Employment Policies, Procedures & Guidelines for Schools Redundancy Procedures Guidance and Code of Practice for Schools (Contents) 1.

Introduction

2.

Strategies for Avoiding Redundancy

3.

Role of Headteacher and Governing Body in Identifying Potential Redundancies

4

Consultation

5.

Redundancy due to Fixed Term Contract

6.

Selection

7.

Procedures to be Adopted by the Governing Body

8.

Alternative Employment

9.

Time Off to Seek Alternative Employment

10.

Offers of Alternative Employment

11.

Notice of Termination of Employment

12.

Redundancy Payments

13.

Pension Release

14.

Role of the Local Authority

15.

Conclusions and Contact Numbers

Appendix

1 2 3 4 5 6 7 8 9 10 11

Union Officials Letter Advising all Staff of Reasons for Redundancy- Template S.188 Notice- Template Standard Information Checklist for S.188- Template Letter Confirming Selection for Redundancy- Template Letter Confirming Decision of Personnel Committee- Template Letter Confirming Decision of Appeals Committee- Template Proforma to LA confirming notice of termination Example of Timescale for Redundancy Ready Reckoner for Calculating Redundancy Payment Table for calculation of Severance Payment

Employment Policies, Procedures & Guidelines for Schools REDUNDANCY PROCEDURE GUIDANCE AND CODE OF PRACTICE FOR SCHOOLS 1. Introduction As governing bodies are empowered by the Education Act 1996 to set the staffing complement of the school, they will also be in a position to establish when they have surplus staff. The Act makes governing bodies responsible and answerable before an employment tribunal for handling any eventual dismissal fairly which will include the offer of any suitable alternative work in the school. This Code of Practice has been produced in consultation with all relevant trade unions to assist headteachers and governing bodies to discharge their responsibilities properly and lawfully. 2. Strategies for Avoiding Redundancy Wherever possible, it will be in the best interests of all parties to plan staff requirements in such a way as to avoid or minimise the need for redundancies. In consultation and with assistance from the Local Authority, action may be taken which could avoid redundancy. For example, by assessing the longer-term staffing needs of the school or by reducing staff numbers through other means (normal resignations, early retirements or possible re-deployment) or the use of different employment strategies such as carefully reviewing all vacancies as they occur and assessing whether the post needs to be filled at all or filled on a part time basis. Job share may also be considered and the re-allocation of duties.

3. Role of Headteacher and Governing Body in Identifying Potential Staffing Reductions Where compulsory redundancy is unavoidable it is essential that it is managed in the most fair, consistent and sympathetic manner to minimise, as far as possible, any hardships that may be suffered by the staff concerned. a) A potential redundancy situation in a school may arise because of one or more of the following factors:i) A reduction in the number of pupils on roll. ii)

A school budget shortfall

iii)

A change in the proportion of pupils in the varying age groups.

iv)

Overstaffing in a particular curriculum area or change in curriculum need.

v)

Restructure/Reorganisation

vi)

The end of a fixed term contract (see section 6, page 5) December 2005 Page- 1 -

Employment Policies, Procedures & Guidelines for Schools b)

It is the responsibility of the Headteacher to advise all staff, and school union representatives/ elected representatives within good time of the potential redundancy situation. In all cases the following procedure should be followed. The governing body will determine whether reductions in staff will be necessary, the likely area to be identified (i.e. teaching and/or non- teaching staff) and the suggested method of selection.

c)

Following the governing body’s determination, ALL staff in the school will be informed in writing by the Clerk to the Governors of the need to reduce staff and of the reasons. The Clerk to the Governors will deliver the letters for ALL Staff to the school for distribution by the Headteacher. Volunteers for redundancy or early retirement should also be sought at this stage. Staff will be invited to make written or oral representations if they so wish. The formal consultation process with the Trade Unions/professional associations will commence at the earliest opportunity. It is imperative that the process is started in good time in order to effect the dismissals on the appropriate dates, (some examples are given in Appendix 9)

d)

It is essential that the advice of Finance / Education Personnel Advice Team of the authority is sought before any decision on Redundancy is taken at full Governing Body level. The Director of Children’s’ Services will need to approve school redundancies before they are effected.

4.

Consultation

a)

The purpose of consultation is to provide as early an opportunity as possible for all parties concerned to discuss the problem and explore the options for reducing or avoiding redundancies.

b)

As a matter of good practice employers have a duty to consult individual employees and their recognised trade unions or elected representative’s in respect of all proposed redundancies, irrespective of whether such redundancies are compulsory or voluntary or arise as a consequence of the non-renewal of a fixed term contract. The officials of the recognised trade unions or elected representatives for both teaching and non-teaching staff are set out in Appendix 1. (Schools are requested to place lists of these officials on staffroom noticeboards).

c)

For the purposes of the duty to consult, redundancy is defined in Section 34 of the Trade Union Reform and Employment Rights Act 1993 (TURERA) as:“Dismissal for a reason not related to the individual concerned or for a number of reasons all of which are not so related”

d)

In a school situation it is the Governing Body which has the responsibility of consulting the relevant parties in respect of any proposal to reduce staffing levels within the school. Consultations would normally be delegated to the Headteacher by the Governing Body.

