(TUPE) - Toolkit for Managers - Lincolnshire County Council
(TUPE) - Toolkit for Managers - Lincolnshire County Council
(TUPE) - Toolkit for Managers - Lincolnshire County Council
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Employment Manual<br />
TRANSFER OF<br />
UNDERTAKINGS<br />
(<strong>TUPE</strong>)<br />
TOOLKIT FOR<br />
MANAGERS
TRANSFER OF UNDERTAKINGS (<strong>TUPE</strong>)<br />
TOOLKIT FOR MANAGERS<br />
CONTENTS TABLE<br />
TRANSFER OF UNDERTAKINGS (<strong>TUPE</strong>) .....................................................2<br />
TOOLKIT FOR MANAGERS ........................................................................2<br />
INTRODUCTION..........................................................................................2<br />
OVERVIEW..................................................................................................2<br />
What is a relevant transfer of an undertaking? .........................................3<br />
Business transfers ....................................................................................3<br />
Service provision changes........................................................................3<br />
In what situations does <strong>TUPE</strong> apply? .......................................................3<br />
Impact of a breach of the <strong>TUPE</strong> regulations .............................................4<br />
In<strong>for</strong>mation about employees transferring.................................................4<br />
Consultation and notification.....................................................................5<br />
<strong>Lincolnshire</strong> <strong>County</strong> <strong>Council</strong> as the transferor ..........................................5<br />
<strong>Lincolnshire</strong> <strong>County</strong> <strong>Council</strong> as the receiving organisation.......................6<br />
Preparation <strong>for</strong> Staff Transfer to LCC .......................................................6<br />
Liability passing on to the incoming contractor .........................................7<br />
Pensions...................................................................................................7<br />
Are there any ‘defences’ to prevent the <strong>TUPE</strong> regulations applying? .......7<br />
Role of People Services............................................................................8<br />
FLOWCHART – TRANSFERS OUT ............................................................9<br />
FLOWCHART – TRANSFERS IN ..............................................................10<br />
FREQUENTLY ASKED QUESTIONS ........................................................11<br />
DUE DILIGENCE QUESTIONNAIRE.........................................................20<br />
INTRODUCTION<br />
This <strong>Toolkit</strong> has been designed to help both operational managers and<br />
members of the Human Resources team leading and advising on the Transfer<br />
of Undertakings either into the <strong>County</strong> <strong>Council</strong> or out of the <strong>County</strong> <strong>Council</strong>.<br />
Whilst the <strong>Toolkit</strong> has been designed to be as comprehensive as possible it is<br />
important <strong>for</strong> any manager involved in leading on contract issues, which may<br />
potentially involve the transfer of people from one employer to another, to<br />
seek support and advice from their Human Resources team.<br />
OVERVIEW<br />
The Transfer of Undertakings (Protection of Employment) Regulations 2006 is<br />
the main piece of legislation governing the transfer of an undertaking, or part<br />
of one, to another. The regulations are designed to protect the rights of<br />
employees in a transfer situation enabling them to enjoy the same terms and<br />
conditions, with continuity of employment, as <strong>for</strong>merly. <strong>TUPE</strong> 2006 entirely<br />
replaces the Transfer of Undertakings (Protection of Employment)<br />
Regulations 1981 which have often been referred to as the <strong>TUPE</strong> regulations.
What is a relevant transfer of an undertaking?<br />
<strong>TUPE</strong> will apply to what are known as ‘relevant transfers’ which may occur in<br />
a wide range of situations. The two broad categories are business transfers<br />
and service provisions changes. Some transfers will be both a business<br />
transfer and a service provision change.<br />
Business transfers<br />
The question here is whether there is a transfer of an economic entity that<br />
retains its identity. This can be broken into two parts:<br />
Is there a stable economic entity that is capable of being transferred?<br />
Will the economic entity retain its identity after the transfer in question?<br />
To decide if there is a stable economic entity that is capable of being<br />
transferred, the factors to consider include:<br />
Is the type of business being conducted by the transferee (incoming<br />
business) the same as the transferor’s (outgoing business)?<br />
Has there been a transfer of tangible assets such as building and<br />
moveable property (although this is not essential)?<br />
What is the value of the intangible assets at the time of the transfer?<br />
Have the majority of the employees been taken over by the new<br />
employer?<br />
Have the customers or service users been transferred?<br />
What is the degree of similarity of the activities carried on be<strong>for</strong>e and<br />
after?<br />
If the answer to all (or in some cases several of) the above questions is ‘yes’,<br />
it is safe to assume that there has been a transfer of a stable economic entity.<br />
The absence of a profit-motive is not a determinative factor.<br />
Service provision changes<br />
A ‘service provision change’ occurs when a client who engages a contractor to<br />
do work on its behalf is either:<br />
reassigning such a contract (whether by contracting out, outsourcing or retendering),<br />
or<br />
bringing the work ‘in-house’ (where a contract ends with the service being<br />
per<strong>for</strong>med in-house by the client themselves)<br />
It will not be a service provision change if:<br />
the contract is wholly or mainly <strong>for</strong> the supply of goods <strong>for</strong> the client’s use,<br />
or<br />
the activities are carried out in connection with a single specific event or a<br />
task of short-term duration.<br />
In what situations does <strong>TUPE</strong> apply?<br />
By way of broad guidance <strong>TUPE</strong> has been found to apply to:<br />
Mergers<br />
Sales of businesses by sale of assets<br />
A change of licensee or franchisee<br />
The gift of a business through the execution of a will contracting out of<br />
services<br />
Changing contractors
Where all or part of a sole trader’s business or partnership is sold or<br />
otherwise transferred.<br />
However, <strong>TUPE</strong> does not apply to:<br />
Transfers by share take-over<br />
Transfers of assets only (<strong>for</strong> example, the sale of equipment alone would<br />
not be covered), but the sale of a going concern including equipment<br />
would be covered<br />
Transfers of a contract to provide goods or services where this does not<br />
involve the transfer of a business or part of a business.<br />
The supply of goods <strong>for</strong> the client’s use, <strong>for</strong> example, supplying food to a<br />
client to sell in its staff canteen, rather than a situation where the<br />
contractor runs the canteen <strong>for</strong> the client.<br />
Impact of a breach of the <strong>TUPE</strong> regulations<br />
If a <strong>TUPE</strong> transfer applies, all terms and conditions of work and continuity of<br />
employment should be preserved. This principle applies to all employees who<br />
were employed in the entity transferred immediately be<strong>for</strong>e the transfer; and<br />
those who would have been so employed if they had not been unfairly<br />
dismissed <strong>for</strong> a reason connected with the transfer.<br />
Subject to a one year qualifying period, <strong>for</strong> an Unfair Dismissal claim, such a<br />
dismissal will be automatically unfair <strong>for</strong> a reason connected with the transfer<br />
unless it is an ‘economic, technical or organisational’ (ETO) reason.<br />
The table below sets out three different categories and whether they are fair<br />
or unfair.<br />
Type of Dismissal Fair or Unfair<br />
Dismissals <strong>for</strong> which sole reason is<br />
the transfer itself, or a reason<br />
connected with the transfer that is not<br />
an ETO reason.<br />
Dismissals <strong>for</strong> which the sole or<br />
principal reason is not the transfer<br />
itself, but is a reason connected with<br />
the transfer that is <strong>for</strong> an ETO reason.<br />
Dismissals <strong>for</strong> which the sole or<br />
principal reason is entirely<br />
unconnected with the transfer.<br />
Automatically unfair under the unfair<br />
dismissal legislation.<br />
Potentially fair subject to the normal<br />
test of reasonableness under the<br />
unfair dismissal legislation.<br />
These will fall outside <strong>TUPE</strong> as they<br />
are unrelated to a relevant transfer<br />
and the usual unfair dismissal<br />
principles will apply. This is the case<br />
even though the dismissals may be<br />
made around the time of such a<br />
transfer.<br />
In<strong>for</strong>mation about employees transferring<br />
From 6 April 2006, transferors became obliged to give the transferee written<br />
in<strong>for</strong>mation about the employees who are to transfer and all the associated<br />
rights and obligations towards them. This in<strong>for</strong>mation includes, <strong>for</strong> example,<br />
the identity and age of the employees who will transfer, in<strong>for</strong>mation contained<br />
in the employees’ written particulars of employment under section 1 of the
Employment Rights Act 1996 and details of any claims that the transferor<br />
reasonably believes might be brought.<br />
The in<strong>for</strong>mation should be provided at least 14 days prior to the transfer and<br />
ideally earlier than that <strong>for</strong> practical reasons.<br />
If the transferor does not provide this in<strong>for</strong>mation, the transferee may apply to<br />
an employment tribunal <strong>for</strong> such amount as it considers just and equitable.<br />
Compensation starts at a minimum of £500 <strong>for</strong> each employee in respect of<br />
whom the in<strong>for</strong>mation was not provided or was defective.<br />
Consultation and notification<br />
The transferor has a responsibility to conduct a full and meaningful<br />
consultation with employees and recognised Trade unions at the earliest<br />
practicable time. Failure to conduct consultation, with both affected<br />
employees and recognised Trade Unions, results in liability <strong>for</strong> the payment of<br />
compensation which may be up to 13 weeks’ pay. The transferor and the<br />
transferee are both liable <strong>for</strong> any award of compensation made by an<br />
employment tribunal <strong>for</strong> failure to in<strong>for</strong>m and consult.<br />
A reasonable period of consultation should be given to employees concerned<br />
and should be in line with the terms of statutory redundancy consultation i.e.<br />
at least 30 days. If the transfer would affect 100 or more employees, the<br />
consultation should be at least 90 days.<br />
<strong>Lincolnshire</strong> <strong>County</strong> <strong>Council</strong> as the transferor<br />
All staff and their recognised trade union representatives should be in<strong>for</strong>med<br />
at the earliest opportunity if they may be subject to a transfer out of<br />
<strong>Lincolnshire</strong> <strong>County</strong> <strong>Council</strong>.<br />
