Management of Compulsory Redundancy Protocol

The campus Trade Unions declined to agree to this policy however it is the policy to be used if compulsory redundancies are likely to become necessary.

Index:

1. Introduction
2. Compulsory redundancy
3. Consultation
4. Selection for compulsory redundancy
5. Redeployment
6. Redundancy committee
7. Redundancy support measures
8. Financial arrangements
9. Miscellaneous
10. Appeal
11. Management of compulsory redundancy protocol flowchart- separate sheet

1. Introduction

1.1 In the planning of its affairs, the University recognises the importance of security of employment for its staff and the desirability of avoidance of redundancy. The University and the Trade Union(s) jointly commit to avoiding redundancies wherever possible using the procedures set out in this protocol and the Management of Organisational Change Policy: Avoidance & Mitigation of Redundancy. The University commits to consider compulsory redundancy only as a last resort when all other alternatives have been fully explored and exhausted. The University acknowledges the Trade Unions’ position on compulsory redundancy. The University is committed to managing the redundancy process with care and sensitivity to the impact upon all staff.

1.2 Nonetheless, where operational reasons including changes in the patterns of activity, the organisation of work, or the ability to finance work, reduce the requirement for staff, or for staff of a particular kind, the University will, in consultation with staff and the relevant recognised Trade Union(s) as appropriate, take the steps set out below to manage redundancies and their impact.

1.3 This protocol describes the procedures to be followed and entitlements to be applied in the event of a requirement to reduce staff numbers as a consequence of redundancy. It is a commitment to the measures and behaviours which the University will adopt should it become necessary to implement compulsory redundancies. Whilst the Management of Organisational Change Policy: Avoidance & Mitigation of Redundancy is an agreed approach developed in consultation with the Trade Unions, the Management of Compulsory Redundancy Protocol has been developed by the University to provide a transparent and fair process. The protocol may need to be adapted where exceptional circumstances demand it and has no contractual effect.

1.4 The application of this protocol aims to provide for a sustainable staffing profile appropriate to the University’s academic and business plans and needs for the future in the context of the University’s short, medium and long term financial viability, taking account of the rights, needs and aspirations of staff.

1.5 This protocol is applicable only to academic and related staff employed on or after 20 November 1987, or promoted on or after that date, and to all other categories of staff whenever appointed to the University’s employment.

2. Compulsory Redundancy

2.1 Where, following appropriate consultation, the University Court concludes that alternative means have failed to avoid sufficiently the requirement for redundancy, the University will use the following procedure to implement compulsory redundancies.

2.2 The definition of redundancy is specified, in both UK employment legislation and in paragraph 6 of the Ordinance of the University Commissioners: Academic Staff, as a dismissal attributable wholly or mainly to:

the fact that the University has ceased, or intends to cease, to carry on the activity for the purposes of which the member of staff concerned was appointed or employed by the University, or has ceased, or intends to cease, to carry on that activity in the place in which the member of staff concerned worked; or
the fact that the requirements of that activity for members of staff of any category to carry out work of a particular kind, or for members of staff to carry out work of a particular kind in that place, have ceased or diminished, or are expected to cease or diminish.

2.3 Where compulsory redundancies appear necessary a recommendation will be made through the appropriate management by the College, School/RI/Service, section or budget centre affected, and thereafter through the University Management Group to the University Court for consideration. The recommendation should outline the measures taken to avoid redundancies, and the reasons why a reduction in staff remains necessary. If the Court considers a reduction in staff is necessary it will subsequently appoint, in accordance with Part II of the Ordinance of the University Commissioners: Academic Staff, a Redundancy Committee in respect of all staff in order to undertake the redundancies by such date as the Court may specify.

2.4 The Redundancy Committee will be charged with the determination of the criteria for selection, and recommendation of the requisite staff for redundancy, and to report its recommendations to Court for consideration and approval as appropriate.

2.5 The University will seek to limit the redundancies, as far as practical, to the affected College, School/RI/Service, section or budget centre in which the required changes in work or finance fall.

