Management of Reorganisation and Change Policy
Contents
- Aim of this policy
- Important considerations
- Role of the Change Project Sponsor (CPS)
- Formal Stages of reorganisation or change at SOAS
- Action after Executive Board decision
- Communications throughout the reorganisation or change process
- Disagreement with the management or the outcome of the consultation process
- Equal opportunities
- Guidance on this policy and supporting procedures
- Approval
- Appendix A - Detailed Business Case Template for Re-organisation/Change Proposals
1. Aim of this policy
1.1 The core areas of activity for the School are the provision of undergraduate and postgraduate teaching and the carrying out of research in the fields of Languages and Cultures, Arts and Humanities and Law and Social Sciences. This is supported by the School’s central Professional and Support Services. The School needs to be appropriately organised and managed in order to maximise its potential income, minimise its risks and liabilities and invest in its continued expansion.
1.2 Recognising that the most valuable resource is its staff, the School will strive to maintain security of employment for its employees. However, where structural changes (arising from financial, organisational, scientific, technical, market or other factors) are either required or proposed, the senior officers of the School will take all practical steps to minimise the adverse effects on employees by following the aims of this Policy.
1.3 This document sets out the procedures that will apply if a significant (important or noticeable) reorganisation of a department, faculty or section of the School becomes necessary. It seeks to recognise the differing challenges the School faces when promoting change across all departments of the School whether they are academic-related or professional services support related.
1.4 The Management of Reorganisation and Change Policy does not apply to staff on Fixed-Term Contracts of Employment. Those members of staff are subject to the School’s ‘Policy on the employment of fixed-term staff’ agreed with the School recognised trade unions on 30 January 2007 unless they have been continuously employed by the School for a period of at least two years. That policy supports the implementation of “The Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations”2002.
1.5 Also these procedures do not apply to certain Academic Staff covered by the School’s Standing Orders, to whom a different set of procedures in respect of redundancy would apply (see * below).
*( “SOAS Standing Order XI: Academic Staff: Dismissal, Discipline and Grievance Procedures and Related Matters” This Standing Order applies to members of the academic staff (except for those excluded from Part II by clause 5(1) below: The power to dismiss, and the procedures prescribed, under this Part shall not apply to those staff defined in sub-sections (3) to (6) of section 204 of the Education Reform Act 1988 (appointed prior to, and not promoted after, 20 November 1987), who shall for this purpose continue to be subject to such powers, if any, as applied to them prior to the introduction of the Standing Order made by the University Commissioners in the exercise of their powers under sections 203 and 204 of the Education Reform Act 1988.)
2. Important considerations
2.1 This Policy is not intended to cover situations where there are some minor changes to working practices and/or duties which may be discussed between a line manager and an individual member of staff or group of staff in a particular area. Minor changes are defined as those of having little overall impact upon the School as a whole when compared with other issues which carry greater importance. Minor change situations should be considered as part of the normal day-to-day interaction between line managers and staff. An example would be a change of individual responsibilities within a team structure to assist individuals with their personal development. Minor change might also encompass adjustments to an individual colleague’s work/role/hours as a result of a flexible working or reasonable adjustment to disability request.
2.2 In dealing with the staffing consequences of reorganisation and change management, the School’s senior managers will consult with the relevant Trade Unions and all affected staff in good time (the consultation timetable is set out at Section 4 below).
2.3 No final decision about any significant reorganisation proposals presented to Executive Board will be made until after the relevant consultation procedures have been followed and the appropriate consultation period has ended.
2.4 Where reorganisation or change proposals may lead to the possibility of redundancies, the School’s Redundancy Policy (not agreed with the School’s recognised trade unions) will apply.
3. Role of Change Project Sponsor (CPS)
3.1 Where reorganisation or change is considered necessary across a department/directorate/service area, careful planning will be undertaken by the Head of the relevant department/directorate/service area concerned. That person will be the Change Project Sponsor (CPS) for the particular reorganisation or change project.
3.2 Where the proposed reorganisation or change affects other departments/directorates/service areas, the Change Project Sponsor role would be taken by an Executive Board level senior manager.
3.3 The Change Project Sponsor will work in partnership with the HR Manager (Change), the School’s Diversity Advisor, affected staff and the trade unions throughout the reorganisation or change process. He or she will also work closely with the appropriate HR Manager who provides day-to-day operational support for the department/directorate/service area concerned. The Change Project Sponsor will also be responsible for the preparation of the Equality Impact Assessment relevant to the proposed change taking advice from the School’s Diversity Advisor.
3.4 The Change Project Sponsor is also responsible for the preparation and continual evaluation of the Risk Register relevant to the proposed Change Project. They will be responsible for managing any risks identified and ensuring appropriate mitigation measures are available or in place.
3.5 The Change Project Sponsor will handle the management of the proposed reorganisation or change in the fairest, most consistent and sympathetic manner possible. He or she will follow the principles set out in this Policy and will attempt to minimise, as far as possible, any hardship that may impact on any employees affected.