A consultation document should be produced in liaison with the transferee<br />
(receiving) organisation. The document should include:<br />
1. The fact of the transfer.<br />
2. When the transfer is to take place.<br />
3. The reasons <strong>for</strong> the transfer.<br />
4. The legal, economic and social implications of the transfer <strong>for</strong> the<br />
‘affected’ employees; i.e. the effect on employment contracts, statutory<br />
rights and collective agreements, any effect upon pay and other<br />
benefits in the employment package.<br />
5. The employee’s rights in a transfer situation.<br />
6. The proposed timetable <strong>for</strong> meetings, decisions and transfer.<br />
7. Processes <strong>for</strong> communication and raising concerns.<br />
Following the consultation period affected employees and trade union<br />
representatives should be in<strong>for</strong>med of the following:<br />
1. The outcome of the consultation process.<br />
2. When the transfer will take place.<br />
3. Reassurance of future terms and conditions.<br />
4. Further details of the new employer.<br />
5. Details of pension arrangements.
It is important at this point to ensure that any employees that do not wish to<br />
transfer have clarified their reasons and will in effect terminate their contract<br />
by operation of law. Their reasons should not be because of a substantial and<br />
detrimental change to working conditions as a result of the transfer. If an<br />
employee believes that this is the case, they may claim that they have been<br />
unfairly dismissed.<br />
At least one month be<strong>for</strong>e the transfer the manager should in<strong>for</strong>m People<br />
Services of the staff members that are transferring to the new employer<br />
through SAP Leaver <strong>for</strong>m. This process could also be completed using a<br />
table or spreadsheet if there is a large number of staff.<br />
<strong>Lincolnshire</strong> <strong>County</strong> <strong>Council</strong> as the receiving organisation<br />
With assistance from Human Resources, a manager will need to liaise with<br />
the transferring organisation. They will need to ensure that appropriate<br />
in<strong>for</strong>mation is provided to LCC and will attend any consultation meetings as<br />
agreed by the transferor. It is also important <strong>for</strong> in<strong>for</strong>mation to be gathered<br />
from the transferring organisation be<strong>for</strong>e the consultation begins. This will<br />
ensure that the current terms and conditions of the staff can be continued post<br />
transfer.<br />
In<strong>for</strong>mation checklist to include:<br />
Payment method / pay day<br />
Payscales / increments<br />
Hours of work, any flexi scheme<br />
Annual Leave entitlements<br />
Changes to place of work / travel requirements<br />
Whether pre-employment/CRB checks/Entitlement to work in the UK have<br />
been undertaken/completed. This should not stop an employee<br />
transferring but will provide essential safeguarding in<strong>for</strong>mation.<br />
Whether there are any liabilities to transfer <strong>for</strong> example personal injury<br />
claims or claims <strong>for</strong> discrimination.<br />
Any outstanding ER issues e.g. discipline, grievance, capability, Ill-Health<br />
etc.<br />
If any changes to the above points are necessary, the appropriate in<strong>for</strong>mation<br />
should be included in the consultation documents distributed by the<br />
transferring organisation. These changes should also be justifiable <strong>for</strong> either<br />
an economic, technical or organisational reason.<br />
Preparation <strong>for</strong> Staff Transfer to LCC<br />
Once the consultation period has ended it is necessary <strong>for</strong> the appropriate<br />
manager to ensure that the following staffing in<strong>for</strong>mation is received at least 1<br />
month be<strong>for</strong>e the transfer.<br />
They should liaise with People Services on the necessary timescale.<br />
Organisational structure in<strong>for</strong>mation<br />
Terms and conditions in<strong>for</strong>mation (to ensure that their pay can be actioned<br />
within current SAP configuration)
Personal Files<br />
Appointment <strong>for</strong>ms completed or a multiple record sheet where a large<br />
number of staff are transferring<br />
Pre-employment/CRB checks where considered necessary<br />
The manager will also ensure that the appropriate welcome letter is produced<br />
and distributed to the transferring staff.<br />
Liability passing on to the incoming contractor<br />
The transferee takes over the liability <strong>for</strong> all statutory rights, claims and<br />
liabilities arising from the contract of employment, <strong>for</strong> example, liabilities in<br />
tort, unfair dismissal and discrimination claims. The exception to this rule<br />
applies to criminal liabilities.<br />
It is there<strong>for</strong>e extremely important <strong>for</strong> the <strong>County</strong> <strong>Council</strong> in cases where it is<br />
the transferee to liaise with the transferor and undertake appropriate “due<br />
diligence” in relation to the employees transferring. This would include<br />
discussion regarding issues such as: disciplinaries, capability cases, longterm<br />
sickness absence cases, any claims or potential claims which could<br />
progress through an Employment Tribunal process or civil court.<br />
It is possible to create specific warranties that arise out of due diligence and/or<br />
disclosure of in<strong>for</strong>mation provided by the transferor to the transferee. These<br />
will help to protect the transferee in cases where appropriate in<strong>for</strong>mation was<br />
not disclosed to the transferee and subsequent legal action is taken by a<br />
transferring employee against the transferee <strong>for</strong> failings by the transferor.<br />
However be<strong>for</strong>e any legal agreements between both parties are considered it<br />
