Human Resources
People and Organisational Development
Employee Guide to the
Workforce Reductions
Process
(The processes outlined in this guide are subject to consultation
and therefore subject to change).
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Contents
Introduction ...................................................................................................................................... 3
Reasons for change ......................................................................................................................... 3
The ‘Enabling Document’ ................................................................................................................. 3
Potential Impact of the Proposals .................................................................................................... 4
Slotting in...................................................................................................................................... 4
Individual Consultation ..................................................................................................................... 5
Voluntary Redundancy ..................................................................................................................... 6
Stage 1 – Expression of Interest (12 – 23 May) ........................................................................... 6
Stage 2 – Formal application for VR (2 – 13 June)....................................................................... 6
Re-employment within DMU following VR .................................................................................... 7
Redundancy Selection ..................................................................................................................... 8
Outplacement................................................................................................................................... 8
Pension and Retirement Considerations .......................................................................................... 8
Redundancy Payments .................................................................................................................... 9
Support for employees ..................................................................................................................... 9
Application and interview skills training ...................................................................................... 10
Useful Contacts.............................................................................................................................. 10
Glossary ......................................................................................................................................... 12
Introduction
The purpose of this guide is to provide employees who are at risk of redundancy with further
information on the workforce reductions proposals and processes and help to answer some of the
questions that employees may have.
The guide should be read alongside the following guides and university policies as appropriate and
does not seek to duplicate information that is available elsewhere:





The Enabling Document
Managing Change – Restructuring and Redundancy Policy
Redundancy Payments Policy
Redeployment Procedure
Pay Protection Policy
To assist affected employees, this guidance will ‘signpost’ to the relevant document where further
information/clarification can be found, where applicable.
A Glossary of terms is provided at the end of this document.
Reasons for change
This is a period of significant change for the higher education sector. The Government recently
announced substantial cuts to higher education funding and it is very likely that further cuts will
follow in the immediate years ahead. At the same time, the removal of Student Number Controls
from the academic year 2015/16 is fundamentally transforming the environment in which we
operate; we expect student recruitment, which provides by far the largest proportion of our overall
income, to be fiercely competitive.
These factors and others combine to pose significant financial risk and uncertainty. Meanwhile,
staff costs are the most significant proportion of our annual spending and remain above average for
the sector despite measures taken to reduce them. Furthermore, they are increasing as a result of
nationally-negotiated pay awards, and increases to employers' National Insurance and pensions
contributions.
De Montfort University must ensure financial sustainability by generating and maintaining prudent
reserves to make the investments necessary to provide a high quality student experience. This is
particularly important in an era of higher student expectations, to sustain student recruitment and
provide DMU with the best possible platform from which to ensure future success. As a result of all
of these factors, the university must reduce pay expenditure as part of a prudent approach to
managing our finances and is, therefore, regrettably proposing to reduce the size of its workforce
as a measure to achieve this.
The ‘Enabling Document’
The university’s Managing Change – Restructuring and Redundancy guidelines recommend that an
‘Enabling Document’ is used for any significant change programme. The purpose of the Enabling
Document is to ensure that there is transparency in the change processes being followed and to
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ensure that all affected employees are treated fairly and consistently in accordance with a predetermined set of processes and overarching principles.
The Enabling Document contains information on the following and is available for all employees to
view on the intranet:








Consultation processes and timescales
Proposed method of staffing the new structure and selecting employees for redundancy
Voluntary Redundancy
Ring fenced selection process
Open recruitment process
Outplacement
Appeals
Employee support resources
If you have any queries on the Enabling Document, you should raise these with your manager in
the first instance. You may also refer to the FAQs which are available on the intranet and will be
updated from time to time.
Potential Impact of the Proposals
If you are potentially affected by the current proposals you will have received a letter from your
manager explaining how you are affected. The letter will explain whether you are ‘at risk of
redundancy’ or whether you are ‘provisionally selected for redundancy’.
The glossary to this guidance provides an explanation of what is meant by these two phrases, and
your letter should also explain what this means and the possible implications for your employment
with the university. If you have any concerns about this, you should raise these with your manager
in the first instance.
As explained in your letter, the fact that you have received the letter does not necessarily mean that
you will be made redundant. All proposals are subject to consultation (see below) and therefore
may change. Also, there may be alternative posts that you can be considered for within DMU as an
alternative to redundancy.
You may also receive a letter if your role is proposed to change but you are not ‘at risk’ because the
proposal is to slot you into the revised post. See below.
