Redundancy Procedure - Managers' Guidance

‌1. Introduction 

The University is committed to protecting the employment security of its employees by appropriate planning and will wherever possible seek to minimise redundancies by forward planning within the relevant area. Where redundancies are proposed every reasonable effort will be made to avoid making employees compulsorily redundant.  

The purpose of this guidance is to assist managers to implement the Redundancy procedure (Potential Redundancies: Ordinance 10, section 3), it does not form part of the procedure.  It follows that this guidance should be read in conjunction with the Redundancy Procedure (Potential Redundancies: Ordinance 10, section 3) and the Operating Principles (Ordinance 10, section 1). 

2. Manager’s Responsibilities 

Managers are responsible for: 

• Workforce planning which includes identifying potential redundancy situations.
• Carrying out appropriate consultation and exploring alternatives to or ways to avoid any proposed redundancy.
• Effecting any redundancies that may arise using the procedure set out in Ordinance 10, section 3. 

3. Support and Guidance 

HR teams will provide guidance and support to all parties involved in the operation of the procedures prescribed by Ordinance 10, section 3 (see Ordinance 10, section 1, point 1.5). 

Trade Unions may advise their members on all aspects of this procedure, and may represent/accompany individuals at meetings (Ordinance 10, section 1, point 1.12). 

4. Avoiding Compulsory Redundancies (Ordinance 10, section 3, point 3.2) 

Where a manager is proposing any change e.g. a restructure of all or part of the workforce for which they are responsible their first step will be to consider whether there are any ways to effect the change without the need to place any employee at risk of redundancy. Managers may, with advice from HR, consider any reasonable measure such as those set out in Ordinance 10, section 3, point 3.2.1.  In relation to grant funding, pursuing, where appropriate, applications for grant funding. 

It is important to remember that: 

• Throughout the redundancy consultation period suggestions may be made about ways to avoid redundancy and these should be considered by the manager and addressed with the employee.
• Any measures adopted must not adversely affect the University’s organisational or operational needs.

If as a result of any measures considered a proposed redundancy can be avoided then that is the end of the process. Where the proposed redundancy has been discussed, whether informally or during consultation with an employee or the Trade Unions, the employee and/or Trade Unions must be informed that redundancy has been avoided and that the process under Ordinance 10, section 3 is at an end. 

5. Identifying Potential Redundancies (Ordinance 10, section 3) 

A redundancy occurs when the requirements of the University for employees to carry out work of a particular kind ceases, diminishes or is expected to cease or diminish for whatever reason. This means that it is important for managers to consider any proposal that they make regarding their area of responsibility carefully and remember: 

• Although it may be obvious that a proposed restructure contains proposals that include a reduction or cessation of work there are occasions when it is less clear. A proposal to restructure may potentially include employment for all existing employees but if the jobs that it is proposed they carry out after the restructure are not substantially the same as the jobs that they are currently employed to do then the restructure may be proposing redundancies. For example where it is proposed that an employee’s role is changed so that the responsibilities of the role result in down-grading under the Job Evaluation Scheme then the proposal includes a proposal for the potential redundancy of an employee. In such cases managers should seek advice from HR as to any other applicable policies and ensure that before putting any final proposal for consideration they have received advice from HR regarding consultation with Trade Unions. 

• As part of workforce planning, the local management team will meet regularly to identify issues that may impact on staffing levels e.g. end of funding  and/or project dates and their impact on individuals or groups of staff. Where it is identified that any such matter may result in proposed redundancies managers should seek advice from HR in order that consideration may be given both to ways to avoid redundancy and whether it is appropriate for HR to notify the Trade Unions. 

• It is important to consider whether the work is disappearing by reason of a transfer of the work to another legal entity rather than by reason of redundancy in which case the Transfer of Undertakings (Protection of Employment) Regulations 2006 may apply.  HR may seek advice from the Secretary’s Office as appropriate. 

• If the work that is ceasing is carried out by a fixed term contract worker then the manager must consider whether to proceed under Ordinance 10, section 3 (Redundancy) or Ordinance 10, section 6 (Some other substantial reason).  HR can advise. 

6. Identifying the Pool (Ordinance 10 section 3, point 3.4) 

Where a potential redundancy has been identified the manager’s next step is to consider whether there is a group of employees (a “Pool”) from which they will be selecting either one or more than one individual for redundancy. 

There is no one method that is better than another to identify the Pool of employees from which individuals will be selected for redundancy. Identification of a Pool is a matter of judgement.  Managers should be able to show that they have given this matter some thought.  A Pool should include all relevant individuals whether employed on open-ended or fixed-term contracts doing the same or similar work.

Due to the specialised nature of many roles at the University, in particular research staff (Pathway 2), it is often the case that there is only one person doing the same or similar work that is due to cease or diminish. In such cases it is important that the manager carefully considers whether there is a Pool or just a single individual at risk of redundancy. It is not the case that, because funding ends on a contract, the individual on that contract is automatically at risk of redundancy.  A judgement should be made in each case to consider whether there are other staff within the relevant area who are carrying out work of a similar kind to ensure that any Pool is correctly identified.  A Pool would generally not include those on different grades or in different roles or in different research areas or those individuals named on a grant. 

At the University, because Schools and Divisions are different and are the primary decision making unit it has been agreed with the Trade Unions that recommendations on redundancies would normally be considered from the School or Division only. Accordingly HR will advise on whether it is appropriate in a particular case to consider whether other posts in the faculty (or, more widely in the University) should be included in the pool. 