December 2005 Page- 2 -

Employment Policies, Procedures & Guidelines for Schools e)

Section 188 of the Trade Union and Labour Relations (Consolidation) Act 1992 (TULR(C)A) provides for the following minimum periods of consultation with the relevant parties in respect of redundancies:i)

Where the employer is proposing to dismiss as redundant one hundred or more employees at one establishment within a period of 90 days or less, at least 90 days before the first of those dismissals take effect, or

ii)

Where the employer is proposing to dismiss as redundant twenty to ninetynine employees at one establishment within a period of 90 days or less, at least 30 days before the first of those dismissals take effect.

f)

Although section 188 of TULR(C)A 1992 does not stipulate a period for consultation where there are less than twenty employees to be made redundant, the obligation to consult trade unions/elected representatives and individual employees in such cases, within good time, remains an important consideration in arriving at a fair dismissal. However, it has been agreed with unions that they should receive the section 188 notice 10 working days prior to the first consultation meeting (except by mutual agreement). Governing bodies should therefore allow sufficient time for consultations to take place and need to take into careful account the rights of appeal of individual employees and contractual periods of notice. These are dealt with elsewhere in this document.

g)

If an individual governing body proposes to make twenty or more employees redundant then, in accordance with Section 193 of TULR(C)A, 1992, the appropriate Secretary of State must be informed using the appropriate Form HR1. In such circumstances seek advice and clarification from the Education Personnel Advice team. N.B. It has been agreed with unions that they should receive the section 188 notice 10 working days prior to the first consultation meeting (except by mutual agreement).

h)

For the purposes of consultation, required by section 188 of TULR(C)A 1992 as amended by section 34 of TURERA, 1993 the employer (for this purpose the Governing Body) must disclose in writing to the trade union/elected representatives:i)

The reasons for the proposal. (see paragraph 3a (page 1))

ii)

The numbers and descriptions of employees whom it is proposed to dismiss as redundant. (State the number of full time equivalent teaching/non-teaching staff).

iii)

The total number of employees of any such description employed at the establishment in question. (State the number of full time and part-time teaching/non-teaching staff).

iv)

The proposed method of selecting the employees who may be dismissed. (Should reflect the decision of the full governing body and make a statement that account will be taken of the impact of the National Curriculum).

December 2005 Page- 3 -

Employment Policies, Procedures & Guidelines for Schools

i)

v)

The proposed method of carrying out the dismissals with due regard to any procedure, including the period over which the dismissals are to take effect. (Specify notice period and appropriate dates).

vi)

The proposed method for calculating the redundancy payments

The following information should be enclosed with the Section 188 Notice:Standard Information to Trade Unions to Support the Section 188 Notice Financial Information B2 Form (for last 3 years) First Formal Budget Plan (last 3 years) Section 52 Statement – Statement of School Funding Monthly budget printouts and financial year end printouts Other Information 1. All Schools Except Secondary Schools: Staffing profile (for last 3 years)- to include, wherever possible, an indication of trade union membership. Number of pupils on roll (for last 3 years) and projected numbers (on 1 September) School Development Plan (for last 2 years) PLASC Form Relevant Governing Body Minutes where available 2. Secondary Schools All information as defined in 1 (above) plus: Curriculum Audit (Secondary Audit of Teacher Period Time) Timetables (for last 2 years and projected timetable)

j)

The information must be sent to the relevant trade union representatives/ elected representative. The names and addresses of the recognised trade union representatives are contained in Appendix 1. A copy should also be sent to the Director of Children’s’ Services. Advice can be sought from the Education Personnel Advice team in relation to which representatives should receive the information. Should there be any changes in any of the information disclosed in the Section 188 Notice, these should be notified to staff and their representatives as soon as possible and confirmed in writing. The Headteacher will be responsible for notifying the staff of any changes.

k)

Section 188 of TULR(C)A, 1992 as amended by section 34 of TURERA, 1993 requires that the employer (the Governing Body) must consult the staff and their representatives about:December 2005 Page- 4 -