is important that appropriate legal advice should be taken.<br />
Pensions<br />
In essence, if the previous employer provided a pension scheme then the new<br />
employer has to provide some <strong>for</strong>m of pension arrangement <strong>for</strong> employees<br />
who are eligible <strong>for</strong>, or members of the old employer’s scheme. It will not<br />
have to be the same as the arrangement provided by the previous employer<br />
but will have to be a certain minimum standard specified under the Pension<br />
Act.<br />
All employees transferring into the <strong>County</strong> <strong>Council</strong> will become a member of<br />
the <strong>County</strong>’s Local Government Pension Scheme unless they actively decide<br />
to opt-out of the scheme.<br />
Are there any ‘defences’ to prevent the <strong>TUPE</strong> regulations applying?<br />
Please refer to Question 2 in the ‘Frequently Asked Questions’ section where<br />
this is explained in more detail.
Role of People Services<br />
This is an important part of the transfer so it is necessary that People Services<br />
are contacted at the earliest opportunity.<br />
A People Services representative should be involved in the In<strong>for</strong>mation<br />
collection to ensure that any SAP configurations changes are identified<br />
and the workload demands can be measured.<br />
Any changes to SAP configuration will be raised by the appropriate People<br />
Services team leader following the ‘SAP change request’ procedure.<br />
Any Organisational Structure in<strong>for</strong>mation will be inputted by People<br />
Services builders team be<strong>for</strong>e the transfer. This is necessary to ensure<br />
that the records can be inputted be<strong>for</strong>e the first payroll run following the<br />
transfer.<br />
People Services will be required to assign the additional records to an<br />
assistant who will input the payroll in<strong>for</strong>mation.<br />
Storage space will be identified <strong>for</strong> additional personal files.<br />
It is not necessary <strong>for</strong> People Services to produce contracts unless in<br />
exceptional circumstances.
FLOWCHART – TRANSFERS OUT<br />
TRANSFER SITUATION IDENTIFIED<br />
IMPLICATIONS CONSIDERED<br />
LIAISON WITH THE RECEIVING ORGANISATION<br />
CONSULTATION WITH STAFF/TRADE UNIONS<br />
FINAL COMMUNICATION WITH STAFF/TRADE<br />
UNIONS<br />
COMPILIATION OF STAFFING INFORMATION –<br />
PERSONAL FILES, SPREADSHEETS/REPORT OF<br />
PAYROLL RECORDS<br />
TRANSFER OF STAFFING INFORMATION TO<br />
RECEIVING ORGANISATION<br />
LEAVER INFORMATION PROCESSING
FLOWCHART – TRANSFERS IN<br />
TRANSFER SITUATION IDENTIFIED<br />
IMPLICATIONS CONSIDERED<br />
CONSULTATION WITH STAFF/TRADE UNIONS<br />
DATA COLLECTION AND LIAISON WITH<br />
PEOPLE SERVICES<br />
SAP CONFIGURATION<br />
SAP INPUT<br />
COMMUNICATION TO STAFF/TRADE UNIONS<br />
STAFF TRANSFER<br />
WELCOME AND INDUCTION
FREQUENTLY ASKED QUESTIONS<br />
1 What is the effect of the <strong>TUPE</strong> Regulations?<br />
The Transfer of Undertakings (Protection of Employment) Regulations 2006<br />
provide that upon a relevant transfer of an undertaking or part of an<br />
undertaking, the following legal consequences apply:<br />
All employees who were employed in the undertaking be<strong>for</strong>e the transfer<br />
automatically transfer from the old employer (the transferor) to the new<br />
employer (the transferee). An employer cannot just pick and choose which<br />
employees to take on.<br />
The new employer takes over all rights and obligations arising from those<br />
contracts of employment, except criminal liabilities. Any liabilities relating<br />
to employees who were dismissed be<strong>for</strong>e the transfer (<strong>for</strong> a reason<br />
connected with it) also transfer to the transferee.<br />
Neither the new employer nor the previous one may fairly dismiss an<br />
employee because of the transfer or a reason connected with it, unless the<br />
reason <strong>for</strong> the dismissal is an economic, technical or organisational (ETO)<br />
reason entailing changes in the work<strong>for</strong>ce. If there is no such reason, the<br />
dismissal will be unfair.<br />
If there is an ETO reason, and it is the cause or main cause of the<br />
dismissal, the dismissal will then be fair provided that the employer acted<br />
reasonably in the circumstances in treating that reason as sufficient to<br />
justify dismissal.<br />
Other consequences include:<br />
Any collective agreements made with recognised trade unions and any<br />
recognition agreements where the business retains a distinct identity<br />
following the transfer will also transfer.<br />
The employees’ representatives have the right to certain in<strong>for</strong>mation and<br />
to consultation regarding the transfer.<br />
Employees may object to the transfer or resign and claim unfair dismissal<br />
(but not payment in lieu of notice) if the transfer involves a substantial<br />
change in their working conditions to their material detriment. (Employees<br />
can resign and claim constructive dismissal where there is a repudiatory<br />
breach of their contract in the usual way). The new employer may not,<br />
unless the contract of employment so provides, unilaterally worsen the<br />
terms of conditions of employment of any transferred employee.<br />
2 What is the ETO defence under <strong>TUPE</strong>?<br />
A dismissal of an employee by either the transferor or transferee because of<br />
the transfer will be automatically unfair unless there is an economic, technical<br />
or organisational (ETO) reason entailing changes in the work<strong>for</strong>ce.<br />
Examples include:<br />
Economic reasons - where the demand <strong>for</strong> output has fallen to such an<br />
extent that profitability of the entity is unsustainable without dismissing staff.<br />
Technical reasons - where the transferee wishes to use new technology and<br />
the staff employed by the transferor in the entity do not have the requisite<br />
skills.
