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ASSIMILATION PROCESSIntegration of Departmental Structures

1. Process

The process for assimilating staff to posts as part of the integration of Departmentswill be as follows:

1.1 Heads of Department will formulate a proposed staff integration/assimilation reporteither for the Department as a whole or tier by tier, together with a consultationframework/timetable and timetable for implementation, identifying the rationale forany changes within the context of integration for each of the areas of work activity.

1.2 All proposals must be approved by the relevant Executive Group member and theDirector of Human Resources, prior to consultation with staff and staffrepresentatives.

1.3 In order to manage the process effectively and to ensure that eachDepartment/functional area makes progress towards integration between April andSeptember 2003, the integration process will be carried out in stages, i.e.sequentially, defining tiers of staff that fit into a particular ring-fence. The criteria forinclusion within a ring-fence will be existing grading level and existing reporting line.The process will commence with the most senior graded tiers of posts. The tierapproach is set out below:

1st Tier: Associate Heads, Directors of Research Institutes, Academic Leaders,Principal Lecturer +, Professors (LGU)

2nd Tier Principal Lecturers, Principal Research Officers

3rd Tier Senior Lecturers, Lecturers, Research Fellows (UNL), Researcher B(LGU), Senior Research Officers (UNL)

4th Tier Research Assistants (UNL), Researcher A (LGU), Academic Related

1st Tier Senior Manager/Senior staff posts heading up a Unit/campus siteoperation within a Department

2nd Tier All MG6 / LGU 10 & LGU 10 (Prot.) posts

3rd Tier All MG7 / LGU pt 8 of Grade 8 - pt 45 of Grade 9 posts

4th Tier All MG8 / LGU pt 32 of Grade 7 - pt 39 of Grade 8 posts

1.4 Consultation regarding the proposals, including the staff in each ring-fence, will thentake place, with Trades Unions representatives and with Departmental staff.

1.5 Following consultation, the composition of each ring-fence will be confirmed. Staff inthe ring-fence will be sent a copy of their existing job description and asked to verify,in writing, that it is an accurate reflection of their duties/role. If the duties/role havechanged since the job description was issued, the staff member may set out thechanges in writing, provided that their immediate line manager certifies, in writing,that the changes have taken place prior to the assimilation / integration procedure.

1.6 Staff will be asked to provide a list of their academic and professional qualifications

and asked if they are agreeable to their last two years appraisal outcomes beingused. If no appraisal has taken place in the immediate two years prior to

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assimilation, a mini appraisal interview will be arranged and conducted by therelevant line manager. Staff who feel that confidentiality would be breached byreferring to appraisal documentation may opt to have a mini-appraisal interviewinstead. Any mini-appraisal paperwork will be used as part of the assimilationprocess.The mini-appraisal interview will involve a face-to-face discussion betweenthe member of staff and the relevant line Manager. Staff will also be asked toindicate whether they have any current formal disciplinary warnings, which will beverified by the relevant Line Manager/Head of Department. Human Resources willverify qualifications and any current formal disciplinary warnings against those heldon file and in liaison with the relevant Manager.

1.7 Following the verification processes detailed on 1.5 and 1.6 above, the SMG/HODand a representative from Human Resources (together forming the assimilationpanel) will meet to conduct the preliminary allocation of staff to slots and pools. Thepanel will undertake this exercise by comparing current job descriptions with the jobprofiles produced. At this stage, decisions will be taken on:

Proposed Slotting where:

there is a degree of overlap between a current job description and (a) jobprofile(s) for the new Departmental/Area staffing structure such that two (or more)posts are the same or broadly similar, or

there is a substantial degree of overlap between a current job description and ajob profile in the new staffing structure. The degree of overlap to be determinedby reference to the proportion of the new job functions carried out by the postholder in the current post.

AND where there is no requirement for a reduction in the number of staffundertaking these job functions.

Proposed Pooling where:

there is a degree of overlap between a current job description and a job profile,such that two or more posts are the same or broadly similar; or

there is a substantial degree of overlap between a current job description and ajob profile in the proposed structure. The degree of overlap to be determined byreference to the proportion of the new job functions carried out by the post holderin the current posts;

AND more than one post in the current structures fulfils the conditions above andthere is a requirement for a reduction in the number of employees undertakingthese job functions.

