Guidance for negotiators and reps: protocol for handling surplus staff

situations
Efficiency and relocation support programme: protocol for handling surplus staff situations: April
2008; Cabinet Office and Council of Civil Service Unions.
Introduction to the agreement
This guidance for negotiators and reps aims to help all union activists involved in dealing with
potential redundancy situations to use the protocol agreement to get the best deal for our
members.
It also aims to increase understanding and awareness of the national agreement and good practice
guidance.

It explains the key points of the agreement and picks up on questions from the regional forums
that immediately followed the agreements being reached in Spring 2008, from annual delegate
conference 2008, and that have been raised with the Protect Public Services Unit. It is presented
as answers to frequently asked questions.
The guidance is available on the website under the resources pages and will be regularly updated.
Contact the Protect Public Services Unit (PPSU) with any questions or comments, and for advice on
any aspect of operating the protocol.
This guidance aims to cover as many aspects as possible, but please get in touch with the PPSU if
you require specific advice, information and support.
The full title of the agreement is given above, but it is known for short as the 'protocol'. All quotes
in this guidance are from the protocol document.
What is the agreement?
This is an agreement between the Cabinet Office and the Council of Civil Service Unions, which has
been endorsed by Permanent Secretaries, the Cabinet Secretary and the Cabinet Office minister.
This major agreement resulted from negotiations following industrial action and campaigning to
protect public services and our members.
It does not give an absolute guarantee against compulsory redundancies, but provides stronger
protection. It requires the employer to take steps if there is a risk of redundancies and involve the
trade unions throughout.
It does not end our opposition to redundancies and job cuts and crucially, does not take away our
right to consider resuming national action if we believe the protocols are not being followed.
What is its aim?
The aim of the agreement is to avoid compulsory redundancies for those who want to continue
their civil service or non departmental public bodies (NDPB) careers. It aims to provide a
consistent approach across the civil service and NDPBs in dealing with surplus staff situations.
Who does it cover?
It covers the whole of the civil service and those NDPBs in the national dispute and those where
PCS, Prospect and/or FDA have membership (not just where we are recognised). It has been
circulated to all areas included. If your civil service or NDPB employer claims that the protocol
doesn’t cover them they are almost certainly wrong. For help in resolving this get in touch with
PPSU.
It applies to all staff in pre-compulsory redundancy notice situations.
How should we make sure it applies in our department/NDPB?
Raise the protocol with managers, check they have seen the agreement and are aware of their
obligation in the protocol. Make sure you incorporate it into local agreements. These agreements
must be compatible with the protocol and sent to PPSU for endorsement by the NEC.
How are surplus staff defined?
'Surplus staff' are those identifiable as at risk of redundancy or notices being issued. PCS regards
notices issued to staff wanting to continue their careers as a breach of the protocol and a possible
trigger for national action.
When did it come into force?
1 April 2008. All cases where notices were not issued by this date should be reviewed in the light
of this agreement.
What is the role of the trade union?
The trade unions will be involved at all stages of the procedure. The local reps will be involved on
behalf of people identified as being at risk of redundancy in departments and NDPBs, departmental
trade unions will be fully involved in consultation from the earliest stages, and the period of
reflection process will involve group officials and national officials acting through CCSU.
The protocol says that departments with surplus people should consult with the appropriate trade
union on redundancy avoidance measures including redeployments and voluntary exit schemes,
prior to formal meaningful consultation, and during meaningful consultation.
Contact PPSU if you need any advice.
Can we be sure that the equality impact assessments will be done?
The agreement makes departments responsible for making sure proposals relating to surplus staff
are subject to Equality Impact Assessments. The agreement refers to documents which are
available from the EHRC website.
Can we get advice on equality impact assessments?
Yes. Contact PCS HQ – PPSU or the Equality, Health and Safety department. There is further
information on the equality section of this website:

• Gender equality duty

• Race equality toolkit

If you believe that there is a disproportionate impact on particular groups of staff in your area,
raise this with management, let us know, and get in touch for advice.
What does the agreement say about agency workers and consultants?
Positions filled by agency workers or consultants should be reviewed to establish if these would be
suitable for permanent members of staff whose jobs are at risk. Please be aware of the PCS policy
on agency workers, which is to campaign for permanent staffing and also for opportunities for
agency workers as we represent them too.
And what about fixed term workers?
Fixed term employees have the right to be treated no less favourably than permanent employees.
They are put into the pension scheme and are entitled after two years to redundancy payments if
they are dismissed before the end of their contract.
However if they reach the end of their contract and the contract was linked to a project that has
now come to an end then their dismissal would be fair. This point is not specifically covered, and
we have not got a definite position. Our view is that if these staff are entitled to redundancy then
they should be covered by the protocol.
What should departments do to find jobs for surplus staff at risk of redundancy, or
to support them in getting jobs?
Arrange for the affected staff to have access to the CSVACs system – an on-line system run by
Jobcentre Plus to advertise vacancies across departments and NDPBs.
Make links with other government departments
Support surplus staff in their job search activities by providing information about options available
including those in other government departments (often known as OGDs for short),
Help staff seek other local jobs if they want to, assist them to prepare for a career move, help in
CV writing and interview preparation and provide refresher skills training.
What about departments that are recruiting staff?
Recruiting departments should register details of all vacancies that cannot be filled internally on
CSVACs for at least 10 working days to give exclusive access and priority to surplus and pre-
surplus people from other government departments. Try to get agreement on the union role in the
vacancy filling process. If you hear about jobs that ought to have been put on the system and
have not been, please raise this with management or with the prtect public services unit.
Should surplus staff be given priority?
Yes, to jobs on CSVACs, which are exclusive to surplus staff for at least 10 days. It is important
that departments with surplus staff and if possible staff themselves should monitor CSVACs daily.
Recruiting departments should not advertise jobs externally until after they have been on CSVACS.
This would be completely against the intent and spirit of the protocols. We recommend that you
try to get an agreement on how recruitment exercises are organised.
Should jobs be advertised internally first?
Yes. The protocol says that departments recruiting staff should “register details of all vacancies
that cannot be filled internally... on CSVACs for a minimum of 10 working days to give exclusive
access and priority to pre-surplus/surplus people from OGDs”, and should inform other
departments and regional coordinators of the details. Vacancy filling issues could prove
problematic in operating the protocol so the unions will need to ensure that this adequately
policed. If you have any queries on this please contact PPSU.

Volunteering to leave employment

When would voluntary severance or voluntary redundancy come in?
Voluntary exit schemes are one possible measure to avoid compulsory redundancy which should
be considered by departments with surplus staff. They should consult trade unions prior to formal
meaningful consultation (see below) on measures including voluntary exit schemes.
What are the selection criteria for selecting people for voluntary severance or
redundancy?
These should centre on the balance of skills and competencies required for future business delivery
and appropriate costs.'
What is PCS attitude to people volunteering to be redundant?
We will want to get the best possible redundancy package within the rules of the civil service
compensation scheme for those that want to leave, but it is important to remember that many
departments lack the budget to cover huge redundancy payments. The protocol is not about
preventing people leaving, and that is not our role either. Voluntary exit packages are an
important part of the process of avoiding compulsory redundancies. The more members who want
to leave voluntarily that are able to do so should minimise the risk of compulsory redundancies.
Can we argue for a transfer of work to areas with staff at risk of redundancy?
The protocol focuses on finding solutions for staff identified as surplus. It does not help in arguing
for movements of work. However departments will want to avoid issuing compulsory redundancy
notices so it is worth putting a case to transfer work if this will help in that aim. And this can be
argued for at the Period of Reflection meeting as a way to avoid issuing compulsory redundancy
notices.
There are examples of where this has happened successfully, for example in HMRC where the
redundancy agreement provides assurances that efforts will be made to move work to staff.
How does this all link with relocation? And who pays the cost of relocation
packages?
PCS is opposed to compulsory relocation. If relocation is offered then the cost must be met by the
employer with surplus staff.