Slotting in
If your post is potentially affected by the proposals but a similar role in the new structure exists (ie
similar in terms of hours, grade, job duties, requirements), you will ordinarily be ‘slotted in’ to this
post unless there are other employees who could also be slotted in to this post. If the latter applies,
you will be in an ‘at risk’ pool and ring-fenced selection processes will apply. Those employees
who are not successful in being appointed to a role, will be provisionally selected for redundancy.
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Individual Consultation
Individual consultation is the opportunity for you to seek clarification on the current proposals and
how they affect you, and an opportunity for you to have relevant issues considered by the
university.
If you receive a letter advising you that you are affected by the restructuring proposals, you will be
invited to an individual consultation meeting with your manager to discuss the proposals and you
will have the opportunity to raise any queries or concerns you may have about the process.
It should be remembered that these are proposals only and are subject to change via the
consultation process. The current proposals as outlined in your letter may change either as a result
of collective consultation with the trade unions, or as a result of issues you raise or alternative
proposals you suggest as part of the individual consultation process.
If you are not currently in work (eg because you are on long-term sickness,
maternity/adoption/paternity leave, disciplinary suspension, or other extended leave or unpaid
leave) and your post is potentially affected by the proposals, you will be included in the consultation
process. You will be expected to agree with your manager how you wish to be communicated and
consulted with throughout the consultation period. Where it is not reasonably practicable for you to
attend individual consultation meetings in person, alternative arrangements will be made where
possible.
All potentially affected employees will have at least one individual consultation meeting with their
manager. Where employees are provisionally selected for redundancy, they will be invited to at
least three individual consultation meetings before any notices of dismissal by reason of
redundancy (where necessary) are issued.
DMU wishes to ensure that all affected employees are as supported as possible through this
difficult process and therefore employees invited to an individual consultation meeting may, if they
wish, be accompanied/supported either by a trade union representative or another DMU work
colleague. If the meeting needs to be re-arranged to enable your chosen companion to attend,
DMU will try and re-arrange where it is possible to do so without causing undue delays in the
overall process.
Consultation will be meaningful and DMU will consider alternative suggestions and proposals put
forward. However, if employees remain provisionally selected for redundancy following
consultation, they will normally be issued with written notice of dismissal by reason of redundancy.
Any employee who is issued with notice is able to appeal against the decision.
Please note that the university’s Grievance Procedure does not apply to this process.
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Voluntary Redundancy
Expressions of interest for voluntary redundancy (VR) will be invited from employees who are at
risk of redundancy or provisionally selected for redundancy.
Stage 1 – Expression of Interest (12 – 23 May)
Employees interested in considering VR must first submit an expression of interest. This stage is
mandatory: a formal application for VR cannot be made unless you have completed and
submitted an expression of interest (EOI) form. (The form will be enclosed in your individual
letter and is also available on the intranet).
The ‘window’ for expressions of interest will open on 12 May and will close on 23 May. The
deadline for submitting an EOI is therefore 4pm on 23 May. The university reserves the right to
accept or to refuse to accept any expression of interest received outside of the dates and times
specified above.
Employees with access to a computer should submit their EOI form electronically using the
following dedicated e-mail box vr@dmu.ac.uk. Paper copies may be submitted for those who do
not have access to a computer and should be placed in a sealed envelope marked “Private and
Confidential to be opened by addressee only” addressed to: Kay Wilson, De Montfort University,
POD Directorate, Eric Wood Building, The Gateway, Leicester LE1 9BH.
The expression of interest is merely to obtain key financial information to inform your decision
making process and HR will provide you with confirmation of any entitlement you may have to a VR
payment and, where applicable, an estimate of early access to pension (age 55 and over).
Expressions of interest will be treated in strict confidence and are not a request to apply for
voluntary redundancy.
All Expressions of Interest will receive an acknowledgement of receipt.
VR estimates will normally be provided to you within 3 working days. However, please note that if
you are 55 or over (and eligible under the relevant pension scheme rules to access your pension
early if you are approved to take VR) we will not be able to provide a VR estimate until we have
received confirmation of potential costs to the university of your early access to pension and your
VR estimate may therefore take longer to produce. In order to have as much time as possible
to fully consider your options, it is advisable to submit an EOI form well in advance of the
deadline date of 23 May.
Please note if you are aged 55 or over and wish to explore your pension options, estimates may
take up to 2 weeks and will be sent directly to you from your pension provider.