Organisational reasons - where the transferee operates at a different<br />
location and it is not practical to transfer staff.<br />
ETO reasons have an impact in two main areas: dismissal and variations to<br />
terms and conditions.<br />
Variations to terms and conditions <strong>for</strong> which the sole or principal reason is not<br />
the transfer itself, but is <strong>for</strong> an ETO reason connected with the transfer may<br />
be effective subject to being agreed between the parties (or their<br />
representatives).<br />
3 How can an employer avoid <strong>TUPE</strong> altogether, or at least minimise its<br />
impact?<br />
You can’t. The whole point of the Transfer of Undertakings (Protection of<br />
Employment) Regulations 2006 is that they apply to protect the employees<br />
regardless of whether the transferee wants the employees or not.<br />
The issue of whether <strong>TUPE</strong> applies at all can be a complex one and those<br />
involved in a transaction should take detailed HR/legal advice.<br />
Two main ways the parties may address <strong>for</strong> the impact of <strong>TUPE</strong> are to:<br />
(i) Ascertain whether there is an economic, technical or organisational<br />
(ETO) reason <strong>for</strong> any proposed dismissals or variations to terms and<br />
conditions. A dismissal of an employee by either the transferor or<br />
transferee because of the transfer will be automatically unfair unless<br />
there is an ETO reason entailing changes in the work<strong>for</strong>ce. This will<br />
not avoid the application of <strong>TUPE</strong> but may minimise its impact. ETO<br />
reasons are explained in the question above on the ETO defence and<br />
variations to terms and conditions.<br />
(ii) Negotiate indemnities. A variety of indemnities may be negotiated in a<br />
<strong>TUPE</strong> situation:<br />
The transferee may seek to limit liability <strong>for</strong> actions of the transferor<br />
which took place be<strong>for</strong>e the undertaking transferred, by requiring an<br />
indemnity from the transferor prior to the transfer.<br />
There may be mutual indemnities whereby the transferor provides an<br />
indemnity with respect to claims from retained employees who allege<br />
their contract has transferred to the transferee and the transferee<br />
provides an indemnity with respect to claims from transferring<br />
employees who allege their contract did not transfer from the<br />
transferor.<br />
Warranties and indemnities in the transfer agreement should cover the<br />
obligation to in<strong>for</strong>m and consult as <strong>TUPE</strong> 2006 introduced joint and several<br />
liability <strong>for</strong> a failure to do this. The parties should either agree to do this<br />
collaboratively or, if the transferor agrees to take responsibility <strong>for</strong> this,<br />
appropriate warranties and indemnities should be included.
4 In a <strong>TUPE</strong> situation, what in<strong>for</strong>mation should be given by the<br />
transferor to the transferee concerning the transferor’s rights,<br />
powers, duties and liabilities towards any employees who are to<br />
transfer?<br />
In practice, even be<strong>for</strong>e a legal requirement was imposed on the transferor to<br />
pass any in<strong>for</strong>mation to the transferee, in<strong>for</strong>mation was made available<br />
voluntarily in writing to the transferee in most cases. From 6 April 2006 this<br />
practice was given legal <strong>for</strong>ce in that transferors became obliged to give the<br />
transferee written in<strong>for</strong>mation about the employees who are to transfer and all<br />
the associated rights and obligations towards them. It is not possible to<br />
contract out this obligation.<br />
In<strong>for</strong>mation to be supplied<br />
From April 2006 the transferor must provide the following in<strong>for</strong>mation to the<br />
transferee be<strong>for</strong>e the transfer, namely:<br />
The identity and age of the employees who will transfer.<br />
In<strong>for</strong>mation contained in the employees’ written particulars of employment<br />
under section 1 of the Employment Rights Act 1996.<br />
In<strong>for</strong>mation on any collective agreements affecting the employees that will<br />
apply after the transfer.<br />
Any disciplinary proceedings taken against the employees or grievances<br />
brought by them in the last two years.<br />
Any claims brought by the employees against the transferor in the last two<br />
years.<br />
Any claims that the transferor reasonably believes might be brought.<br />
Relevant time limits<br />
The in<strong>for</strong>mation should be given at least 14 days be<strong>for</strong>e the transfer (in very<br />
rare special circumstances a shorter period may be permissible). As a matter<br />
of best practice, where reasonably possible, it is helpful <strong>for</strong> a transferor to try<br />
and supply the in<strong>for</strong>mation in advance of the 14 days to give the transferee<br />
ample time to consider it.<br />
Once the relevant in<strong>for</strong>mation has been provided, the transferor must provide<br />
written notification of any changes which occur between the time they have<br />
first been notified to the transferee and the actual completion of the transfer.<br />
In<strong>for</strong>mation must be no more than two weeks old.<br />
Remedies<br />
If the transferor does not provide this in<strong>for</strong>mation then the transferee may<br />
apply to an employment tribunal <strong>for</strong>:<br />
Such amount as it considers just and equitable (having regard to the<br />
transferee’s loss and any contractual terms between the transferee and<br />
transferor), and compensation starting at a minimum of £500 <strong>for</strong> each<br />
employee in respect of whom the in<strong>for</strong>mation was not provided (or was<br />
defective), or a lesser sum of the tribunal considers that it would be unjust or<br />
inequitable to award this minimum payment.