Meaningful consultation
What is formal meaningful consultation, and when should it take place?
This means consultation with a view to reaching agreement with the trade unions. A formal
meaningful consultation period of 90 days (a period which can be varied by agreement) should be
set up when the issue of compulsory notices seems likely and when specific individuals at risk can
begin to be identified. The protocol definition overrides any different definitions in local
agreements. During the period 'robust efforts should be continued to avoid recourse to compulsory
redundancies'.
Posting surplus staff and defining reasonable alternative offers

Can departments post surplus people, and if so on what criteria?

As part of the process of avoiding compulsory redundancies, departments are advised in the
protocol that they '... should be prepared to post surplus people within their contractual
entitlements and obligations. In making such postings departments should apply the following
criteria:

• business need for moving an individual

• the lack of viable alternatives
• staff handbook and letter of appointment
• individual circumstances
 • legal advice.

This refers to the cabinet office legal advice relating to staff going to another department or NDPB
(see more on this below, in the criteria on the reasonableness of an alternative job offer).
What is a reasonable alternative employment offer and when does this come into
the process?
This arises at the point when the issue of compulsory notices seems likely and agreed redundancy
avoidance measures have been exhausted.
It can be in a location outside normal contractual mobility and can be in another government
department, but must be the best reasonable offer for the individual. Please note that there is a
distinction between the definition in this agreement and that in redundancy legislation.
What criteria are there to say whether an alternative employment offer is
reasonable?
It must be a subjective analysis, based on the circumstances of the individual and applying the
criteria in the protocol. There must be joint agreement by management, cabinet office and the
trade unions on whether an offer is reasonable.

The protocol states:

‘The following criteria should be applied to ascertain whether alternative job offers can be
considered to be reasonable:

• New job requires a balance of existing skills and competencies or ones that could be
developed;
• Similar grade, reward and terms and conditions;
• Retraining/re-skilling provided where necessary;
• The use of a trial period where an offer is accepted;
• Individual circumstances;
• Legal advice taken into account.
• Offers will only be deemed reasonable where they can guarantee continuity of
employment.’

Legal advice to the Cabinet Office states that staff cannot be required to accept a post in another
department or NDPB (except in the context of machinery of government changes).
Who decides if it is reasonable?
There must be a joint agreement between all three parties - management, Cabinet Office and the
trade unions.
Will it be difficult to move to another government department?
Concerns have been raised about moving to other government departments.
The receiving OGD should not make it difficult for surplus staff to get jobs. Although they need to
have a process to see whether the individual is suitable, this should not place obstacles in their
way. The protocol requires departments with surplus people to '... ensure that all efforts are taken
to overcome barriers to movement across departmental boundaries to facilitate sensible transfer
opportunities.'
What if the OGD has different pay and terms and conditions?
The onus is on departments with surplus staff to avoid compulsory redundancy. If the only
possible option for an individual at risk is a job in another department at a lower pay rate or worse
conditions, then a solution should be found that ensures the individual would not lose out
financially or on other terms and conditions.
This might be on a mark time basis, or a buy-out. It would normally be the exporting department
that would meet the cost, and will be a better solution to them than paying redundancy costs or
failing to avoid compulsory redundancy. The details of this arrangement were agreed in 2005, and
a copy of these is available from the Protect Public Service Unit.
Can an individual at risk be put in a job which is a promotion?
Yes. If no vacancies are available at the same grade and this is the only way to avoid compulsory
redundancy then the department can consider a promotion.
What if the individual does not want to be promoted?
It will be a matter of considering whether it is a reasonable offer taking into account all factors
relating to that individual and the criteria included in the protocol. If management, cabinet office
and the trade unions decide it is a reasonable offer and the individual refuses it then they will be
considered to have acquiesced with compulsory redundancy.
What about mass numbers, for example the removal of the AA grade in DWP?
This will be a matter for negotiation and efforts to find a solution. It is possible that the solution
might be mass promotion.
What about rural areas where there are few alternative jobs?
It will depend on the particular circumstances but it is possible people might need to travel further,
or there might be more use of voluntary exit schemes, or moves/relocation packages. More work
is needed on this area. There are some situations that can be difficult to resolve in a way that
avoids compulsory redundancy.
How far is it reasonable for an individual to have to travel?
The protocol states that a reasonable alternative offer might be outside normal contractual
mobility. All factors must be taken into account including a subjective test of reasonableness based
upon the individual’s circumstances. This will include issues such as disability, part-time working
and caring responsibilities.
What happens if an individual refuses a reasonable offer?
As long as all three parties agree that it is reasonable then the individual will be seen as having
acquiesced to the acceptance of compulsory redundancy.
What if an individual is seen to have acquiesced to the acceptance of compulsory
redundancy?
This individual will not be seen as someone who wishes to continue their career in the civil service,
so PCS will not activate the policy of convening the NEC to decide on industrial action.
How can we as reps be sure whether our members want to continue their careers or
whether they just want to leave on the best terms?
Have one to one meetings or participate in those set up by management.