Stage 2 – Formal application for VR (2 – 13 June)
You will only be able to submit a formal application for VR once you have received your VR
estimate. The window for formal applications for VR will open on 2 June and close on 13 June.
The deadline for submitting a formal application for VR is therefore 4pm on 13 June. The university
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reserves the right to accept or to refuse to accept any VR application received outside of the dates
and times specified above.
Employees with access to a computer should submit their VR application form electronically from
their officially recognised dmu.ac.uk email account to vr@dmu.ac.uk. Paper copies may be
submitted for those who do not have access to a computer and should be placed in a sealed
envelope marked “Private and Confidential to be opened by addressee only” addressed to: Kay
Wilson, De Montfort University, POD Directorate, Eric Wood Building, The Gateway, Leicester LE1
9BH.
All VR applications will receive an acknowledgement of receipt.
VR applications will be subject to the following:






The invitation for applications or an indication of willingness to consider voluntary redundancy
from an employee will not imply any obligation to proceed with making a formal application.
However, once an application for voluntary redundancy is submitted, and subject to the
university’s approval of the application, this becomes a binding and irrevocable
commitment.
Any employees indicating willingness to consider voluntary redundancy will be able to discuss
their position and details of redundancy pay with their manager as part of their individual
consultation.
Any applications to be considered for voluntary redundancy will not in any way influence or
affect decisions made in respect of applications for alternative employment within the university
or prejudice the employee’s continuing employment in any way if the employee’s application is
not approved.
The university reserves the right to select those employees that will be approved to take
voluntary redundancy from the group of those employees who have applied taking into account
the future needs of the university.
There is no guarantee that voluntary redundancy requests will be granted.
There is no right of appeal against the university’s decision which is final.
If you are accepted for voluntary redundancy you will not be eligible to be considered for alternative
employment within the university eg as part of the ring-fenced selection or open recruitment stages
(see Enabling Document for more details).
The terms of VR will be in accordance with the university’s Redundancy Payments Policy. There is
also a summary Redundancy Payments section within this guidance.
Please note that in accordance with the Redundancy Payments Policy, a condition of the university
paying an enhanced VR payment will be that the employee may be required to sign a settlement
agreement under the Employment Rights Act 1996, by which the employee will agree not to pursue
any legal claims, including but not limited to unfair dismissal claims, against the university.
Re-employment within DMU following VR
Employees approved to take voluntary redundancy will be able to work for DMU in the future;
however, the returning employee may be required to repay the university a percentage of the VR
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7
payment received in accordance with the sliding scale shown in the table below unless a period of
retained employment has been agreed as part of the VR approval process.
Return period
Percentage of VR payment to be repaid to
DMU
Return within a period of 6 months from the
termination date
100%
Return within 6-12 months
75%
Return within 12-18 months
50%
Return within 18 – 24 months
25%
Redundancy Selection
If you are at risk of redundancy in a redundancy selection pool (and you do not apply for or you are
not approved to take VR), you will be invited to compete in a ring-fenced selection/skills
assessment process for posts in the proposed new structure. If you are not successful in securing a
role during ring-fenced selection, you will be provisionally selected for redundancy, subject to
consultation.
If you are provisionally selected for redundancy, you will have the opportunity (once all ring-fenced
selection processes have completed) to apply for any remaining vacant posts across DMU that are
of interest. This is called the Open Recruitment Process (ORP) and further information is contained
in the Enabling Document.
If you are not successful in securing an alternative post you will normally be selected for
redundancy if the proposals remain the same following consultation, although the university will
continue to try and identify suitable alternative employment for you as an alternative to redundancy.
Outplacement
The university is committed to providing affected employees with quality outplacement support.
Further details will be available in due course.
Pension and Retirement Considerations
Please refer to the Redundancy Payments Policy and the Retirement Policy for more information in
respect of the LGPS or the TPS.
DMU is unable to offer financial advice or guidance in relation to pensions, however for factual
information you are advised to contact the relevant pension scheme (contact numbers below) if you
have any specific questions, or you may wish to contact the Payroll and Pensions Manager in the
first instance on ext. 7330 or by email to sjcoupland@dmu.ac.uk. For any financial advice you may
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MAY 2014
8
need to consult with an Independent Financial Advisor.