The in<strong>for</strong>mation may be notified indirectly through a third party. This latter<br />
provision will allow the in<strong>for</strong>mation to be passed between the contractors via<br />
the client in a service provision change case involving the reassignment of the<br />
contract, but will not require it.<br />
5 In a <strong>TUPE</strong> situation, what in<strong>for</strong>mation should be given by the<br />
transferor and the transferee to the employees affected?<br />
The employer of employees affected by the transfer (i.e. either the transferor<br />
or the transferee) must in<strong>for</strong>m the appropriate representatives of any affected<br />
employees of the following:<br />
The fact that there is a transfer happening.<br />
Approximately when it is happening.<br />
The reasons why it is happening.<br />
The legal, social and economic implications <strong>for</strong> the affected employees.<br />
The measures which the employer intends to take in relation to those<br />
employees.<br />
If no measures will be taken, the fact that there won’t be any such<br />
measures.<br />
If the employer is the transferor, the measures, which the transferee<br />
envisages that they will take in relation to those employees who are to be<br />
assigned to the transfer.<br />
If the employer is the transferor and the transferee envisages no measures<br />
will be taken then that fact.<br />
Additional points to note:<br />
Where an employer proposes to take any measures in relation to affected<br />
employees, they must consult with the appropriate representatives in ‘good<br />
time’ be<strong>for</strong>e the transfer.<br />
The transferor and transferee are jointly and severally liable <strong>for</strong> any award<br />
of compensation <strong>for</strong> failure to in<strong>for</strong>m and consult made by an employment<br />
tribunal <strong>for</strong> failure by the transferor to comply with these in<strong>for</strong>mation and<br />
consultation requirements. (If such a liability were to pass wholly to the<br />
transferee, there would arguably be little or no incentive <strong>for</strong> the transferor<br />
to comply with the relevant in<strong>for</strong>mation and consultation requirements.)<br />
If there is a claim against the transferor <strong>for</strong> failing to comply with its<br />
obligations to in<strong>for</strong>m and consult, the transferor may assert that the reason<br />
that they did not comply was the transferee’s failure to provide in<strong>for</strong>mation<br />
on its proposed measures in time. If the transferor intends to argue this it<br />
must tell the transferee and the transferee will then become a party to the<br />
proceedings.<br />
Employee representatives (or, in some cases, employees) seeking redress<br />
<strong>for</strong> breach of the in<strong>for</strong>mation and consultation provisions can choose<br />
whether to take action against the transferor or the transferee or both. In<br />
practice it is likely that the choice will be strongly influenced by the<br />
consideration of which party is best able to pay.
6 When should consultation regarding a transfer of an undertaking<br />
take place?<br />
No specific time is specified <strong>for</strong> consultation to take place. Under Regulation<br />
13 of the Transfer of Undertakings (Protection of Employment) Amendment<br />
Regulations 2006 the only obligation to consult is where the transferor or<br />
transferee envisages that they will take measures in relation to any of the<br />
affected employees. They must then consult with the appropriate<br />
representatives with a view to seeking their agreement to the measures to be<br />
taken. The in<strong>for</strong>mation referred to above should be supplied ‘long enough<br />
be<strong>for</strong>e the transfer’ to enable consultations to take place with the appropriate<br />
representative of the affected employees.<br />
7 What happens if the employer fails to comply with their duty to<br />
in<strong>for</strong>m and consult employees affected by the transfer of an<br />
undertaking?<br />
A complaint may be brought by the following persons:<br />
In the case of failure relating to consulting or in<strong>for</strong>ming representatives of a<br />
trade union – by the trade union.<br />
In any other case – by any of the affected employees.<br />
8 Which employees do the <strong>TUPE</strong> regulations protect?<br />
The Transfer of Undertakings (Protection of Employment) Regulations 2006<br />
protects employees who are either:<br />
Assigned to the undertaking or the part of the undertaking that is being<br />
transferred, and who are employed immediately be<strong>for</strong>e the moment of<br />
transfer, or who would have been employed at the moment of transfer but <strong>for</strong><br />
the fact that they were unfairly dismissed <strong>for</strong> a reason connected with the<br />
transfer, and there was not an economic, technical or organisational (ETO)<br />
reason <strong>for</strong> such a dismissal.<br />
9 Which rights and liabilities transfer to the ‘new’ employer under<br />
<strong>TUPE</strong>?<br />
At present, all rights and liabilities transfer apart from criminal liability and<br />
some pension rights. The pensions position is governed not by <strong>TUPE</strong> but by<br />
the Pensions Act 2004.<br />
The safeguards <strong>for</strong> employees are contained within the Transfer of<br />
Undertakings (Protection of Employment) Regulations 2006. These<br />
provisions apply to ensure that the employees are there<strong>for</strong>e protected by the<br />
fact that their contracts are assigned to the transferee. The date of<br />
commencement of employment <strong>for</strong> continuity of employment purposes will be<br />
preserved from the date of commencement of employment with the transferor.<br />
The transferee inherits all civil liabilities and obligations, including:<br />
Liability <strong>for</strong> personal injury claims against the transferor.<br />
Liability <strong>for</strong> sex, race, disability discrimination claims against the transferor.<br />
Liabilities <strong>for</strong> any breach of contract e.g. arrears of commission payments<br />
or salary.<br />
All statutory rights and liabilities e.g. unfair dismissal claims.