Employment Policies, Procedures & Guidelines for Schools i)

avoiding the dismissals

ii)

reducing the number of employees to be dismissed

iii)

mitigating the consequences of the dismissals

The consultations with trade unions must be undertaken with a view to reaching agreement with the representatives. The Governing Body will have determined responsibility for making decisions for staff dismissals (including redundancy) in line with the School Staffing (England) Regulations 2003. This may involve a committee of the governing body i.e. Staffing or Personnel or this may be delegated to the Headteacher (see governing bodies terms of reference for details of delegation). It is advisable that a Finance officer and an Education Personnel Adviser of the authority are present at the afore-mentioned decision making meeting for staff dismissals (including redundancy). 5. Redundancy due to Fixed Term Contract Terminating a Fixed Term Contract Statutory Dismissal Procedures for Fixed Term Contracts The minimum statutory dismissal, disciplinary and grievance procedures came into force on 1st October 2004 as part of the Employment Act 2002 (Dispute Resolution) Regulations 2004. Under these regulations the end of a fixed term contract and other allied non-permanent contracts now fall within the legal definition of dismissal. The new minimum statutory dismissal procedure requires an employer to comply with a three stage approach to dismissal: • •

•

Employers (Governing Body) must put in writing why they are considering dismissing the employee. They must invite the employee to a meeting at which the issue is discussed. The employee must take all reasonable steps to attend this meeting, and has the right to be accompanied by a trade union representative or work colleague. The decision the employer makes must then be given in writing to the employee. The employer (Governing Body) must offer an appeal, which will be heard by the appropriate committee of the Governing Body. Legislation states that where an employee has accrued 1 years continuous service they have the right to claim unfair dismissal. However to ensure best practice the statutory dismissal procedure detailed above should be applied to all fixed term contracts and not only to those contracts where the employee has accrued 1 years continuous service. Where the statutory dismissal procedure is not fully utilised the employee will have a claim of automatic unfair dismissal.

December 2005 Page- 5 -

Employment Policies, Procedures & Guidelines for Schools Time management of the dismissal procedure is an important issue particularly in relation to non-permanent employment, as the whole procedure must be completed prior to the termination of the contract. Headteachers must ensure that adequate time is allocated to satisfy the requirements of the dismissal procedure prior to the termination of the contract. It is acknowledged, however, that this is not always easy to achieve particularly in relation to certain types of contract such as specific purpose contracts that come to an end upon completion of a specific task. In such circumstances Headteachers will have to monitor the specific task and initiate the procedure when the project is nearing its final stages. The dismissal procedure will be applied more easily to other types of contract that have an end date such as a fixed term contract. Redundancy The end of a fixed term contract may constitute a redundancy if it falls within the definition provided by s.139(1) Employment Rights Act 1996 which provides that: “an employee who is dismissed shall be taken to be dismissed by reason of redundancy if the dismissal is wholly or mainly attributable to (a) the fact that his employer has ceased or intends to cease (i) to carry on the business for the purposes of which the employee was employed by him, or (ii) to carry on that business in the place where the employee was so employed, or (b) the fact that the requirements of that business (i) for employees to carry out work of a particular kind, or (ii) for employees to carry out work of a particular kind in the place where the employee was employed by the employer, have ceased or diminished or are expected to cease or diminish”. If it is concluded that the end of a fixed term contract constitutes a redundancy dismissal this then provides the opportunity for the employee to be awarded a redundancy payment. The calculated payment will be dependent upon the length of continuous local government service. Additionally, if it is concluded that the end of a fixed term contract is a dismissal by virtue of redundancy then the Redundancy Procedure will apply. Prior to the termination of their fixed term contract it is the Headteachers’ responsibility to consult with the employee for redundancy purposes, should the end of the fixed term contract fall within the definition of redundancy. The employee should be consulted in relation to a redundancy at least 30 days prior to the expiry of their contract. It is also the manager’s responsibility to ensure the Council’s Redundancy procedure is adhered to. Procedure 1. Staff must be consulted 30 days prior to the termination of their contract therefore Headteachers must inform the Education Personnel Advice Team as soon as possible prior to this date. 2. The Headteacher should consult with the member(s) of staff concerned. The Education Personnel Advice Team will consult with the appropriate trade unions. December 2005 Page- 6 -

Employment Policies, Procedures & Guidelines for Schools 3. The procedure for the termination of fixed term contracts, is as outlined above, however, there is no necessity for full school financial information to be sent out. Schools may wish to consider providing information such as details of the specific funding stream due to expire related to the fixed term post(s). 4. The end of a fixed term contract is generally self-selecting provided that it is for a specific and genuine reason in accordance with The Fixed Term Employees (Prevention of Less Favourable Treatment) Regulations 2002. 5. The employee will be informed in writing of their dismissal and their right to appeal which should be put in writing to the Clerk to the Governing Body within 10 working days of the date of the termination letter. NB. In the case of fixed term contracts there will be no right of representation. 6.