4. Formal stages of reorganisation or change at SOAS
There are five distinct administrative stages of process where significant reorganisation or change is contemplated across the School.
Stages 2 and 5 require consideration and approval (or amendment) by the School’s Executive Board.
Stage 1: Dean of Faculty/Head of Department/Directorate-level consideration on possible proposals
Stage 2: High-level Business Case to Executive Board for approval in principle
Stage 3: In-confidence meeting with School recognised trade unions
Stage 4: Formal consultation with affected staff and the wider School community
Stage 5: Detailed Business Case to Executive Board for approval/amendment
Stage 1: Informal discussions at faculty/department/directorate management team level
The Change Project Sponsor (CPS) may hold informal discussions with appropriate individuals or small groups of affected staff in advance of Stages 2 to 5.
This is to ensure that at a strategic-change management level, the CPS is able to ‘sound out’ initial reaction from his or her key management team around him or her as to the high-level feasibility of the proposals or required change.
At this stage, the Change Project Sponsor will also have to consider whether the
proposed changes could have a different impact on different groups of people using
the School’s Equality Impact Assessment – Guidance.
They should also seek advice from the School’s Diversity Advisor as necessary.
Stage 2: High-Level Business Case
A high-level business case prepared by the Change Project Sponsor to be presented to the School’s Executive Board. It should include the following:
- The reasons for considering the proposed reorganisation or change
- Supporting evidence including outline financial considerations
(for example: will the proposals increase or decrease operating costs?; will the proposals require less or more staff resource than currently provided?) - A range of alternative solutions (see below)
- Initial reaction from key stakeholders who would have been consulted informally
- Equality Impact Assessment considerations
The high-level Business Case should be in the form of a short briefing paper with attachments covering the above.
This document has to be approved formally by Executive Board in principle before Stage 3 can proceed.
Stage 3: In-confidence discussion meeting with School recognised trade unions
Before formal consultation with staff can commence, the Change Project Sponsor will hold an ‘in-confidence’ meeting with the School recognised trade unions to present the key points and issues relating to the high-level business case approved by EB in principle.
The ‘in confidence’ meeting must be held at least five working days in advance of the commencement of the formal consultation period with staff.
Stage 4: Formal consultation with all affected staff
Formal consultation with all affected staff must take place over a period of no less than 30 calendar days.
The consultation period commences either on the day that an all affected staff meeting is held by the Change Project Sponsor or for significant change across the School, when an all-staff communication is issued by either the Director & Principal or the Registrar & Secretary (or another senior EB member if their absence is because of official business).
The formal consultation process will last for 30 calendar days from the date of the first meeting with all affected staff and may be longer if agreed between the Change Project Sponsor and the School recognised trade unions. Staff will be asked to comment on the proposals being made and will be given the opportunity to comment and ask questions about the proposals. They may wish to suggest possible alternatives for consideration.
Further one-to-one meetings may be arranged between individuals whose jobs are likely to be directly affected as a result of the proposals and the Change Project Sponsor. For large-scale reorganisation or change the one-to-one meetings may have to be between the individual and their relevant Head of Department or directorate.
For large scale reorganisation or change proposals, it is good practice for the Change Project Sponsor to offer to hold one further group consultation meeting towards the end of the consultation period if this is requested by those staff affected by the proposals. This would be to consider any alternative proposals made either by affected individuals or a group of affected members of staff. This meeting, if held, must be held at least five working days before the formal consultation process ends. In exceptional circumstances, it may be appropriate to hold several group meetings during the consultation period if alternative viable proposals are being promoted.
Relevant union representatives and/or HR staff should also be invited to attend all group consultation meetings by the Change Project Sponsor. They could also attend individual consultation meetings as required if the individual member of staff is a union member and their presence is requested.
Stage 5: Detailed Business Case
(suggested headings set out in section 3 of Appendix A). The detailed Business Case is prepared by the Change Project Sponsor. It will include evidence against the various headings set out in Section 3 of Appendix A. It must contain evidence confirming that affected staff have been consulted and their views considered and taken into account (in exceptional circumstances, of course, it may be that those views cannot be accommodated).
The Business Case should also record the views of the recognised School trade unions if they have been offered.
The Business Case would then be submitted to the Executive Board for their consideration and decision.
5. Action after Executive Board decision
5.1 The EB decision is then promulgated to all affected staff by means of an appropriate written communication.
5.2 If approved, the Change Project Sponsor will then prepare and publish an appropriate timetable for the reorganisation to be delivered.
6. Communications throughout the reorganisation or change process
6.1 The Change Project Sponsor is responsible for ensuring that all affected staff are kept fully informed throughout the lifecycle of the reorganisation or change programme.
6.2 He or she will work closely with the School’s Communications Manager regarding all aspects of the required communication.
6.3 Effective communication should be using a dedicated email address and webpage supported by FAQs and appropriate updates.