10 Can the new owner of an undertaking change the terms and<br />
conditions of employment of the employees who have transferred?<br />
This is one of the areas that was significantly overhauled by the Transfer of<br />
Undertakings (Protection of Employment) Regulations 2006. Under <strong>TUPE</strong><br />
2006 employers can only change employment terms where there is an ETO<br />
reason. However, the employer must, at the same time, establish a change in<br />
the work<strong>for</strong>ce, normally a work<strong>for</strong>ce reduction. If the employer wishes simply<br />
to harmonise terms and conditions of employment then that will not be<br />
sufficient to implement the changes. The issue of en<strong>for</strong>ceability of beneficial<br />
changes to terms and conditions where there is no ETO reason is dealt with in<br />
the question below.<br />
Under <strong>TUPE</strong> 1981 any variations to employees’ terms and conditions <strong>for</strong> a<br />
reason connected to the transfer were void. However, <strong>TUPE</strong> 2006 confirms<br />
that a change <strong>for</strong> a transfer-connected economic, technical or organisational<br />
(ETO) reason can be validly made provided that the employees consent.<br />
Under <strong>TUPE</strong> 2006 variations will only be void if the sole or principal reason is:<br />
the transfer itself, or a reason connected with a transfer that is not an ETO<br />
reason entailing changes in the numbers or functions of the work<strong>for</strong>ce.<br />
This means that employment terms may be changed be<strong>for</strong>e or after a transfer<br />
where the sole or principal reason is either entirely unconnected with the<br />
transfer, or connected with the transfer, but <strong>for</strong> an ETO reason.<br />
If the reason <strong>for</strong> the change to the terms and conditions is the transfer, then<br />
even if the employees agree to the change it will be void and unen<strong>for</strong>ceable.<br />
This difficulty often arises where the transferor wishes to dispose of an<br />
unprofitable undertaking. The transferee will take it on but needs to<br />
rationalise to make it profitable, perhaps harmonizing the terms and conditions<br />
of employment. If the variation is due to the transfer and no other reason then<br />
the changes will be invalid. If, however, there is an economic, technical or<br />
organisational (ETO) reason <strong>for</strong> the changes the variations may not be solely<br />
due to the transfer.<br />
The guidance produced by the Department <strong>for</strong> Business, Enterprise and<br />
Regulatory Re<strong>for</strong>m (BERR) provides some indication of when the reason <strong>for</strong> a<br />
change is transfer-connected and when it isn’t. The guidance states that<br />
where an employer changes terms and conditions simply because of the<br />
transfer and there are no extenuating circumstances linked to the reason <strong>for</strong><br />
that decision, then the change is by reason of the transfer itself.<br />
Example of a reason unconnected with the transfer<br />
The ‘new’ employer (the transferee) needs to re-qualify staff to use the<br />
different machinery used by the transferee. Here the reason <strong>for</strong> the change is<br />
prompted by the knock-on effect of the transfer and not solely the transfer<br />
itself. The reason is not exclusively connected to the transfer and the change<br />
is there<strong>for</strong>e permissible.
Example of a reason connected to the transfer<br />
The ‘new’ employer (the transferee) wishes to make changes to harmonise<br />
terms with those of the transferee’s existing work<strong>for</strong>ce. These changes are by<br />
reason of the transfer itself and are there<strong>for</strong>e void. (Such changes may not<br />
fall within the definition of an ETO reason anyway.)<br />
The employer and employee may there<strong>for</strong>e agree a variation of the contract if<br />
the sole or principal reason <strong>for</strong> the variation is a reason connected with the<br />
transfer that is an economic, technical or organisational (ETO) reason<br />
entailing changes in the work<strong>for</strong>ce.<br />
11 Is it possible to dismiss employees following the transfer of an<br />
undertaking if there is an ETO reason?<br />
The essential point is that dismissals as a result of the transfer may be<br />
automatically unfair. However, where there is an ETO reason the dismissals<br />
may be fair.<br />
The Transfer of Undertakings (Protection of Employment) Regulations 2006<br />
set out three different categories of dismissal:<br />
Dismissals <strong>for</strong> which the sole or principal reason is the transfer itself or a<br />
reason connected with the transfer that is not an ETO reason – these<br />
dismissals remain automatically unfair under the unfair dismissal<br />
legislation.<br />
Dismissals <strong>for</strong> which the sole or principal reason is unconnected with the<br />
transfer – these dismissals fall outside <strong>TUPE</strong> as they are unrelated to a<br />
relevant transfer and the usual unfair dismissal principles will apply. This is<br />
the case even though the dismissals may be made around the time of<br />
such a transfer.<br />
Employees must still have one year’s service to bring a claim under <strong>TUPE</strong><br />
2006 unless they can argue unfair dismissal <strong>for</strong> asserting their statutory rights.<br />
12 Can an ‘old’ employer dismiss employees in anticipation of a <strong>TUPE</strong><br />
transfer and rely on the ‘new’ employer’s ETO reasons?<br />
No, an ‘old’ employer (the transferor) is exposed if they dismiss employees in<br />
anticipation of a <strong>TUPE</strong> transfer and then seek to justify the dismissals by<br />
relying on the ‘new’ (transferee) employer’s ETO reasons.<br />
The ETO reason must there<strong>for</strong>e relate to the transferor’s future conduct of the<br />
business.<br />
Accordingly an ETO reason is only established where the employer dismisses<br />
the employee <strong>for</strong> reasons relating to its own future conduct of the business,<br />
entailing a change in its own work<strong>for</strong>ce. There is a greater chance of<br />
establishing an ETO where redundancies arising on a transfer are<br />
implemented by the transferee rather than the transferor.<br />
Practical points to note include:<br />
Employees who were dismissed be<strong>for</strong>e a business transfer will normally<br />
sue both the new owner of the business and the <strong>for</strong>mer employer.