3. Consultation

3.1 The University undertakes to consult the relevant recognised Trade Union(s) about proposed redundancies as early as practicable and will keep the relevant Trade Union(s) informed of developments as they arise throughout the period of consultation in accordance with Section 3.3 of the protocol below.

3.2 In particular, such consultations will begin:

at least 90 days before the first dismissal is due to take effect, where it is proposed to dismiss as redundant 100 or more staff within a period of 90 days or less within a College, School/RI/Service, section or budget centre; or
at least 30 days before the first dismissal is due to take effect, where it is proposed to dismiss as redundant between 20-99 staff within a period of 90 days or less within a College, School/RI/Service, section or budget centre; or
as soon as is reasonably practicable before the first dismissal is due to take effect, where it is proposed to dismiss as redundant fewer than 20 staff within a College, School/RI/Service, section or budget centre.

3.3 To initiate and facilitate consultation formally, the University will provide the relevant recognised Trade Union(s) with written information relating to its proposals, including the:

reasons for the proposals;
number and description of members of staff it is proposed to declare redundant;
total number of members of staff of any such description employed in the College, School/RI/Service, section or budget centre, directly affected;
proposed method of selecting the members of staff who may be identified as redundant;
proposed method of carrying out the dismissals in accordance with agreed procedures as appropriate;
period over which the dismissals are to take effect;
proposed redundancy terms, including whether provision is to be made for pay in lieu of notice, and the method of calculation, if other than that specified by employment legislation.

3.4 Such consultation will be meaningful to both parties, and conducted with the representatives of all staff who may be affected, with a view to reaching agreement on ways to avoid, to reduce the numbers of and to mitigate the consequences of the proposed redundancies.

3.5 At the request of the individual member of staff, and at any pertinent stage in the process the University will also offer consultation on an individual basis with the relevant Head of School/RI/Service or nominee regarding the implications for the affected members of staff. Consultation with groups of affected staff will be conducted in conjunction with the territorial Human Resources Manager. Such consultation will also consider ways to avoid proposed redundancies, including consideration of volunteers for redeployment, severance or early retirement. At all stages of individual consultation staff may be accompanied by a Trade Union representative or fellow worker.

3.6 The University will provide the relevant Trade Union(s) with a copy of any statutory notice supplied to the Department of Trade and Industry about the proposed redundancies.

4. Selection for compulsory redundancy

4.1 To assist the Redundancy Committee in the selection process a Structural Change Committee will normally be established by the Redundancy Committee to act on its behalf locally at a College, School/RI/Service, section or budget centre level as appropriate. Where a Structural Change Committee is not established the Redundancy Committee will act directly should it be appropriate and sustainable, and all references hereafter to the Structural Change Committee will refer to the Redundancy Committee.

4.2 The Structural Change Committee will comprise the relevant Head of College or equivalent manager, Head(s) of School/RI/Service(s) or other senior manager and territorial Human Resources Manager. The role of the territorial Human Resources Manager will be to advise the Structural Change Committee on the operation and application of this protocol to ensure its activities are conducted in a safe and fair manner. It will consult with the relevant Trade Union(s) and individual members of staff appropriately before making any selection recommendations to the Redundancy Committee. The Redundancy Committee will consider the Structural Change Committee’s recommendations in undertaking its activities as described in Section 2.4 of the protocol above. It remains the final responsibility of the Redundancy Committee to select and recommend the requisite members of staff for redundancy and to make their recommendations to the Court.

4.3 The Structural Change Committee will initially establish the selection pool from which the affected staff are to be drawn, and develop the proposed selection criteria (including any maximum weightings and associated points system to be applied to each of those criteria) in accordance with the University’s institutional interests, whilst taking into account the need for fair treatment for its staff. The Structural Change Committee will inform and consult with relevant campus Trade Union(s) with the intention of agreeing the selection pool and criteria.

4.4 Selection criteria should be as objective as possible and capable of being applied in an independent way. These may include, although not exhaustively, subject specialism, skills, aptitudes, qualifications, experience, performance, flexibility, quality of work, attendance, timekeeping, disciplinary record and length of service, and may be varied according to circumstance to meet the future staffing profile and needs of the College, School/RI/Service, section or budget centre as appropriate. Care should be taken to ensure the number of criteria used is optimal but not excessive.

