headteacher should contact their HR Adviser for advice and the employee should also be advised to contact their trade union representative. 13.9 Where a postholder is unsuccessful in his/her application for a ring-fenced post, the manager will write to the postholder to confirm the reasons for this. The decision not to appoint must be justifiable in objective terms (ie,the postholder did not have the requisite skills/experience/qualifications). 14. Redeployment and dismissal 14.1 All employees who are at risk of redundancy, including those on fixed term/temporary contracts are entitled to redeployment unless they are excluded for a reason that can be objectively justified (eg, specific projects where there is no reasonable expectation of the contract being renewed). If such employees have at least two yearsâ€™ continuous service (including any service with other bodies covered by The Redundancy Payments (Continuity of Employment in Local Government, etc.) (Modification) Order 1999 (as amended), then they will also be entitled to a redundancy payment unless they are formally offered alternative employment within the council, or another employer covered by the aforementioned Order, before contract termination and the new job starts within four weeks of termination (see also Explanatory note at the end of this section on Redeployment and Dismissal re funding of severance payments). 14.2 Where a postholder is displaced as a consequence of this procedure, the headteacher (in conjunction with the HR Adviser) will: (a) Write to the postholder to inform them that they: 9 (i) Are at risk of redundancy (ii) Are being referred to the Councilâ€™s Corporate Redeployment Scheme to search for suitable alternative employment on a priority consideration basis, which (if notice is given) will end when their contractual notice of dismissal expires (iii) Have the right to reasonable paid time off from work to engage in their job search (either internally or externally) (iv) May be entitled to reasonable retraining where this relates to alternative employment within the school and local authority (which will be centrally funded) (v) Are invited to make representations regarding their dismissal to the dismissing body. (b) Invite an HR Adviser to the above meeting to discuss the proposed dismissal if redeployment is unsuccessful and determine whether it should be confirmed. (c) Write to the postholder to confirm the outcome of the meeting and if the dismissal is recommended: (i) Notify the postholder that the local authority will be requested to dismiss the employee with contractual notice. In the case of voluntary aided schools, the headteacher will issue contractual notice of dismissal.
(ii) Inform them of their right to appeal against the dismissal to the Governors’ Appeals Committee, setting out the grounds of appeal, within ten working days of receipt of this notice. The appeals committee will not include governors who may have heard earlier appeals from the employee under this procedure. (iii) If the postholder has two or more years' continuous service in local government (including any service with other bodies covered by The Redundancy Payments (Continuity of Employment in Local Government, etc.) (Modification) Order 1999 (as amended)), confirm that they are entitled to a redundancy payment (calculated in accordance with the Local Authority's published Policy) in the event that they are not formally offered suitable alternative employment within the council or any other employer covered by the above Order before contract termination and the new job starts within four weeks of termination. (iv) If the postholder is aged 50 or more and is a member of the Local Government Pension Scheme/Teachers’ Pension Scheme confirm that the Governing Body have approved early retirement on the grounds of redundancy in accordance with the Local Authority’s Pension and Severance Policy in the event that they are not formally offered alternative employment within the Council before contract termination. Explanatory Note The Local Authority will only fund the costs of early pension release and severance payments where it has been agreed in writing that the costs will be met centrally (in full or in part). The agreement of the Local Authority to 10 fund costs centrally must be received before the dismissal recommendation notice is issued. Otherwise, the Local Authority will charge the pension and severance payments to the schools delegated budget. The costs of an internal re-organisation, including redundancy and early retirement costs will be met by the governing body from the school’s delegated budget unless there is a reduction in the workforce . In any event where a fixed term contract is terminated on the grounds of redundancy, and the postholder has over two years’ service in the post on the effective date of termination, the Local Authority will not fund any severance payments. 15. Alternative employment and contractual pay protection 15.1 Employees, including those on fixed term/temporary contracts who are at risk of redundancy at the end of their contract of employment are entitled to contractual pay protection unless they are excluded for a reason that can be objectively justified (eg, specific projects where there is no reasonable expectation of the contract being renewed). Support Staff 15.2 Where a postholder’s contractual pay reduces as a result of organisational change (including reevaluation of their existing post) and they have not received a redundancy payment: • The postholder will be paid at the top spinal column point of the grade for the post
• Contractual pay protection of up to 15% of the new maximum contractual pay or up to £2,500* (pro-rata in the case of part-time employees), whichever the greater, will apply *In 2006/07. This figure will be inflated in line with subsequent single status pay awards.
