BLACKPOOL MAT Policy / MANAGING STAFFING ESTABLISHMENTS
Reviewed and Adopted by the MAT Board of Directors:
December 2016

CONTENTS

Page Nos
Introduction / 3
Forward Planning of staffing establishments / 3
Developing the ideal structure / 3
Reducing the number of redundancies / 4
What is a redundancy? / 6
The principles of Consultation / 7
Implementing the new school structure / 9
Selection for redundancy process / 10
Challenge and Appeals process / 12
Notifying the Authority and giving notice / 14
Suitable alternative employment / 15
Redundancy payments / 15
Support for staff, Headteachers and Governing Bodies / 16
Costs / 17
Appendix 1 - Process flow / 18
Appendix 2 – Scheme for the voluntary transfer of employees in schools with delegated budgets / 22
Appendix 3 - Transferred redundancy scheme / 24
Appendix 4 - Redundancy ready reckoner / 25
Appendix 5 - Personal Profile / 27
Appendix 6 – Redundancy selection matrix / 30

INTRODUCTION

The purpose of these guidelines is to offer advice on the planned management of staffing establishments and measures to avoid compulsory redundancy/redundancies.

It is recognised that the School Standards and Framework Act 1998 placed certain responsibilities and obligations upon the Governing Bodies of schools with delegated budgets. The contents of this redundancy procedure and the notes for guidance must, therefore, be applied subject to the statutory powers and the duties of Governing Bodies.

The School/Academy, as a caring employer, has sought to establish good employment practices to achieve good industrial relations and positive staff morale. To facilitate the continuation of these practices, the Authority has consulted on this Policy with the Trade Unions and Professional Associations.

The overall aim of the School/Academy is to provide an effective education for all its learners and to facilitate achieving the outcomes in its School/Academy development plan. This will remain paramount when re-organisation or restructure necessitates the reduction in the number of employees at the School/Academy. The Governing Body will however aim to avoid the redundancy of any employee whether this be Voluntary Redundancy or Compulsory Redundancy if possible

FORWARD PLANNING OF STAFFING ESTABLISHMENTS

As part of the process of School/Academy development planning a Headteacher should prepare a development plan based on a 3 year forward planning document including the following:

  • A detailed curriculum plan, taking account of any changing requirements to the National Curriculum
  • A staffing budget
  • A skills needs analysis of existing teaching and support staff in relation to changing School/Academy requirements in order to identify shortfalls.

This plan should be subject to a regular and as a minimum annual review in conjunction with the Governing Body

This plan should be shared with Trade Unions and Professional Associations at the earliest possible convenience

To support this process the Local Authority will provides pupil projections for numbers on roll and a 3 yearly financial budget

DEVELOPING THE IDEAL STRUCTURE

A School’s/Academy’s most important asset is its people so it is essential the School/Academy improvement plan is matched with the School/Academy structure and plans for recruitment retention, staff development and training

To develop the ideal structure the School/Academy should predict the future demand for different types of staff and analyse the current workforce against the desired future workforce highlighting shortages, surpluses and competency gaps. These gaps become the focus of a detailed plan, identifying the changes required and implementing strategies that will build the relevant skills and capacity needed for the School’s/Academy success.

The planning cycle

The planning cycle is broken down into five steps.

Step 1 Where are we now in terms of meeting the needs of all children through a

comprehensive staffing structure - use information from School/Academy development plan, School/Academy budgets, pupil numbers and R.A.I.S.E on line to determine current status

Step 2The projection of pupil numbers and impact of current strategies

Step 3Identify any gaps – via skills audit and Appraisal

Step 4 How are we going to get there? – Using evidence collected from steps 1, 2 and 3 to determine an action plan

Step 5 Evaluation – impact assessment and future forward planning

REDUCING THE NUMBER OF REDUNDANCIES – POTENTIAL ADJUSTMENT STRATEGIES

It will be for the Governing Body to determine what steps must be taken to reach the required staffing levels, having taken advice from the Headteacher, the Officers/Advisers of the Authority and the Diocese, where appropriate.

Should the need arise to reduce staffing levels; every endeavour will be made by the Governing Body, the Academy Trust, the Authority and/or the Dioceses to achieve reductions by means other than compulsory redundancy. These measures will be taken at the earliest opportunity and will involve full consultation with affected staff and their Professional Association/Trade Unions.

Schools/Academies must make every effort to mitigate compulsory redundancies; only as a last resort will staff be dismissed on these grounds

.