4.5 No member of staff will be selected for redundancy on the basis of criteria unrelated to their role/employment, eg. sex or gender, marital or parental status or other family circumstance, sexual orientation, disability, religion, race, colour, age, ethnic or national origin, political views or Trade Union membership, duties or activities, social or economic class, or any other ground not relevant to good employment practice.

4.6 The Structural Change Committee will recommend to the Redundancy Committee the selection pool and criteria, reporting the issues raised through collective and individual consultation appropriately.

4.7 Once the selection criteria have been approved by the Redundancy Committee they will be applied by the Structural Change Committee to develop provisional recommendations of the staff to be selected for redundancy.

4.8 The Structural Change Committee will inform the relevant recognised Trade Union(s) in writing of the names of those selected and the reasons for the provisional recommendations, together with the number, School/RI/Service and description of the members of staff who have been identified as potentially redundant, together with the total number of staff of that description in the College, School/RI/Service, section or budget centre as appropriate. It will also discuss with the relevant recognised Trade Union(s) the redundancy proposals, and give serious consideration to constructive alternatives proposed by the Trade Union(s) with a view to reaching agreement before its final recommendations are made to the Redundancy Committee.

4.9 The Structural Change Committee will consult on an individual basis with those staff provisionally selected for redundancy. In the course of the consultation, staff will be informed of the basis of their proposed selection for redundancy and will be invited to make representations on their proposed dismissal. The consultation will consider any views put forward on alternatives to redundancy and the scope for alternative employment, together with any entitlement to redundancy pay and associated support measures in the event of redundancy.

4.10 The scope to facilitate redeployment to suitable alternative employment will be fully considered in accordance with the provisions of the University’s redeployment procedure in Section 5 of the protocol below.

4.11 The Structural Change Committee will recommend to the Redundancy Committee the staff provisionally selected for redundancy, reporting the issues raised through collective and individual consultation appropriately.

5. Redeployment

5.1 Eligible staff will be those whose posts have been formally identified as provisionally redundant or who have received formal notice of redundancy. The redeployment procedure seeks to ensure that eligible staff are assisted to obtain suitable alternative posts within the University.

5.2 In seeking to provide suitable alternative employment, consideration will be given to the comparability of the new position with that previously held in terms of grade, rate of pay, hours of work, location and working environment. It is acknowledged that exact matches may not be possible; therefore flexibility and an open-minded approach will be necessary from both members of staff and management concerned. No available post should be dismissed from consideration solely on the basis that it is at a lower/higher grade or salary than that held by any provisionally redundant member of staff.

5.3 Eligible members of staff will be placed upon a Job Seekers’ Register which will be maintained by the Human Resources Service. Such staff will be required to provide a summary CV, with assistance provided as necessary, in a standard format identifying their key qualifications, experience, transferable skills and employment interests. The Job Seekers’ Register will retain such information, together with details of grade, title, School/RI/Service, and, where relevant, expected date of redundancy.

5.4 Prior to advertising vacancies, managers with vacancies will be expected to consider all staff on the Job Seekers’ Register to determine those who may satisfy the essential selection criteria for selection for interview, or those who could satisfy these criteria with reasonable retraining. Where it is unclear whether the member of staff could satisfy the essential selection criteria for selection for interview, with or without retraining, they will be offered the opportunity for interview regardless. A record will be kept of the reasons for selection or non-selection for interview. The reasons for non-selection for interview will be reviewed by the territorial Human Resources Manager and provided to the member(s) of staff concerned.

5.5 Identified staff would be interviewed to review suitability for appointment and required to submit a supporting application (in addition to the CV and details from the Job Seekers’ Register) in respect of such vacancies prior to the interview. The redeployment interview panel will normally consist of the manager with the vacancy and a manager of similar seniority from a cognate School/RI/Service.