• The employee's contractual pay will be frozen at this protected amount for either three years or until their contractual pay in the new post would meet/exceed their current contractual pay, whichever is the sooner
• Pay awards will not be payable during the period of protection
• The cost of contractual pay protection will be met by the department, except where the employee is redeployed between departments and/or on medical grounds in which case the cost will be met by the corporate redeployment budget.
• The employee will be paid the rate for the job once the three-year period of protection has elapsed.
• Where an employee increases their working hours in the post during the period of protection, the additional hours (including any overtime) will be paid at the (unprotected) rate for the job (overtime will be enhanced in accordance with the employee’s conditions of service and the council’s Working Arrangements 11 Policy).
• Where an employee reduces their working hours in the post during the period of protection, their contractual pay (including the element of protection) will be reduced accordingly (on a pro rata basis). 15.5 Employees who are members of the Local Government Pension Scheme and whose contractual pay reduces as a result of organisational change will be issued with a Certificate of Protection of Pension Benefits (Form LGPS 5) by their HR Adviser. Different arrangements apply for members of the Teachers' Pension Scheme, who should seek advice from the HR Adviser. Teachers 15.6 Teachers will receive pay protection in accordance with the "safeguarding" provisions set out in the School Teachers’ Pay and Conditions Document. Support Staff and Teachers 15.7 In line with its duties under the Disability Discrimination Act 1995 (DDA) to make reasonable adjustments, the governing body may offer a disabled employee a higher graded job as alternative employment where this would be a reasonable adjustment that the school is required to make under the DDA. 15.8 An employee who receives redundancy pay and is subsequently appointed to another post at a lower rate of pay within the council or at another school in the Local Authority is not entitled to contractual pay protection. 16. Service externalisation including where Transfer of Undertakings (Protection of Employment) Regulations (TUPE) apply
16.1 Where it is agreed that a service (in whole or in part) will transfer out of the school, the headteacher will write to the affected employees to inform them that they will be transferring to another employer and the arrangements and date by which this will happen. 16.2 Where an employee is due to transfer to another organisation and more than 50% of the duties of their post remain with the school, they may lodge an appeal on the basis that they do not consider that their post is assigned to the service, or part of the service, which is being contracted out of the council. The appeal should be lodged within ten working days of receiving written confirmation of the proposed transfer. The appeal will be heard as described at paragraph 12 above. 16.3 Where the provisions of the TUPE Regulations apply, if the employee objects to the transfer, the transfer will terminate his or her employment. This is not a resignation or dismissal and the process and options described in paragraph 12 above will not apply. 16.4 Where the provisions of the TUPE Regulations do not apply, the process and options described in paragraph 13 above will apply. The effective date of dismissal will be the day before the contract with the new service provider is due to start. 17. Early retirement on the grounds of the efficiency of the service 17.1 Early retirement on the grounds of the efficiency of the service (where no added years will be awarded) may be considered by the governing body in relation to employees: 12 1. Who are aged 50+ and
2. Who are unable to adapt to changes in the work environment and
3. Where performance is adversely affected to the detriment of the council and the employee concerned and
4. Who have not previously been the subject of formal performance improvement measures and
5. Where the headteacher (or chair of governors in the case of the headteacher) supports the applicant. 17.2 Requests for early retirement on the grounds of the efficiency of the service are determined on a caseby-case basis by the relevant committee of the governing body and there is no right of appeal against nonagreement. Unless there are exceptional circumstances, the governing body will only approve a request for early retirement on the grounds of the efficiency of the service where it has been agreed in writing by the Local Authority that they will meet the costs in full or in part. S:\shared\Veronica\Mark Williams\Policies\Managing Change Procedure - 01 Apr 2006.amended 24 11 06jm 13