Posts in the current structures will be identified as redundant where:

in relation to a post in the current structure, there is not a substantial degree ofoverlap with any job profile for the proposed staffing structure.

there are jobs with similar titles/job focus in the current structures and in theproposed staffing structures, which are not comparable, due to differences in thesize or level of responsibility between them.

Posts in the proposed staffing structure, without equivalent posts in the currentstructures, may be identified. These posts will be vacancies, which may be suitablealternative employment for individuals not allocated a role under the job allocation

exercise, depending on their suitability for the post. Vacancies will therefore initially

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be considered for redeployment purposes and, as appropriate, subsequentlyadvertised, normally internally to the University in the first instance.

1.8 Following the deadline for the verification of job descriptions, qualifications etc, thering-fenced staff will be notified of the date of the slotting and pooling panel meetingand of the outcome of the initial allocation of posts to slots and pools process. Ring-fenced staff will be provided with Job Profiles, where thesehave been drawn up, forposts for which they will be considered. Ring-fenced staff will be invited to commenton the outcome of the identification of posts for slotting and pooling process, citingreasons for any alternative views, as appropriate.

Ring-fenced staff who are potentially being considered for more than one post will beinvited to express a preference for particular post(s) in the ring-fence. Suchexpressions of preference must demonstrate suitability and relevance.

The assimilation panel will then meet again, to determine the outcome of the slottingand pooling allocations, using the agreed criteria (appraisal records, disciplinary

record and minimum (threshold) qualifications). Individual preferences will be takeninto account as far as reasonably possible.1.9 Where the job allocation process results in a situation where it is not reasonably

possible or fair to select one individual over another, it shall be necessary toundertake interviews. In such situations, the SMG/HOD will convene a panel of threemanagers, which will include a representative from Human Resources and may alsoinclude an external adviser. This panel will conduct selection interviews to gaugethe level of fit between the individuals and the skills and experience required for thepost. Following the interview the panel shall make an appointment.

1.10 In the case of those ring-fenced staff not assimilated as a result of pooling, they will

be advised individually, and offered a meeting to discuss possible redeploymentopportunities. The SMG/HOD will be accompanied by a member of staff fromHuman Resources at all redeployment meetings.

2. Redundancy Selection Criteria

2.1 The University intends that all staff shall be provided with a suitable post. However, inorder to comply with legal requirements, the term redundancy selection criteria mustbe used, because, legally, the University is required to select for redundancy and notappointment/assimilation.

2.2 The following criteria for redundancy are to be used:

Performance in Current Role

Performance appraisal documentation and bonus scheme documentation, wherethey exist, will be considered for each individual. If an individual is too new to thepost to have appraisal documentation and/or bonus scheme documentation, amini/interim review will need to have been conducted prior to consideration inthe pooling process. If an individual does not have appraisal documentationand/or bonus scheme documentation this will be noted. Whilst performanceappraisal documentation and/or scheme bonus documentation will be used as

part of this process, no information of a personal or sensitive nature will beincluded.

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Experience

Using performance appraisal documentation, considering the individuals skillsprofile against the skills requirements of the new role.

Qualifications

Focus will be on minimum (threshold) qualifications required to perform the role.

Conduct

Taking into account any current formal disciplinary warning

3. Assimilation Timetable

Month Academic Ring fence Professional Service Staff Ringfence

April - mid May Associate Heads UNL Senior Mgr grades 1-6Directors of Research Institutes LGU grades LGM 1-4Academic Senior Manager gradesAcademic LeadersPL+sProfessors (LGU)

Mid - end May Principal Lecturers, UNL MG 6 and 7

Principal Research Officers LGU grades 9, 10 & LGU10 (PROT)

June - July Senior Lecturers UNL MG8s, 9s & 10s, SC10sLecturers LGU grades 8, 7, 6, spine points 23,

22 & 21 of grade 5Research Fellows (UNL)Researcher B (LGU)Senior Research Officers (UNL)

August - September Academic Related UNL MG11s, 12s & 13s, SC11s,SC12s & Sc13s

Research Assistants (UNL) LGU spine points 21, 20 & 19 ofgrade 5, grade 4, 3, 2 and 1.Researchers A (LGU) Manual grades 1-8 (UNL), grades 1-

6 (LGU)

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