Transferors should not make any pre-transfer dismissals in reliance on the<br />
transferee’s post-transfer ETO reason unless the transferee agrees to<br />
indemnify the transferor against any liability.<br />
Transferees may make such dismissals post-transfer if a valid ETO reason<br />
exists.<br />
Transferees must however follow the statutory dismissal procedure in full<br />
and a fair overall procedure which will often entail pooling the transferred<br />
employees with their own existing work<strong>for</strong>ce be<strong>for</strong>e selecting the<br />
redundant employees.<br />
13 Is it correct that occupational pensions do not transfer under<br />
<strong>TUPE</strong>?<br />
Technically, yes. In accordance with the Transfer of Undertakings 2006<br />
contractual provisions relating to old age invalidity or death benefits in<br />
connection with an occupational pension scheme do not transfer.<br />
However, from 6 April 2005, pension liabilities effectively transferred under the<br />
Pensions Act 2004, and the Transfer of Employment (Pension Protection)<br />
Regulations 2005.<br />
In summary, the effects of the Pensions Act 2004 are:<br />
If the previous employer provided a pension scheme then the new<br />
employer has to provide some <strong>for</strong>m of pension arrangement <strong>for</strong> employees<br />
who were members of (or eligible <strong>for</strong> membership of) the old employer’s<br />
scheme.<br />
The new pension scheme does not have to be the same as the<br />
arrangement provided by the previous employer.<br />
The new employer does not have to offer the same type of benefits but will<br />
have a choice whether to provide:<br />
a defined benefit (final salary) scheme which meets a particular<br />
statutory minimum standard, or<br />
a defined contribution (money purchase) scheme with a certain level of<br />
employer contributions, or<br />
a stakeholder pension scheme with a certain level of employer<br />
contributions.<br />
Transferees are required to continue or match any previous employer’s<br />
obligation to make contributions to existing defined contribution and<br />
stakeholder arrangements by matching the employee’s contributions up to a<br />
maximum of 6%.<br />
Importantly, the Pensions Act includes an opt-out provision. The employee<br />
and the new owner are free to agree whatever pension terms (or none) they<br />
want at any time after the time when the employee becomes employed by the<br />
new owner.<br />
14 What is the <strong>TUPE</strong> Code of Practice?<br />
The Code of Practice ‘Work<strong>for</strong>ce Matters in Local Authority Service Contracts’<br />
only applies in the public sector. The Code requires that those employees<br />
who join the organisation after a transfer has taken place should be offered
fair and reasonable terms and conditions of employment which are overall no<br />
less favourable than those of the transferred employees.<br />
These obligations also relate to contractors and subcontractors. The options<br />
in respect of pension arrangements are:<br />
membership of the local government pension scheme<br />
membership of a good quality employer pension scheme which can be<br />
final salary or defined contribution. The employer’s contribution should<br />
match the employee’s up to 6%<br />
a stakeholder scheme with matched contributions up to 6%.
DUE DILIGENCE QUESTIONNAIRE<br />
EMPLOYEES<br />
Please supply the following in<strong>for</strong>mation related to affected employees:<br />
1. Individual terms and conditions.<br />
1.1 Copies of all current employment contracts, and all other terms and<br />
conditions of employment.<br />
1.2 A schedule comprising in respect of each employee, the following<br />
particulars:<br />
1.2.1 full name<br />
1.2.2 post<br />
1.2.3 whether the employment is full or part time<br />
1.2.4 hours of work, including any contractual overtime<br />
1.2.5 permanent/ temporary contract (with end dates)<br />
1.2.6 CRB and List 99 checks<br />
1.2.7 work permit details – evidence of Eligibility to Work in the UK<br />
(if appropriate)<br />
1.2.8 sex<br />
1.2.9 date of birth<br />
1.2.10 date of commencement of service<br />
1.2.11 notice period<br />
1.2.12 normal retirement age<br />
1.2.13 Remuneration and allowances (inc. support<br />
staff/TLRs/R&Rs/protection<br />
1.2.14 pension<br />
1.2.15 in respect of teachers:<br />
(a) scale point or leadership group spine point<br />
(b) assimilation point <strong>for</strong> the head teacher<br />
(c) whether the employee is a post-threshold teacher
(d) teaching qualifications and whether the employee is a<br />
good honours graduate<br />
(e) management, recruitment, retention and/or any other<br />
allowances payable<br />
(f) any applicable assimilation safeguarding<br />
and all other benefits whether contractual or otherwise.<br />
1.3 Details of any recent changes of terms and conditions in relation to<br />
any employee.<br />
1.4 Support staff<br />
1.4.1 how the term time calculations are made<br />
1.4.2 who gets retainer pay<br />
1.4.3 how retainer pay is calculated<br />
1.5 Copies of any employee handbooks, rules and other policies,<br />
procedures, arrangements or agreements in relation to:<br />
1.5.1 redundancy procedures and payments<br />
1.5.2 redeployment procedures<br />
1.5.3 sickness absence and sick pay entitlements<br />
1.5.4 equal opportunities<br />
1.5.5 disciplinary matters<br />
1.5.6 maternity, paternity and adoption rights<br />
1.5.7 Holiday<br />
1.5.8 private health cover, inc. PHI<br />
1.5.9 pension arrangements<br />
1.5.10 company car policies<br />
1.5.11 mortgage subsidy policies<br />
1.5.12 per<strong>for</strong>mance related pay<br />
1.5.13 any individual contractual commitments e.g. variation of their<br />
existing contractual arrangements or unwritten undertakings<br />
by an employer to rely on certain contractual rights.
and details of whether or not each of the above are discretionary or<br />
contractual.<br />
1.6 Copies of any job descriptions,.or incorporated collective agreements:<br />
<strong>for</strong> all levels of staff affected including the existence of any flexibility<br />
clauses <strong>for</strong> hours of work, place or work and job duties, any other<br />
related details held on the personal file. Copies of any job evaluation<br />
scheme/appraisal schemes. Including all <strong>for</strong>mal contracts, letters,<br />
written statement of main terms and conditions of employment, works<br />
rules, benefits manual.<br />
1.7 Details of any practices or customs which although not written down<br />
<strong>for</strong>m part of employees' terms and conditions of employment.<br />
1.8 Job offers: details of all offers made to prospective employees,<br />
directors, consultants, independent contractors, apprentices and<br />
trainees (whether outstanding or accepted but not yet joined).<br />
1.9 Background checks: details of the background checks carried out in<br />
relation to employees, directors, freelancers and independent<br />
contractors prior to engagement.<br />
2. Collective bargaining<br />
2.1 Details of the names of all trade union and other employee<br />
representatives, with the name of the trade union, the position held<br />
and how long the position was held.<br />
2.2 Details of any trade union recognised by the employer/ <strong>Council</strong> /<br />
Governing Body, giving the date and details of the recognition<br />
agreement (and a copy if available), with brief details of current and<br />
historic labour relations and any pending negotiations.<br />
2.3 Details of any other agreement, whether school, local or national, with<br />
any trade union or other body of employee representatives (and<br />
copies if available) including any in<strong>for</strong>mal recognition and procedure<br />
arrangements and other arrangements honoured by "custom and<br />
practice".<br />
2.4 Details of which, if any, of the terms of any collective agreement <strong>for</strong>m<br />
part of individuals' terms and conditions of employment.<br />
2.5 Collective Disputes: notification of any disputes in this workgroup<br />
(school or LEA specific) in the last five years. Whether working days<br />
lost or not, nature of the dispute(s) and action taken<br />
3. Disputes<br />
3.1 Details of any dispute with any employee whether brought under the<br />
<strong>Council</strong> / Governing Body's disciplinary or grievance procedure or<br />
otherwise and any matters which might give rise to such.