Selection

a)

The reasons for redundancy and the number and category of staff affected will have been previously determined by the governing body.

b)

Volunteers for Redundancy should always be considered in the first instance. It may not always be appropriate to accept volunteers for redundancy. Choosing an actual post, or posts for redundancy must take account of the school development plan and the curriculum needs of the school.

c)

Should compulsory redundancies be necessary, Objective criteria should be used to compare posts (either teaching or support staff) on a matrix in order to assist the Personnel Committee/ Headteacher in making the selection. Individual members of staff at the school within the group affected will be required to complete a selection criteria information form to inform the selection process. It is the responsibility of the Headteacher, (where the selection process is to be undertaken by a committee of the governing body), to ensure that the information contained on these forms is agreed with each individual employee in order to ensure that all entries are consistently described, where the decision on dismissal have been delegated to the Headteacher an alternative member of staff will have to agree individual matrix entries with individual members staff. Individual members of staff will be allowed to see their own final entry and sign and acknowledge as having seen it before presentation to the Personnel Committee/ Headteacher. Once it has been signed by the employee, no changes or alterations to it should be made without the agreement of the individual concerned. In such circumstances the amended entry should also be signed and dated. The Headteacher will also be responsible for informing the individual of how the form will be used in later stages of the selection process.

d)

The following factual criteria set out below must be applied fairly and consistently:i)

Current main areas of responsibility as determined by the formal job description December 2005 Page- 7 -

Employment Policies, Procedures & Guidelines for Schools ii)

Previous areas of responsibility

iii)

Age ranges taught for at least one year

iv)

Key stages of the national curriculum taught i.e. specify 1, 2, 3 or 4.

e)

In addition the Governing Body/ Headteacher may agree the use of other factual criteria following consultation with staff and trade union representatives.

f)

In the case of secondary schools the department(s) or areas(s) will be identified through the school development plan and the curriculum/staffing audit. Every department or area including the management structure should be examined as part of this process.

g)

In the case of midday supervisory staff the selection for redundancy should normally be based on continuous service with the Authority on a “last-in first-out” basis, however Governing Bodies/ Headteacher could use other objective criteria if they so wish. In the case of other categories of support staff one or more of the following factual criteria should be used in consultation with union representatives and staff:i)

Current main areas of responsibility as defined by the formal job description

ii)

Previous areas of responsibility

iii)

Qualifications

iv)

Record of Service (e.g. disciplinary record)

v)

Length of Service with the Authority

h)

Should there be too many volunteers for redundancy the selection criteria specified in paragraphs 6(d) and (g) above would normally be applied.

i)

In the event of the Personnel Committee/ Headteacher being unable to identify a post or posts, further consultations with staff and their representatives will take place to determine further selection criteria. It is essential that such consultations take place as a matter of urgency.

j)

The drawing up of criteria is not enough to guarantee fair and reasonable selection. The Governing Body/ Headteacher must be able to explain the relative importance or priority of each criterion they use, and must clearly inform the staff (and their representatives) how they intend to consider the information provided on the selection criteria form. Even though the criteria may satisfy the test of objectivity, the selection may be unfair if the criteria are carelessly or mistakenly applied.

k)

It is of crucial importance that Headteachers and governing bodies take advice from appropriate officers of the LEA (from their nominated representatives from Finance, Personnel and School Improvement) (see page 12) when considering the selection criteria to be used. December 2005 Page- 8 -

Employment Policies, Procedures & Guidelines for Schools 7.

Procedures to be Adopted by the Governing Body

a)

The governing body will have already delegated responsibility to a personnel committee or to the Headteacher there will also be an appeals mechanism in place. See governing body details of delegation.

b)

The governing body having already agreed staffing reduction are necessary (see paragraph 4c of this document) the personnel committee / Headteacher will consider the application of the criteria as outlined in paragraph 6. In doing so the Personnel Committee must not only ensure that full account is taken of any representations from staff but must also ensure that it consults with trade unions and staff about avoiding the dismissals, reducing the number of employees to be dismissed and mitigating the consequences of the dismissals. It is important that there should be a continuing and meaningful dialogue with the trade unions and staff throughout the selection process and these consultations should be undertaken with a view to reaching agreement with the trade union representatives. In order to meet its statutory obligations in consulting with trade union representatives, the Governing Body may consider that it is appropriate to delegate the initial stages of the consultative process to the Headteacher, who would, if desired, be supported by officers from the LEA. It is important that the Headteacher records all contact with trade union representatives and deals with all requests for information promptly. The Headteacher is responsible for informing trade union representatives of the date and time of any meeting related to the redundancy process. The Headteacher is also responsible for presenting all necessary background information e.g. financial, etc. to enable a selection to be made. The Personnel Committee/ Headteacher may allow a trade union representative to observe the selection process. In this case it is up to the Trade Unions to agree which representative would be present.