5.6 Following the interview:

If the relevant member of staff fully satisfies the essential selection criteria, s/he will be offered the opportunity to be redeployed to the new position, subject to a mutually agreed trial period comprising the statutory four weeks’ trial. This period can be extended prior to commencement by mutual agreement should it be considered practical and necessary for retraining purposes;
If the member of staff could fully satisfy the essential selection criteria with a reasonable level of retraining, the nature, extent and means for gaining such retraining will be agreed with the recruiting manager, member of staff and Human Resources Service. The member of staff will be offered the opportunity to be redeployed to the new position, subject to satisfactory completion of the agreed retraining and to a mutually agreed trial period inclusive of the statutory four week’s trial. This period can be extended prior to commencement by mutual agreement should it be considered practical and necessary for retraining purposes;
If the member of staff is unsuccessful at interview written reasons will be provided to him/her indicating why an offer of the opportunity to be redeployed to this vacancy is not appropriate. The reasons for non-selection will be reviewed by the territorial Human Resources Manager.

5.7 In the event of redeployment to a lower paid post, the member of staff’s existing salary would be protected for a period of one year. Protected existing salary will mean basic salary without overtime or other non-contractual payments. During the period of protection the protected salary will be ‘frozen’ and thus not attract incremental progression. Where the alternative employment is for different hours of work, either more or fewer than in the existing post, this will be taken into account in determining the extent of salary protection.

5.8 Although where a new or renewed contract is offered it will not normally be appropriate for the University to seek to terminate a trial period prematurely, following appropriate consultation with the member of staff and the territorial Human Resources Manager, trial periods may be terminated by the University at any time during the period if the redeployment is not considered successful for reasons arising directly from the change in role. If a trial period is not terminated before its completion the post must be confirmed. The member of staff may terminate a trial period, following appropriate consultation, unconditionally on the grounds that it is considered unsuccessful. If the member of staff remains in post they will no longer be eligible for redundancy pay.

5.9 Any member of staff who has received formal notice of redundancy, who unreasonably declines an offer of suitable alternative employment or unreasonably terminates a trial period in that employment, will normally forfeit the right to redundancy pay.

5.10 Where there is a dispute over the reasons for non-selection for interview or redeployment, or the suitability of alternative employment, or whether a trial period was terminated unreasonably, the matter will be reviewed by the territorial Vice-Principal together with a Human Resources Manager not previously involved upon the written submission from the relevant member of staff or manager as appropriate.

5.11 Staff who are redeployed will receive a written statement of the terms of their amended contract; continuity of service and service-related benefits will be protected. Staff accept as a condition of redeployment to undertake appropriate retraining as deemed necessary by the University.

5.12 If having applied this procedure there is no interest in a vacancy or no appointable candidate, only then will the vacancy be advertised. It is expected that the redeployment selection process will normally be completed within 2 weeks.

6. Redundancy committee

6.1 The Redundancy Committee will comprise a Chairperson (normally the Principal or Vice-Principal Staffing), two lay members of the Court (appointed by the Chancellor’s Assessor), the Director of Human Resources or nominee, two members of academic or related staff, one of whom will be a Senate Assessor, normally from outwith the affected College, School/RI/Service, section or budget centre (nominated by the Clerk of Senate), and two members of support staff normally from outwith the affected College, School/RI/Service, section or budget centre (nominated by the Secretary of Court). The role of the Director of Human Resources, or nominee, will be to advise the Redundancy Committee on the operation and application of this protocol to ensure its activities are conducted in a safe and fair manner.

6.2 The Redundancy Committee will consider the redundancy selection recommendations of the Structural Change Committee and consult collectively and individually, as it deems appropriate. It will undertake to obtain the approval of Court for its recommendations.

6.3 The Court may approve the Redundancy Committee’s recommendations, or refer the matter back to the Redundancy Committee for further consideration in accordance with any further directions from the Court.

6.4 If the Court approves the Redundancy Committee’s recommendations, the Director of Human Resources, or nominee, acting on behalf of the Court as its delegate, will notify the member(s) of staff concerned that their employment is to be terminated by reason of redundancy. Notice of the date on which the employment is to end will be given as far in advance as is practical. In addition, each member of staff will be given separate notice of the selection decision approved by the Court, and will be given a statement denoting the circumstance for the decision and a summary of the action taken by the Court, and the selection processes applied by the Redundancy Committee.