The period of reflection

What is a period of reflection meeting?
This is a crucial part of the protocol process. It is a meeting of senior department representatives,
Cabinet Office, CCSU and departmental trade union sides, and is the place to hold departments to
account by both cabinet office and unions about their actions to date in helping surplus staff and
avoiding redundancy. It aim is to develop processes to avoid compulsory redundancies and agree
a way forward. Although it is held to deal with the people consequences of policy decisions rather
than to debate the policy decisions themselves, it can be an opportunity to argue for the transfer
of work to local office where staff are at risk of redundancy.
When should it be held?
Only when the department believes it is done all that is possible to avoid redundancy. It must be
at least six weeks before any planned redundancy notices are to be issued.
Who agrees the next steps?
All three parties - Cabinet Office, trade unions and management -- must agree.
What would be acceptable outcomes?
Measures to resolve the redundancy issue including people accepting voluntary terms under the
CSCS, being posted within contractual obligations, being redeployed within department or to other
departments, being made what is agreed to be reasonable offers, or acquiescing to being made
compulsory redundant.
How much notice must be given before compulsory redundancy notices are issued,
and who must be told?
The cabinet office and relevant trade unions must be informed at least two weeks before.
Departments also have to notify the permanent Secretary and Minister of their intentions or to
seek approval to issue compulsory redundancy notices.
What does the protocol say about staff who want to continue their civil service
careers but who receive notice of redundancy?
Departments should continue to help them find an alternative civil service position.
What is PCS policy about staff who want to continue their civil service or NDPB
careers but who receive notice of redundancy?
PCS is opposed to any compulsory redundancies and the NEC has made it clear that it would
reconvene and decide on further industrial action should any compulsory redundancy notices be
issued to people who want to continue their career in the civil service or NDPBs

Enforcing the agreement

How will the agreement be monitored and enforced?
You should contact PPSU if you have any concerns and questions about the operation of any part
of the protocol. If appropriate we will take it up with the cabinet office, who have responsibility
together with CCSU for overseeing the workings of the protocol. If notices of redundancy are
issued the national unions will raise any issues of concern with appropriate senior officials and
ministers.
What should we do if we come across problems in departments and need advice?
Contact the PPSU immediately.
What else should local reps and negotiators do?
Keep us informed of possible redundancy situations, reply to requests from the PPSU for
information on people at risk, and make sure you know the situation for all of your members who
are at risk by having one-to-one meetings with them or participate in those set up by
management.
What happens if the agreement is not being followed?
Clearly one of the main challenges will be to ensure that the protocols are being observed by
management at local levels. If you feel this is not the case, we would take this up with the Cabinet
Office, senior officials and ministers as necessary. It is up to union reps at all levels to make sure
the protocols are properly enforced. If you are in any doubt contact PPSU for advice and action.
What is the PCS policy on industrial action?
We have committed ourselves to working within the protocols to achieve outcomes acceptable to
management, the Cabinet Office and the trade unions and would not intends to call for industrial
action on compulsory redundancies while the protocol processes were under way. However, the
protocol does not limit our scope to take industrial action on redundancy if compulsory redundancy
notices are issued.
What is PCS policy on campaigning against job cuts, office closures, relocation and
excessive workloads?
Our national campaign to protect public services is still being vigorously pursued. We remain
opposed to job cuts, office closures, compulsory redundancies, forced relocation and we will
campaign against these. We will also aim to deal with the stress and other problems resulting from
excessive workloads for those remaining after job cuts have taken place.