7. Disagreement with the management or the outcome of the consultation process
7.1 In cases other than redundancy, where there is a failure to agree the proposals at the end of the consultation process, or where the consultation procedures have not been followed, individuals or groups would have the right to raise a grievance in accordance with the School’s grievance procedures.
7.2 In cases of statutory dismissal through redundancy, there is a separate appeals procedure outlined in the School’s Redundancy Policy (not agreed with the School’s recognised trade unions).
8. Equal opportunities
8.1 This policy has been drafted to adhere to the School’s Equality and Diversity Policy. The School will ensure that no employee will be treated differently on the grounds of age, carers’ and parents’ rights, disability, ethnic origin, gender, nationality, marital status, religious belief, sexual orientation, or transsexualism.
8.2 The operation and impact of this policy will be routinely monitored under the School’s Equality Impact Assessment criteria and may be reported on an annual basis as part of a wider Equal Opportunities and Diversity report for the School.
8.3 The undertaking of Equality Impact Assessments is a legal requirement placed on all public sector bodies through the Race Relations Amendment Act (2000), the Disability Discrimination Act (2005) and the Equality Act (2006).
8.4 The HR Directorate will work closely with the School’s Diversity Advisor to ensure that feedback from the practical aspects of the management of change policy feeds back into the equal opportunities aspect of this policy.
9. Guidance on this policy and supporting procedures
9.1 Should you require further guidance regarding the School’s Management of Reorganisation and Change Policy and the supporting procedures, you should contact the HR Manager (Change) or the relevant HR Manager for your work area.
10. Approval
- This Policy was agreed with UCU and UNISON on 17 July 2009
- This Policy was formally approved by Executive Board on 27 July 2009
SOAS
HR Directorate
July 2009
Appendix A - Detailed Business Case Template for Re-organsiation/Change Proposals
1. Purpose:
- The Business Case is used to obtain SOAS Executive Board agreement and approval for the proposed reorganisation/change proposals
- The Business Case provides a framework for planning and management of the reorganisation/change
- The ongoing viability of the reorganisation/change project will be monitored against the Business Case
2. Fitness for purpose checklist:
- Is the need for the proposed reorganisation/change clearly stated?
Have the potential benefits of the proposed reorganisation/change been stated clearly? - Is the reason for and benefits of the reorganisation/change consistent with the School’s strategy and mission?
- Does the business case adequately cover the School’s equality and diversity requirements as measured under an appropriate Equality Impact Assessment?
- Is it clearly set out in the proposals what will define a successful outcome?
- Is it clear what the proposed reorganisation/change(s) is/are?
- Is it clear in the business case why the preferred option is to be pursued?
- Is it clear in the business case that all affected stakeholders have been identified and consulted?
- Are the stakeholder views contained in the business case?
- Is it clear in the business case that the School recognised trade unions have been consulted, when they were consulted and what their views are?
- Where there is an external procurement proposed, is it clear in the business case what the sourcing option is?
- Is it clear in the business case why this is the preferred sourcing option?
- Is it clear in the business case how the necessary funding for the reorganisation/change project will be put in place?
- Is it clear how the benefits of the reorganisation/change will be demonstrated?
- Are the risks faced by the reorganisation/change proposals explicitly stated either in the main text of the business case or in a supporting Risk Register?
- Are the plans and mitigation for addressing those risks explicitly stated?
3. Suggested content of a SOAS reorganisation/change business case
The business case should contain information covering the following:
- Introduction
- Background
- Details of existing problems/challenges
- Details of existing staff numbers and existing operating costs
- Details of benchmarking across similar activities in other HEIs relevant to the proposed reorganisation/change
- Options for the proposed reorganisation/change
- Summary of Equality Impact Assessment considerations
- Commentary of current capability of staff against the new proposed structure and roles within
- If required, description of how to move current staff skills forward to meet the new capabilities required
- A list of all stakeholders affected by the proposals
- Summary of stakeholder views
- Summary of the views of the staff who would be affected directly by the proposals
- A record of the views of the School recognised trade unions regarding the proposed reorganisation/change
- Details of the risks associated with the proposed reorganisation/change
- Details as to how the proposals align with the School’s strategy and mission
- Proposed method of procuring external services if required
- Timetable for the proposed reorganisation/change
- A list of issues relating to affordability of the proposals (i.e. ‘before’ and ‘after’)
- Commentary regarding the achievability of a successful outcome for the proposed reorganisation/change
The level of detail required in a reorganisation/change business case depends on the scale or complexity of the proposals.
4. For major reorganisation/change scenarios, the business case could be developed in three stages:
- Preliminary Business Case (or Strategy Outline Case) to confirm strategic fit and School need for the reorganisation/change, typically no more than one or two pages
- Outline Business Case – indicative assumptions to support the preferred way forward (including procurement strategy, where applicable), variable length depending on the scale of the project
- Full Business Case – validated assumptions to support the investment decision, variable length depending on the scale of the project
For less major reorganisation/change projects, you may only need to produce the business case in one stage but still covering the content areas set out at section 3 above.