Staffing levels should be followed in accordance with statutory employment law and best practice and should take into consideration reasonable measures as follows;-

  • Resignation – accepting voluntary staff resignations
  • End of contract – this being the termination of fixed term, temporary or casual contractsVoluntary redundancy where a member of staff is below the age of 50 and is not eligible for premature retirement
  • Voluntary reduction from full-time to part-time/adjustment of hours and job shares
  • Long term leave of absence without pay (e.g. Career breaks undertaken by agreement between the school and the employee)
  • Restructuring of teaching and learning responsibilities which would be presented as part of the business restructure plan. (Salary safeguarding will be applicable and would require costing as part of the overall budget plan)
  • Restriction on recruitment
  • Promote suitable alternative employment and provide training if this is necessary
  • Reduction from full-time to part-time/adjustment of hours when filling existing vacancies
  • The use of full-time/part-time, temporary/fixed-term contracts if falling role(s) are projected in the future. (Potential option to accept phased retirements)
  • Transferred Voluntary Redundancy with appropriate redundancy payments Redundancy is agreed in one School/Academy subject to the voluntary transfer of a member of staff from another overestablished School/Academy and the consequent loss of a post. (See Appendix 1)

Career guidance and retraining schemes

To voluntarily place staff in other roles, or with other year groups with appropriate support where necessary. This is to be done by means of negotiation with individual staff, professional associations and the trade unions. For example in secondary schools this may include increased use of teachers in their second/third subject areas and in primary schools this could involve additional support to enable delivery across all key stages

The school to develop an INSET Programme for whole School/Academy to provide retraining or updating of skills and expertise. This may require further discussion with the Authority in relation to provision and funding.

Facilitate training for another year group or key stage role or for another sector, e.g. primary, secondary or special.

Where support has been identified consultation between line manager and employee will allow for consideration to be given to the appropriate strategies to be adopted.

Note: When adjustment strategies are being considered, in the interests of equality these should be open to all staff in the School/Academy.

Summary

Whilst the Governing Body/Academy Trust, the Authority and/or the Dioceses are committed to avoiding compulsory redundancy wherever possible and to maintaining employment, it is recognised that in some cases there may be no alternative except to consider dismissal on the grounds of compulsory redundancy. Where it is considered that this situation might arise,the Governing Body must discuss the matter with the Authority and/or Diocese where appropriate as early as possible. (In Academy policies please delete this line)

WHAT IS A REDUNDANCY?

Redundancy is one of the most complex areas of employment law and each case needs to be considered in relation to the individual facts. It is essential that the advice of the Schools/Academy HR team is sought where further clarification is required on the application of this policy.

In view of the possibility of claims of unfair dismissal or unfair selection for redundancy to an Employment Tribunal, all stages must be properly documented and formally communicated in writing.
Defining Redundancy

An employee is dismissed by reason of redundancy if the dismissal is wholly or mainly attributable to the fact that: -

  • The employer has ceased or intends to cease to carry on the business (in the sense of work) for the purpose of which the employee was employed or has ceased or intends to cease to carry out the business in the place where the employee was so employed

OR

  • The requirements of that business for employees to carry out work of a particular kind or for employees to carry out work of a particular kind in the place where the employee was so employed have ceased or diminished or are expected to cease or diminish.

In simple terms this means:

The statutory definition says that a redundancy exists in 3 situations:

  • Closure of a business as a whole (business disappears)
  • Closure of a particular workplace (workplace disappears)
  • Diminished need for employees to carry out work of a particular kind i.e. employees are now surplus to requirements (job disappears)

The non-renewal of a temporary contract (other than a specific task contract) where there is the requisite amount of one or more years' continuous service and a post is to be lost, will fall into the category of compulsory redundancy and these procedures will, therefore, apply.

In the case of specific fixed term temporary contracts related to external funding the case will be dependent upon length of service and service history and advice should be sought from school’s HR team.

Employees with less than 2 years continuous service by the effective date of termination will not be eligible for a redundancy payment, but may be entitled to claim unfair dismissal. Therefore proper procedures, including consultation must be applied.

THE PRINCIPLES OF CONSULTATION

Legal requirements

Section 188 of the Trade Union and Labour Relations (Consolidation) Act 1992 requires that during the initial consultation, the following timetable must be observed:

  • Where it is proposed to dismiss as redundant 20-99 employees within a period of 30 days or less, notification must be given at least 30 days before the first dismissal takes effect. Section 193 of the Trade Union and Labour Relations (Consolidation) Act requires the Local Authority to notify the Secretary of State.
  • Where it is proposed to dismiss as redundant fewer than 20 employees, no specific period is laid down. However, notification must be given at the earliest opportunity and it is advisable that this is at least 30 days before the first dismissal takes effect.

In the case of voluntary aided, foundation Schools and Academies (where agreed as part of the HR contract for services), the Authority will do this at the earliest possible stage on behalf of the Governing Body and will advise the Headteacher/Governing Body accordingly.

Formal Consultation is only deemed to have commenced when the recognised Professional Associations and Trade Union Representatives have been provided with the above information in writing within the timescale stated above.

At this stage no named individual should have been identified as potentially redundant.

Parties involved in Consultation during redundancy process

There are several key groups to consider during consultation and the responsibility for this will lie with the Governing Body of the School/Academy.