c)

Following the selection decision, the individual members of staff selected for redundancy along with his/her union representative should be informed in writing as soon as possible afterwards. The letter should include reference to the right of the individual to make representations to the Personnel Committee/ Headteacher and their subsequent right of appeal to the relevant Committee of the governing body as well as their right to be accompanied by their union representative or a friend on both occasions. The employee should be advised that they have 5 working days in which to inform the Clerk to the Governors of their wish to make such representations.

d)

In the event of the individual wishing to make representations to the Personnel Committee/ Headteacher, seven days notice must be given to all parties in convening a further meeting. December 2005 Page- 9 -

Employment Policies, Procedures & Guidelines for Schools e)

The individual will be invited to submit, in advance, any information they wish to present to the Personnel Committee/ Headteacher for consideration. At this stage the individual/union representative will have a right to view the matrix used in making the selection.

f)

If the Personnel Committee has made the initial selection decision the following procedure will be used should an individual of representation exercise his / her right of representation:-

g)

i)

The Director of Education’s representative will explain, in the presence of members of the Committee/ Headteacher and individual (with trade union representative), the procedure to be followed.

ii)

The Headteacher explains presents the case in respect of the decision to make the individual redundant from the school.

iii)

The individual and/or union representative are given the opportunity to question the Headteacher’s case

iv)

Members of the Personnel Committee are then given the opportunity to question the Headteacher’s case

v)

The individual and/or union representative then present their case

vi)

The Headteacher is given the opportunity to question the individual’s case.

vii)

Members of the Personnel Committee are then given the opportunity to question the individual’s case.

viii)

Both parties will be given the opportunity to sum up provided no new material is introduced, with the individual and/or his/her representative making the final submission.

ix)

The Headteacher, individual and/or trade union representative are then requested to leave the meeting whilst members of the Personnel Committee make their decision, with the support and advice of the Director of Education’s representative.

x)

The individual and/or union representative and the Headteacher are then recalled and the decision announced by the Chairman.

If the Headteacher has made the initial decision the following procedure will be used as (f):xi)

The Director of Education’s representative will explain, in the presence of all parties, the procedure to be followed.

xii)

The Headteacher presents the case in respect of the decision to make the individual redundant from the school. December 2005 Page- 10 -

Employment Policies, Procedures & Guidelines for Schools xiii)

The individual and/or union representative are given the opportunity to question the Headteacher’s case

xiv)

The individual and/or union representative then present their case

xv)

The Headteacher is given the opportunity to question the individual’s case.

xvi)

The individual and or Union Representative are given the opportunity to sum up provided no new material is introduced.

xvii)

The Individual and/or trade union representative are then requested to leave the meeting whilst the Headteacher makes a decision, with the support and advice of the Director of Education’s representative.

The individual and/or union representative are then recalled and the decision announced by the Headteacher.

NOTE: It may be necessary to introduce at a late stage of the above procedures, new material not previously circulated. This is permissible with the agreement of all parties. h)

The individual will then be informed in writing of the decision. If appropriate, the individual must also be informed of his/her right of appeal to the relevant Committee of the Governing Body.

i)

The employee and his/her representative should be advised at this stage that they have 5 working days in which to inform the Clerk to the governors of their wish to appeal.

j)

In the event of the individual wishing to appeal, seven days notice must be given to all parties in convening a meeting of the Appeals Committee.

k)

The procedure to be followed at a meeting of the Appeals Committee is identical to that specified in Paragraph 7(f) above.

l)

The individual will be informed in writing of the outcome of the appeal. In the event of a decision to dismiss being upheld, there is no further internal right of appeal.

8. a)

Alternative Employment Consideration must always be given as to whether alternative employment is available within the school. There is no obligation to create new jobs where the need does not exist, nor should an alternative job offer be made where it is clear that the employee does not have the necessary qualifications or experience. However, if vacancies do exist and are not offered, there must be a good reason for this. December 2005 Page- 11 -

Employment Policies, Procedures & Guidelines for Schools b)

In accordance with the provisions of Schedule 3 paragraph 2(5) of the Education Reform Act 1988, the Authority is empowered to nominate teachers for consideration for any vacancy that occurs in a school for which they are suitably qualified and governing bodies are required to consider potentially redundant staff for all appropriate vacancies. The Act also requires schools to notify the LEA of vacancies as they occur. GOVERNING BODIES ARE URGED TO CO-OPERATE BY ENSURING THAT POTENTIALLY REDUNDANT STAFF ARE GIVEN PRIORITY TREATMENT WHEN VACANCIES OCCUR.

c)

It should be especially noted that where school based staff are employees of the City of Sunderland Council they have the right to be considered for alternative employment in all Directorates where suitable vacancies occur. The Council’s redundancy policy provides that potentially redundant employees will be given priority consideration in the filling of any suitable vacancies (reference should be made to the councils redundancy policy and procedure).