3.2 Details of any litigation threatened or pending against the organisation<br />
/<strong>Council</strong>/ Governing Body, including any court, employment tribunal or<br />
arbitration claims or any matters which might give rise to such<br />
litigation, on the following types of claim:<br />
▪ Employment Tribunal (eg unfair dismissal, redundancy pay, sex or<br />
race discrimination, equal pay, or any other claims under<br />
employment protection legislation<br />
▪ <strong>County</strong> court or High Court litigation (eg <strong>for</strong> wrongful dismissal,<br />
breach of contract, en<strong>for</strong>cing or resisting breach of restrictive<br />
covenant, inducement to breach a contract)<br />
▪ Claims against trade unions<br />
▪ Claims or applications made by a trade union to the C.A.C.<br />
▪ Litigation with existing and <strong>for</strong>mer employees over intellectual<br />
property rights (eg patents, copyright, designs, etc.) including<br />
applications to the Controller of Patents.<br />
▪ All claims and applications relating to health and safety and<br />
personal injury (and details of all incidents which could give rise to<br />
such a claim).<br />
▪ Details of all judgements in favour of an employee by any court or<br />
tribunal or arbitrator in the last five years.<br />
3.3 Details of any enquiry, correspondence or contact between the<br />
<strong>Council</strong> / Governing Body and the Commission <strong>for</strong> Racial Equality, the<br />
Equal Opportunities Commission, the Health and Safety Inspector and<br />
the Inland Revenue concerning employees. Any <strong>for</strong>mal investigations<br />
carried out or threatened, and copies of any non-discrimination<br />
notices. Details of Tribunal claims of discrimination in the last five<br />
years (including equal pay), any copies of any Tribunal decisions.<br />
Details of equal opportunity/diversity policies and any equal<br />
opportunities monitoring or statistics about staff. Details of any<br />
grievances involving discrimination, bullying or harassment in the last<br />
5 years. Details of any job evaluation exercise. Details of any<br />
adjustments made <strong>for</strong> any disabled employee under the Disability<br />
Discrimination Act 1995.<br />
3.4 Details of any court judgment or current employment tribunal award in<br />
respect of any employee dispute.<br />
3.5 Details, and, if available, copies, of any warnings given to employees<br />
under the <strong>Council</strong> / Governing Body's disciplinary or capability<br />
procedures.<br />
4. Dismissals<br />
4.1 Details of all dismissals/resignations within the last 12 months<br />
including reasons <strong>for</strong> the dismissal/resignation.<br />
4.2 Details of all employees recruited within the last 12 months.
5. Working Time Regulations 1998<br />
5.1 Copies of any individual, collective and work<strong>for</strong>ce agreements entered<br />
into pursuant to the Working Time Regulations.<br />
6. Health and Safety<br />
6.1 Copy of Health and Safety Policy.<br />
6.2 Details of any health and safety committees/representatives.<br />
6.3 Details of any health and safety complaints or recommendations or<br />
claims within the last 5 years.<br />
6.4 Details of any prohibition or improvement notices or adverse visits by<br />
the HSE.<br />
7. Trainees/Consultants<br />
7.1 Details of all individuals in the undertaking working on training, work<br />
experience or similar schemes. Including NQT’s, UQTs, OTT, and<br />
graduate teachers scheme.<br />
7.2 Details of all consultancy agreements or self-employed personnel who<br />
are or may actually be employees.<br />
8. Absent employees<br />
8.1 Details of all employees who have notified the <strong>Council</strong> / Governing<br />
Body that they are pregnant or who are currently absent on maternity<br />
leave.<br />
8.2 Details of all employees on long term sick leave together with<br />
confirmation of the nature of their illness and the duration and dates of<br />
their absence(s) due to that condition.<br />
9. Job Evaluation Scheme<br />
9.1 A copy of any job evaluation scheme.<br />
10. Contractor Employees<br />
10.1 Details of any individuals employed by contractors working in the<br />
school.<br />
11. Pension<br />
11.1 A list of all pension schemes (both occupational and personal)<br />
applicable to the employees.<br />
11.2 Details of any current or pending applications <strong>for</strong> early retirement.
12. Redundancy Arrangements<br />
12.1 Including any redundancy agreements with recognised trade unions,<br />
redundancy selection criteria, details of all redundancy programmes<br />
over the last five years (classes of employees concerned, numbers of<br />
employees concerned, timescale, level of severance pay), details of<br />
any proposed redundancy plans.<br />
12.2 Copies of all redundancy policies and redundancy pay terms<br />
13. Tied Accommodation<br />
13.1 Details of all persons entitled or required to occupy a flat and details<br />
of any service occupancy agreements or other employees required to<br />
/ permitted to remain living on company premises as a condition of<br />
their employment.<br />
14. Salary Reviews<br />
14.1 Yearly review dates <strong>for</strong> each group of employees, current state of<br />
negotiations, previous undertakings in earlier negotiations, and the<br />
basis <strong>for</strong> salary reviews.<br />
15. Lay off and guaranteed pay<br />
15.1 Details of contractual rights and collective agreements,<br />
15.2 Details of any previous lay-off or short-time working over the past five<br />
years, e.g. types of employees involved, reason <strong>for</strong> lay-off etc.,<br />
duration, levels of remuneration, etc).<br />
16. Proposed Redundancies<br />
16.1 Details of all staff to be made redundant be<strong>for</strong>e the transfer and<br />
criteria <strong>for</strong> selection, payments to be made, and terms of any<br />
compromise agreements.<br />
17. Planned Early Retirements<br />
17.1 Individual details of staff offered early retirement be<strong>for</strong>e the date of<br />
transfer, to take effect up to and including 31 August 2008.<br />
18. Restrictive Covenants<br />
18.1 Who is covered by them, copies of covenants.<br />
19. Disciplinary Rules and Procedure: copies<br />
20. Grievance Procedure: copy<br />
21. Retirement Policy and Procedure: copies<br />
22. Trade union recognition and facilities agreements: copies
23. Disclosure of In<strong>for</strong>mation Policy: <strong>for</strong> both trade unions and<br />
individual employees.<br />
24. Disciplinary/Grievance proceedings taken against/by any<br />
employee transferring: including any per<strong>for</strong>mance management<br />
procedures and all live warnings on file at the date of transfer<br />
25. Loaned/Seconded employees: from/to associated organisations,<br />
including length and terms of loan/secondment<br />
26. Transfer objectors: has anyone exercised their rights to refuse to<br />
transfer under <strong>TUPE</strong> Reg. 4?<br />
27. Any previous <strong>TUPE</strong> agreements and who they apply to.<br />
Created September 2009