The Governing Body of the School/Academy, Local Authority, Professional Association, Trade Unions and Employees all have individual roles and responsibilities as detailed below

The Governing Body of the School/Academy

The Governing Body of the School/Academy are responsible and accountable for ensuring that the principles of this policy are effectively implemented for all employees and should be provided with

  • A Business case for the proposed staffing restructure and associated budget
  • Given the opportunity to provide comments or alternative suggestions regarding the proposed structure, prior to ratifying the proposal submitted
  • Be kept updated on any queries/outcomes as a result of consultation
  • Applications submitted for Voluntary Redundancy for their consideration
  • Identify a panel of three Governors who will form the Staffing Review Committee
  • Identify a panel of three Governors who will form the Appeals Committee

Local Authority

The Schools/Academy HR Team and School/Academy advisor are responsible for ensuring that all key legislation requirements are adhered to whilst promoting/supporting the policy and its implementation when requested, and should be

  • Provided with a copy of the business case regarding the proposed new staffing structure and associated budget and invited to provide comments or alternative suggestions prior to any staff, Professional Teacher Associations or Trade Unions notification
  • Able to support throughout the process from commencement to completion (only in the case of maintained schools)

The Headteacher

The Headteacher is responsible for leading (on behalf of the Governing Body) the day to day management of the proposed restructure/redundancy process including

  • Provision of a Business case for the proposed staffing restructure and associated budget
  • Consultation with unions/staff
  • Provision of relevant documents to all parties concerned throughout the process
  • Liaise and seek advice from local authority representatives (where applicable)
  • Advising the governing body on key issues throughout the process

Trade Unions

The Professional Teacher Associations and Trade Unions are responsible for engaging in consultation and representing member’s interests throughout the process and should be:

  • Advised of the position by means of a business case regarding the proposed new staffing structure and associated budget including;- :
  1. The reasons for the proposal.
  2. The measures which have been and are being taken to avoid or reduce the need for compulsory redundancies.
  3. The maximum number of staff who are at risk of redundancy.
  4. The total number of staff employed at the school.
  5. The total number of agency staff employed by the school
  6. The proposed criteria for the selection of staff that may be dismissed as redundant
  7. The proposed method of carrying out any dismissals with due regard to this procedure, including the period over which any dismissals are to be effected
  • Provided with a copy of the proposed new staffing structure and associated budget and invited to provide written comments or alternative suggestions prior to any staff notification
  • Provided with a written response, giving full reasons where any views or alternative proposals made by Professional Associations and Trade Unions have been considered but not accepted.

Employees

Employees (including staff absent due to maternity, sickness etc) are responsible for complying with this policy as well as seeking advice from their Professional Associations or, Trade Unions representatives and the Headteacher and should be:

  • Advised of the position
  • Provided with a copy of the proposed new staffing structure/business case
  • Procedures to be followed as part of the de-selection process
  • Consulted on the voluntary opportunities available as a means of adjusting staffing.

Managers must ensure that any employees who are absent from work are made aware of the potential changes and are given full opportunity to be involved in the consultation and communications as notified above. Advice should be sought from the Human Resource Team

Note: In the case of Schools/Academy with staff who are not members of recognised Professional Associations and Trade Unions then consultation may take place with employee representatives or with individual staff.

The consultation must be undertaken with a view to reaching agreement between all parties concerned.

IMPLEMENTING THE NEW SCHOOL/ACADEMY STRUCTURE

After assessing the impact of the new School/Academy staffing structure on the original job roles and numbers you will need to identify whether jobs are:

  • Unaffected
  • Disappearing
  • New
  • Changed significantly enough to be classed as new
  • Ring-fenced

Unaffected

This is where the job description remains the same but the number of jobs either stays the same, increases or decreases, for example.

  • Where the number of jobs remain the same there will be no change
  • Where the number of jobs increase, additional jobs will be offered to employees at risk of redundancy by means of an agreed recruitment process prior to being advertised through the internal recruitment process and where not filled would then move to external recruitment
  • Where the number of jobs decreases the selection for redundancy process will be used to select those staff who will remain in their roles and those who are ‘at risk’ and potentially redundant.

Disappearing

This is where the current job description and or activities will no longer be performed and the job holder(s) will therefore be at risk and potentially redundant if their skill set as identified through their personal profile form (see Appendix 4) does not match any remaining opportunities within the School/Academy

New

Jobs are completely new where, for instance the role has been newly created and a new job description is needed. These jobs will be offered to employees at risk of redundancy by means of an agreed recruitment process prior to being advertised via the internal recruitment process (all internal staff) and where not filled would then move to external recruitment.

Changed significantly enough to be classed as new

Jobs will change if some of the activities of the job description from the original staffing structure are evident in job descriptions in the new staffing structure. This should be considered in all cases where 20% or more of the role has changed and therefore is changed significantly to be classed as a new role.

Any employees whose roles are impacted by the change will be at risk unless they are successful in applying for the new role(s). These employeeswill be considered for the new role using the job description/role profile in the first instance and be offered an opportunity to apply by an agreed selection process prior to internal and/or external recruitment.