9.

Time Off to Seek Alternative Employment

a)

An employee who has been continuously employed for not less than 2 years and who has been given notice of dismissal by reason of redundancy, is entitled before that notice expires, to be allowed reasonable time off during normal working hours for the purpose of looking for new employment or to make arrangements for training for future employment. The Headteacher should inform individuals of this entitlement.

b)

The right to reasonable paid absence is a statutory entitlement and further advice in respect of individual requests should from the Local Authority.

10.

Offers of Alternative Employment

a)

An individual employee who is offered alternative work is entitled to a trial period of 4 weeks which enables both the individual and employer to gauge whether the new employment is suitable.

b)

The Headteacher and/or Governing Body must ensure when making the offer of employment that the individual is aware that it is subject to a statutory trial period. Schools must advise the Personnel Service as soon as possible after making such an offer, irrespective of whether or not it is accepted by the individual. The LEA will then include reference to the trial period in the letter offering alternative employment.

c)

Advice should be taken from the Personnel Advice Team in all cases.

11.

Notice of Termination of Employment

a)

When a Governing Body determines that an employee at the school is to be made redundant it will be for the Local Authority to issue the notice of termination of employment if there is no suitable employment.

b)

All Staff will receive Statutory/ Contractual notice whichever is the greater. Failure to give the appropriate period required by an individual’s contract of employment, will represent a fundamental breach of contract and may lead to a December 2005 Page- 12 -

Employment Policies, Procedures & Guidelines for Schools claim for wrongful dismissal by the individual concerned. It is, therefore, vital that governing bodies advise the Authority of employees who are made redundant at a time which gives the Authority the opportunity to issue the notice of termination on or before the due date required by the contract of employment. c)

Notice of termination of employment can not be issued to staff until the school instruct the LEA to dismiss, please see proforma as attached in Appendix 8.

12.

Redundancy Payments

a)

The definition of redundancy for redundancy payments purposes remains as any dismissal which is wholly or mainly attributable to:i)

The fact that the employer has ceased or intends to cease to carry on the business for the purposes of which the employee was employed by them, or has ceased or intends to cease to carry on that business in the place where the employee was employed, or

ii)

The fact that 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.

b)

To qualify for a redundancy payment, an employee must have at least two years continuous service. Service before the age of eighteen does not count towards qualification for redundancy payment. Employees who would reach the age of 65 before the date of dismissal are not eligible for a redundancy payment.

c)

The method of calculating the actual amount of a redundancy payment is prescribed by statutory regulations and relates to the actual length of service (in completed years) of each individual member of staff expressed in terms of a week’s pay, subject to a maximum of 30 weeks pay by following the formula thus:i)

for each year of service at age eighteen or over but under 22 – half a week’s pay.

ii)

for each year of service at age 22 but under 41 – one week’s pay.

iii)

for each year of service at age 41 or over but under 65 – one and a half week’s pay.

iv)

The maximum service which may be counted is 20 years.

d)

Severance payment is an enhanced redundancy for support staff only aged 49 or below. (See Appendix 11)

13.

Pension Release

Release of pension is conditional upon the following factors: Teachers December 2005 Page- 13 -

Employment Policies, Procedures & Guidelines for Schools Teachers must be aged 54 years or above unless the redundancy is a result of schools closure or amalgamation in which case the relevant age is 50 years or above. Support Staff Support staff must be aged 50 years or above. In both of the above cases, lump sum and annual pension will be payable. Pension release will be based on contributions to the date of termination with no enhancements. a) The Local Authority will calculate each individual redundancy payment, taking into account continuous service with this Authority and related bodies in accordance with the Redundancy Payments Modification Order. The ready reckoner which is used to calculate the individual payments is attached to these guidelines for information (Appendix 10. 14.

Role of the Local Authority

a)

It is of crucial importance to ensure that appropriate officers of the Authority are involved at every stage of the redundancy process.

b)

Initial advice following the publication of the schools budget is available from the schools finance liaison officer.

c)

Advice on the selection criteria (including the matrix), school development plan and the application of a curriculum audit, is available from appropriate LEA staff (see page 12).

d)

Advice on the whole process of redundancy is available from the Personnel Advice Team (see page 12).

e)

Specialist officers in the areas detailed above will also be available to provide support and advice at meetings of the governing body and its associated committees when redundancy matters are being discussed.

15.