6.5 The member(s) of staff so notified will also be advised of his/her right of appeal and the grounds and timescale for lodging an appeal.

7. Redundancy support measures

7.1 In facilitating redundancy support measures, the Director of Human Resources will:

ensure that a member of staff who is a member of a recognised Trade Union will be offered reasonable facilities to seek advice from Officers of that Union;
ensure that a member of staff who is not a member of a recognised Trade Union will be offered reasonable facilities to receive advice and support from relevant sources;
ensure that a representative of the Human Resources Service is available to meet, either collectively or individually, those members of staff affected with a view to advising on any matter concerned with the termination of his/her employment;
ensure, in conjunction with the Heads of School/RI/Service, that members of staff are allowed a reasonable amount of time off with pay (regardless of length of service) to attend formally confirmed interview and/or training for other employment;
consider using internal services (eg. Staff Development Service) and/or external services (eg. outplacement agency or the Employment Service) to improve the employment potential of staff affected by redundancy, through such provision as careers advice/counselling, CV writing skills, interviewing skills. Additionally, consideration will be given to the provision of independent financial advice and pre-retirement advice.

7.2 The University is committed to providing effective redundancy support measures and will consult with the Trade Union(s) upon the range of measures which can be taken in the context of each redundancy proposal. Within the range of measures available, members of staff will receive support personalised to their needs in agreement with them.

7.3 Staff eligible for such support will be those whose posts have been formally identified as provisionally redundant or who have received formal notice of redundancy.

8. Financial arrangements

8.1 Staff qualifying for redundancy pay should normally anticipate working up to the date on which their formal notice expires. Where a member of staff wishes to leave before the end of his/her notice period, consideration will be given to the circumstances and permission will not be withheld without good reason. However, if a member of staff leaves prematurely without the University’s permission, s/he may forfeit his/her entitlement to a redundancy payment or payment in lieu of notice.

8.2 In cases of compulsory redundancy, the scale of entitlement will be calculated on the basis of statutory provisions only. The University at its discretion may offer enhanced redundancy terms and payments and such will be deemed to be inclusive of any entitlement to statutory redundancy pay under any prevailing legislation. Relevant recognised Trade Union(s) will be advised of any enhanced terms which may be available at any particular time at the University’s discretion in accordance with Section 3.3 of the protocol above.

8.3 For the purpose of calculating compensation, pay is defined as at the date of termination, and in accordance with the limits of the statutory redundancy payment schedule applicable at that time.

8.4 Holiday entitlement will accrue up to the end of the notice period and will normally be taken prior to the expiry of notice.

9. Miscellaneous

9.1 Members of staff dismissed under the University’s Disciplinary Procedure whilst under notice of redundancy will forfeit any entitlement to a redundancy payment, regardless of whether the redundancy was to be voluntary or compulsory.

9.2 Where the member of staff to be declared redundant is recognised by the University as an Officer or Official of a recognised Trade Union, the fact of such will be notified by the University to the regional office of that Trade Union.

10. Appeal

10.1 A member of staff who wishes to appeal against his/her selection for redundancy may submit an appeal in writing, setting out the grounds of appeal, to the Secretary of the University Court within 28 days of receipt of his/her formal notice of termination. The Secretary of the Court will make arrangements for any appeal from any member of staff in any staff group (whether academic or non-academic) to be heard, in accordance with the appropriate appeal provisions of Part V of the Ordinance of the University Commissioners: Academic Staff. Where a Senate Assessor is a member of the Appeal Committee they will not have been previously involved in the matter.

10.2 Appeal against any decision taken in the application of this protocol will be dealt with under the appeal provisions contained in this protocol. Any appeal against unfair or discriminatory treatment concerning the application of this protocol may be dealt with internally under the University’s Harassment or Grievance Procedure(s) as appropriate.

January 2002

Final Version: Management of Compulsory Redundancy Protocol

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