1. Initiating a proposal for organisational change

1. A manager wishing to propose a significant organisational change should first have a general discussion with an HR Partner / HR Operations Manager. Where changes in service requirements affect more than one department or area of work the relevant manager(s) will, following discussion with the relevant senior manager(s), establish the impact on staffing numbers. A significant organisational change normally means a proposal to make ten or more full time equivalent (FTE) employees redundant (or 10% of the total FTE of employees) in a single department within a thirty day period, or 20 or more full time equivalent employees across the University within a 90 day period for reasons not related to research funding.
2. Any proposal for significant organisational change should be set out in a briefing paper outlining the high-level business case. This paper, which will be presented to the relevant Senior Manager for outline approval, should be concise and cover the following aspects:
   • The broad rationale informing the proposed change
   • Outline financial considerations
   • Outline staffing/establishment considerations (with 'before' and 'after' organisational charts)
   • Any alternative solutions considered and a record of reasons why these alternatives are not considered to be suitable
   • Summary of any initial discussions within the departmental management team
   • Any obvious or apparent equality impacts or implications
   • Details of redundancy pools, where appropriate
   • Communication strategy
   • Considerations of the resources required for the planning, implementation and embedding phases of the proposed change
3. Following consideration of the proposal the relevant Senior Manager will either:
   • Seek further information or clarification, or
   • Reject the proposal, or
   • Progress the proposal without revisions to collective communication/ consultation, or
   • Progress the proposal to collective communication/ consultation with suggested revisions.
4. If the proposal is provisionally accepted by the relevant Senior Manager either with or without revisions, then the manager will meet with an HR Partner/ HR Operations Manager to discuss and plan the consultation and provisional implementation process.

2. Collective communication/ consultation

1. Following stage 1 of this protocol, the organisational change proposal will be presented, as soon as practicable, to campus trade unions in confidence with a covering note confirming the provisional agreement of the relevant Senior Manager and detailing the broad consultation and provisional implementation methodology and timetable. If applicable, a meeting with the relevant trade unions will be scheduled to discuss the proposed changes. Depending on the scale of the proposed changes, it may be appropriate for communications to take place at the quarterly Collective Communication meeting.
2. Where the change may result in redundancies, collective consultation will be undertaken at the Joint Consultative Forum and in accordance with the University's redundancy procedure.
3. Where appropriate, individual consultation meetings with affected employees will also be carried out as part of the people process set out in section 6.

3. Considering the impact on equality, diversity and inclusion (EDI)

1. An Equality Impact Assessment (EQIA) will normally be conducted for significant organisational change. Carrying out an Equality Impact Assessment (EQIA) helps support inclusive decision making and involves systematically assessing the likely (or actual) effects of activities on people (whether employees /students) relating to diverse or under-represented groups[1]. Inclusive decision making also includes looking for opportunities to promote equality that may have previously been missed or could be better used, as well as adverse impacts that can be mitigated or removed (if unlawful). Undertaking an EQIA ensures transparency, evidence based decision making and fairness in organisational practices in times of change. To complete an equality impact assessment (EQIA) the attached guidance and form will be used.

4. Approval of Council

1. The approval of Council will be required where it is proposed to make redundant, within a thirty day period, ten or more full time equivalent (FTE) employees within a department or 10% of the total FTE of employees within a department as part of a restructuring or single exercise involving a significant change in service provision.
2. Referral to Council will only be made following prior reference to senior management.

5. Communications

1. It is the responsibility of the manager to ensure that affected staff, their representatives and other relevant stakeholders are kept fully informed throughout the change implementation phase.
2. In addition, the manager will ensure relevant stakeholders are kept appropriately informed throughout the change implementation phase. Advice on this may be sought from HR Operations.

6. People Process

The manager will identify the areas of work, by way of duties/ tasks and responsibilities, to be undertaken under the proposed new structure and what, if any, duties and tasks will cease or diminish.

The manager is responsible for the development of job descriptions using the generic suite where appropriate. Advice and guidance can be sought from the HR Adviser. All proposed new job roles will need to be evaluated in line with the role evaluation and review process.

1. Redundancy, redeployment and change of role

   1. In situations where there are more employees than proposed available posts, the displaced employees may be offered redeployment, redundancy or any other options that may be deemed appropriate. In such cases the University's Redeployment and Redundancy Procedures should be followed.
   2. In situations where the number of proposed new positions is greater than or equal to the number of employees who are directly affected by the change, then they will be considered for the vacant positions prior to any other employees not at risk of redundancy/wider recruitment.