7. Selection Criteria (Ordinance 10, section 3, point 3.5) 

Where a manager has identified a Pool the next step will be to decide on the selection process and on any selection criteria. HR will advise on the appropriate method to use and on selection criteria.

Where the selection process includes an interview or tests it is important to remember that:

• When interviewing individuals it will generally be advisable to follow the University’s usual recruitment practices.
• If individuals are asked to carry out tests or prepare a presentation either as part of an interview or separately then these should be tailored to the ongoing role(s) and should be assessed appropriately.

Where a selection matrix is used either alone or in conjunction with an interview/test etc. it is important to consider what selection criteria are appropriate, the method of scoring and the weighting given to any particular criteria. 

In general terms: 

• Where selection criteria are to be used these should be based on the current and future needs of the School/Division in relation to the specific area of activity.  The criteria should be logical, explicable to employees in the Pool, usual for the sector and not be divorced from reality.  The criteria may include (a) skills, experience and aptitude of the employee, (b) standard of work performance and (c) attendance and/or disciplinary record of the employee. 

• Seek advice from HR as to whether it is appropriate to consult with the Trade Unions about the proposed selection criteria. 

• When deciding who should conduct the selection exercise you should select individuals who have a working knowledge of the employees and will therefore be able to apply the criteria reasonably.  It is recognised that objectivity is important you should try to include current managers with working knowledge of the employees and they should apply that knowledge. 

• It is important to take proper notes as the quality of the information is important.  It may be worth a further individual carrying out a cross check of the scores for any outlying results. 

Managers may use the selection criteria set out in Ordinance 10, section 3, point 3.5.2 but are not obliged to do so if there are more appropriate criteria. Detailed guidance and example forms are available upon request from your faculty or department HR team. 

8. Consultation with Trade Unions (Ordinance 10, section 3, point 3.6) 

HR will advise managers: 

• When consultation with the relevant Trade Union(s) is required.
• If a letter is required prior to group consultation commencing and will draft the letter for the managers to send.
• On the best method of effecting consultation including any group meetings of affected staff.
• On ways of communicating with absent staff.
• When it is appropriate to consult in respect of any selection exercise. In particular where there has been group consultation on the selection process when it is appropriate to write to any individuals within the Pool to notify them that they have not been provisionally selected for redundancy.
• When group consultation has concluded.

It is important for managers to remember: 

• The purpose of group consultation and therefore what should properly be covered in any consultation exercise (see Ordinance 10, section 3, points 3.6.2 and 3.6.3).
• To listen to and respond to any representations made by those present at any group consultation meeting.
• To offer the opportunity for feedback, comments or representations on the proposals under discussion.
• That no final decision regarding the proposal(s) may be made until consultation has concluded. 

9. Consultation with Individual Employees (Ordinance 10, section 3, point 3.7)

Where an employee has been provisionally selected for redundancy (whether they are the only individual at risk or have been provisionally selected from a Pool) the manager should: 

• Invite the employee to a consultation meeting (HR will draft the letter for the manager to approve and send out).

• Meet with the employee. This is an opportunity for the manager to listen to and discuss any representations made by the employee or their representative. The manager should take a note of the meeting using the Individual redundancy Consultation meeting form (a copy of which should be given to the individual following the meeting).  Managers are advised to follow the checklist on the proforma including discussions about redeployment.

• Whilst the form gives an indication of the matters that may be discussed at a consultation meeting the manager should remember that each employee may have different concerns and it is important to respond to all matters that are raised.  Where a Pool exists this discussion may include discussing the employee’s selection matrix and why they received a particular score under particular criteria. 

• At the end of the meeting the manager should check to make sure that they have answered any questions raised by the employee. If a manager is unable to answer any particular question they should confirm with the employee whether they are happy to receive an answer in writing and/or whether they would like this opportunity for further discussion once the information is to hand. This should be recorded in the notes. 

• Following the meeting the manager should make a judgement as to whether further meetings are required to complete consultation and whether a more senior manager needs to be involved. This may depend upon the complexity of the matter and will also involve considering the employees wishes and it may be appropriate to take advice from HR. 

• When consultation is concluded the Appropriate Manager should decide whether the employee’s employment should be terminated by reason of redundancy. The employee should then be notified of the decision together if appropriate with any final responses to any representations raised in consultation; details of the employee’s entitlement to any redundancy payment and any other payment owed to the employee such as outstanding holiday pay; and the right of appeal. (HR to draft letter and Appropriate Manger to sign and send out letter). 

10. Alternative Employment (Ordinance 10, section 3, point 3.9) 

It is important for managers to remember that the reason that an individual is at risk of redundancy is not the fault of the employee. It does not signify for example poor performance or conduct. The University wishes to retain its skilled workforce wherever it is possible to do so. The search for alternative employment therefore is important not only to the individual employee concerned but also to the University. 

The University is a large and complex organisation. The search for alternative employment requires the cooperation both of the manager involved (assisted by HR who are best placed to know what alternative employment is available at the University at any particular time) and the employee at risk of redundancy. To assist the search for suitable alternative employment the employee should be advised to enter their search criteria into the University’s redeployment process which will advise them of any roles that match their chosen preferences. 

There is an ongoing obligation to search for suitable alternative employment throughout the redundancy procedure up to the time that the employee’s notice of termination expires in line with the University’s Redeployment Policy.