Conclusions Redundancy can be a traumatic experience particularly where staff have worked for many years in a stable environment. It is good employment practice to try to plan to avoid such a potentially damaging occurrence. Where it becomes unavoidable, the following guiding principles should be followed:i)

Give as much warning as possible taking into account possible periods of statutory / contractual notice in the event of staffing reductions having to be made. (Examples are shown in Appendix 9)

ii)

Consult with any recognised Trade Union or with employees representatives in an attempt to avoid or minimise the need for redundancies.

iii)

Where any reduction in staffing is unavoidable, try to achieve it fairly and with as little hardship as possible. December 2005 Page- 14 -

Employment Policies, Procedures & Guidelines for Schools iv)

Look for alternatives to dismissal, such as the availability of other jobs, part time working and job share unless circumstances render these measures impossible.

v)

Establish, in consultation with any Union or employee representatives, the selection criteria and how such criteria will be applied, and;

vi)

Ensure that the criteria are fair and objective and wherever possible not dependent upon the opinions of individuals.

vii)

Failure to follow these procedures may place the Authority in a position where it cannot support the actions of the Governing Body. In such circumstances, the Governing Body will be required to meet the costs of any award made by an employment tribunal.

Advice and Support throughout the process is available from:Peter Snowdon Lynne Casey Rachel Daglish Jill Owens Sarah McAdam Diane Henderson Amanda Hoggett

Ext Ext Ext Ext Ext Ext Ext

1448 1380 1371 1376 1377 1580 2460

Education Personnel Advice & Initial Pension Benefits Information

Val Thompson Bill Slack

Ext Ext

1412 1361

Financial Advice

Finance Liaison Officers: Wendy Pattison Neil Lawther Stephen Brownhill Jill Wilson

Ext Ext Ext Ext

1952 1365 1445 1366

School Improvement Service

Ext.

5600

December 2005 Page- 15 -

Employment Policies, Procedures & Guidelines for Schools APPENDIX 1 TEACHING STAFF UNIONS Mr M J Johnson NASUWT 15 Calderwood Crescent Low Fell Gateshead NE9 6PH

Mr K McDermid SHA c/o Usworth School Heworth Road Washington NE37 2NF

Mr Simon Kennedy - Regional Official NASUWT North East Regional Centre Witney Way Boldon Colliery Tyne & Wear NE35 9PE Tel. 0191 519 5300 Mr H W Brown NUT 2 South View Haswell County Durham DH6 2AD

Tel. 0191 553 6767

NON-TEACHING STAFF UNIONS Ms T Roche Branch Secretary Unison Grange Lodge 1 Grange Crescent Sunderland, SR2 7BH

Tel. 0191 553 2730

Ms A Bryan Branch Secretary GMBATU 15-17 John Street Sunderland SR1 1ED

Tel. 0191 553 8785

Mrs Y Gray NUT c/o St Paul’s C of E Primary School Waterworks Road Ryhope Sunderland SR2 0LW Tel. 0191 553 6281 Mrs G O Mitchell NAHT c/o New Silksworth Infant School Blind Lane New Silksworth Sunderland SR3 1AS Tel. 0191 553 6190 / 1438 Mr W Peacock ATL 5 Grange Road Stanley Co Durham DH9 7RQ

Tel. 0191 219 3838

Tel. 0191 553 3810

Tel. 01207 284684

December 2005 Page- 16 -

Employment Policies, Procedures & Guidelines for Schools APPENDIX 2

To all Members of Staff at

School.

At a meeting of the Governing Body held on it was resolved that because of (specify the reason e.g. budget shortfall, a reduction in the number of pupils on roll), it is considered necessary to reduce staffing levels within the school as follows:-

(State number of posts and category) Should compulsory redundancies be necessary the following criteria will be applied:(Insert the relevant Part of Paragraph 6 entitled “Selection”)

Any member of staff who is interested in voluntary redundancy and/or early retirement is invited to discuss the matter on a confidential basis, and without prejudice with the Headteacher. You are invited to make written or oral comments or suggestions to avoid or mitigate the effects of the redundancies to the Headteacher which will be considered by the appropriate Committee of the Governing Body established to deal with such matters. Please let the Headteacher have any comments by

Clerk to the Governing Body (please amend as necessary)

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Employment Policies, Procedures & Guidelines for Schools APPENDIX 3 Dear Trade Union and Labour Relations Consolidation Act 1992 as amended by Section 34 of the Trade Union Reform and Employment Rights Act 1993 – Section 188 Notice I am writing in accordance with the above employment legislation to advise you formally that the Governing Body of the above named school proposes to dismiss, by reason of redundancy, the employees as detailed below:a)

Reasons for the Proposal.

b)

Numbers and Descriptions of Employees Concerned

c)

Total Number of such Employees at the School.

d)

Proposed Method of Selection

e)

Proposed Method of Carrying Out the Dismissals (i.e. Effective Date and Period of Notice)

f)

Proposed Method of Calculating the Redundancy Payments (where Payments are in Excess of Legal Requirements)

The relevant background documentation is enclosed. I should be pleased to receive your representations as soon as possible and no later than………If you wish to make your representation in person to the Personnel Committee of the Governing Body, the next meeting has been arranged for …………. at the school. Union Colleagues are welcome from………..