2. Mapping people and posts

   1. Where the proposed organisational change involves a process of assimilating existing employees into new roles within the revised structure, the following provisions, which should be read in conjunction with the university's procedures on redeployment and redundancy, will apply. Further guidance should also be sought from a HR Adviser.
   2. Where existing positions are changed or there is a proposed realignment of duties/ tasks from one team to another, it may be appropriate to automatically move an employee to a new position if their existing position maps closely to it.
   3. Where an employee's current responsibilities/ duties/ tasks map to approximately 60% of the proposed position and is on the same grade, they may be mapped into the position. Consideration may be given to the time spent on the duties/ tasks in each role as well as the role specific responsibilities. For senior management positions (Grade 9 and above), the 60% 'map' will normally only apply to the role-specific responsibilities.
      However, where more than one employee is eligible to be mapped to a single position, or the number of employees eligible is greater than the number of available new positions, the position(s) will be ring-fenced under the provisions of paragraph 6.3 below.
   4. When an employee has been mapped to a new position there will be no trial period and the University's redeployment procedures do not apply. Any employee who unreasonably refuses a mapped position will effectively be resigning from the University, as they are not in a redundancy situation there will be no right to a redundancy payment.
   5. Employee's will usually only be mapped to new roles at the same grade as their substantive post, however the University will consider requests from employees to be mapped to new lower graded roles. The University does not recognise 'pay protection' but the revised salary will normally be placed towards the top of the new, lower salary grade (excluding contribution points).
   6. The mapping exercise should be completed for all grades before any ring-fencing commences.

3. Ring-fencing

   1. Ring-fencing is the grouping of employees who have not been mapped to a new position within the available vacancies in the new structure. In order to determine whether employee(s) are 'ring-fenced' to apply for any new and vacant positions within the new structure, consideration will be given to comparing the job duties/ tasks and grade of the new/vacant posts with the job currently undertaken by the employee(s).
   2. The process will normally start with the highest graded post(s) and work down through the structure.
   3. Employees may be asked to submit a written application outlining why they are a suitable candidate for the position. Where an employee is ring-fenced for more than one position they should indicate their preference and where possible the University will endeavour to take this into account.
   4. When ring-fencing occurs an objective selection process will be undertaken and employees will be assessed against objective criteria. The selection process will normally be conducted through interviews.
   5. If only one employee is being considered for the position, the assessment process may be undertaken as a desk-top exercise such as a review of the CV and application against the person specification or other objective criteria.
   6. Scenarios in which ring-fencing would apply include:
      • When the number of displaced employees who are eligible for new positions under the 60% guideline is greater than the number of new positions available.
      • Where the current substantive duties map to less than the 60% guideline of the new role but there are still significant commonalities
      • Where there are significant commonalities but the new position represents a higher grade
   7. Any employees who have not been mapped or appointed to posts within the revised structure will then be subject to the University's redundancy and redeployment procedures.
      Once the above process is complete, any remaining posts would be advertised in accordance with the University's recruitment policy and procedures.

4. Appointments

   
   Appointments and non-confirmations should be communicated verbally as soon as possible. They will then be confirmed in writing using the relevant forms and/ or letters from HR.

7. Temporary responsibility allowances, secondments and fixed-term contracts

1. If any of the employees are currently in receipt of a Temporary Responsibility Allowance (TRA), their substantive grade and job duties, and not those associated with the temporary additional responsibilities will be used to determine any mapping or ring-fencing arrangements. The same principle will apply with regards to secondments.
2. Where an employee is currently on secondment and their substantive post becomes redundant or is subject to change, the employee will be consulted and supported in the same way as other employees.
3. If a redundant role is currently filled by someone on secondment from an area not affected by the change, or from another organisation they will not be eligible to be considered for the new positions. They should still be consulted about how the change may impact on their secondment. It may be appropriate to consider early termination of the secondment arrangement.
4. If an employee has been appointed on a fixed-term contract pending a restructuring they would not normally be included in any mapping or ring-fencing exercise.

8. Supporting colleagues through change

1. Periods of change can create additional pressures for employees and as far as possible, support will be offered to any employee during such situations. Throughout the change process, managers must ensure that employees are kept informed of the support available to them and where to find more information about the change implementation process.
2. Employees should be made fully aware of the University's Employee Assistance Service, the Support, Health and Wellbeing pages and the learning and development provision that is available to them such as the Career development pages.
3. If applicable, Campus Trade Unions will be consulted on the changes, acting on behalf of all affected employees (whether members of a Trade Union or not) and will normally dedicate specific contacts to support the change, including supporting employees at any individual formal consultation meetings, where requested. Further information on campus Trade Unions can be found through the Campus Trades Unions webpages.

9. Appeals

1. There is no right of appeal to decisions made under the Organisational Change Protocol.
2. Where the outcome of the change is a proposal for redundancy the appeals provisions of the University's redundancy procedure will apply.

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• Last reviewed and updated: 28 June 2024