Yours sincerely

Headteacher (please amend as necessary)

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Employment Policies, Procedures & Guidelines for Schools APPENDIX 4 STANDARD INFORMATION TO TRADE UNIONS TO SUPPORT SECTION 188 NOTICE CHECK LIST OF DOCUMENTS ATTACHED DOCUMENT 4 FINANCIAL INFORMATION B2 Form (for last 3 years)

First Formal Budget Plan (for the last 3 years)

Section 52 Statement – Statement of School Funding

Monthly Budget Printouts and Financial Year End Budget Printouts OTHER INFORMATION 1. All Schools Except Secondary Schools Staffing Profile (for last 3 years) – to include whenever possible, an indication of trade union membership.

School Development Plan (for last 2 years)

Number of Pupils on Roll (for last 3 years) and projected numbers (on 1 September)

PLASC Form (Form 7)

Relevant Governing Body Minutes where available 2. Secondary Schools All information as defined in 1 above plus: Curriculum Audit (Secondary Audit of Teacher Period Time)

Timetables (for last 2 years and projected timetable)

December 2005 Page- 19 -

Employment Policies, Procedures & Guidelines for Schools APPENDIX 5 Dear Following a decision of the Governing Body of School to reduce staff, and subsequent consultations to consider the criteria for selection the Personnel Committee met on to choose the staff to be declared redundant to the establishment of the school. The following criteria were used:-

I regret to confirm that the Personnel Committee/ Headteacher have selected your post as being redundant and have been requested the Local Authority to do everything in its power to facilitate relocation within the City Council. You have a right to make representations to the Personnel Committee in respect of this decision and, a subsequent right of appeal to a separate Committee of the Governing Body. You have a right to be accompanied at both hearings by a Trade Union Representatives or a friend. If in its first instance you wish to make representations to the Personnel Committee you should advise me in writing within 5 working days of receiving this letter. In the event of you choosing to make representations the Personnel Committee have agreed to meet on

Yours sincerely

Clerk to the Governing Body (please amend as necessary)

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Employment Policies, Procedures & Guidelines for Schools APPENDIX 6 Dear I refer to the meeting of the Personnel Committee of the Governing Body of School which was held on and at which you made representations following the decision of the Committee to declare your post redundant. I now wish to confirm that following careful consideration of the matter, the Committee agreed to uphold its original decision. You have a right of appeal in respect of this decision to the Appeals Committee of the Governing Body. If you wish to exercise that right, you must do so to me, in writing, within 5 working days of receiving this letter. In the event of you wishing to submit an appeal the Appeals Committee have agreed to meet on You will of course be entitled to be accompanied by a Trade Union Representative or a friend if you so wish. Yours sincerely

Clerk to the Governing Body. (please amend as necessary)

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Employment Policies, Procedures & Guidelines for Schools APPENDIX 7 Dear I am writing to confirm the decision of the Appeals Committee of the Governing Body of School which was held on After careful consideration of the matter, the Committee agreed to uphold the previous decision that your post be made redundant with effect from The Governors wish to reassure you that every effort will be made to facilitate you finding alternative employment within the Authority. Yours sincerely

Clerk to the Governors

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Employment Policies, Procedures & Guidelines for Schools APPENDIX 8

Dear Personnel Adviser,

On behalf of the Governing Body of …………. School I write to confirm that the following employee(s) will be dismissed, as detailed below, by reason of redundancy.

Full Name of Employee

Relevant position & hours

Date of Termination

I therefore instruct the LEA to give notice of termination to the above named employee(s). Yours sincerely

Chair of Governors ………….. School

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Employment Policies, Procedures & Guidelines for Schools APPENDIX 9

Example of Timescale for Redundancy

31 August

Contract terminated

31 May

Notice Issued (30 April for Head Teachers)

mid May

Appeal (if any)

end April

Representation back to Personnel Committee (if any)

mid April

Selection meeting

early April

Selection criteria chosen and agreed

end March

Further consultations with staff/unions

mid March

Personnel Committee meet unions

early March

Full Governing Body decides redundancy is necessary

end February

Problem identified

Employment Policies, Procedures & Guidelines for Schools APPENDIX 10

Employment Policies, Procedures & Guidelines for Schools

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Employment Policies, Procedures & Guidelines for Schools Severance Payments Ready Reckoner (Expressed in Number of Weeks)

Appendix 11

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December 2005 Page- 1 -