LGPS
Tel: 0116 305 7840 or 0116 305 4000
Email: pensions@leics.gov.uk
Web site: www.leics.gov.uk/pensions
TPS
If you are considering opting for the early release of your pension, you will need to obtain the
estimate via the TPS website:
https://www.teacherspensions.co.uk/members/resources/calculators/want-to-retire-early.aspx
Please note this calculator will provide you with both actuarially reduced and unreduced pension
and lump sum information. You will find your unreduced pension and lump sum information at the
bottom of the calculation results page on the TPS web site.
Tel: 0845 6066166
Email: tpmail@teacherspensions.co.uk
Web site: www.teacherspensions.co.uk
USS
Tel: 0151 2274711 or 0845 068 1110 (local rate call charge number)
Enquiries: https://enquiry.uss.co.uk/Pages/default.aspx
Website: http://www.uss.co.uk/
Redundancy Payments
The university’s discretionary Redundancy Payments Policy sets out an employee’s eligibility for a
redundancy payment, and how payments will be calculated where an employee is eligible (either
voluntary or compulsory redundancy). In either situation, the calculation is based on the statutory
redundancy formula with the employee’s actual week’s gross pay used as the basis for the
calculation. See Ready Reckoner. If the employee is taking voluntary redundancy (VR) the
number of weeks’ pay due is doubled, so the maximum number of weeks payable in VR situations
is 60 (30 weeks for compulsory redundancy).
Please note that an individual’s years’ service is based on complete years as of the date that
employment will cease.
There are certain situations where your entitlement to a redundancy payment may be affected if
you have secured alternative employment with another employer that is due to start within 4 weeks
of your last date of employment with DMU. To see whether this may apply to you, please refer to
the Redundancy Payments Policy, Section 4. ‘The effect of the Redundancy Payments Modification
Order’.
Support for employees
It is recognised that some employees may find this process difficult. Management are committed to
as smooth a transition as possible to the new structure and wish all employees to be supported as
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MAY 2014
9
much as possible.
If you have concerns you should speak to your manager as soon as possible so that appropriate
information and support can be offered. You may also contact your trade union representatives
where applicable.
Employees should be aware of the counselling support available through the university’s Employee
Assistance Programme (EAP). Contact details are available on the intranet.
Application and interview skills training
Support for employees will be made available in the form of application and interview skills training
in advance of the ring-fenced selection and open recruitment stages. Dates for the training are to
be confirmed but are expected to take place in late June and early July.
Useful Contacts
HR advisers
Bisi Oyeleye
Health and Life Sciences, Library and Learning Services, POD, ITMS, Finance
Ext. 7401/7725; boyeleye@dmu.ac.uk
Jackie Kirk
Business and Law, Estates, Dean of International, Executive, Governance and Legal Services
Ext. 7362/6494; jkirk@dmu.ac.uk
Nikki Seymour-Smith
Art, Design and Humanities, Student and Academic Services
Ext. 8362/8146; nseymour-smith@dmu.ac.uk
Wendy Hirst
Technology, RBI, Marketing and Communications
Ext. 6489/6207; whirst@dmu.ac.uk
EMPLOYEE SUPPORT NETWORK
Capita (Employee Assistance Programme)
Telephone Number UK FREEPHONE 0800 716 017
Calling from Overseas +44 1455 254151
Mincom 0845 600 5499
www.employeecare.com
TRADE UNIONS
UCU
Alan Ryan
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MAY 2014
10
Ext. 7248; email ajrhum@dmu.ac.uk
Cristian Serdean
Ext. 8400; email cvs@dmu.ac.uk
UNISON
Mike Costall
Ext. 8052; email mac@dmu.ac.uk
Owen Williams
Ext. 6349; email williams@dmu.ac.uk
GMB
Colin Whyatt
Tel: 0116 251 0922; email Colin.Whyatt@gmb.org.uk
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Glossary
At risk of redundancy: An employee may be ‘at risk’ of redundancy where there is a need to
reduce the number of posts of a certain kind and employees occupying those posts are placed into
a ‘pool’ for selection. It is also possible to be at risk of redundancy where posts are to be deleted
but the employee has the opportunity to apply for posts in the new structure, usually on a ringfenced basis. Being at risk of redundancy does not mean that the employee will necessarily be
made redundant. Any proposals are also subject to consultation and therefore subject to change.
Provisionally selected for redundancy: An employee is provisionally selected for redundancy
where they have been selected for redundancy from an ‘at risk pool’ (see above) for example,
following the application of redundancy selection criteria or following ring-fenced selection
processes. They may also be provisionally selected for redundancy where their stand alone post
has been deleted (a ‘pool of one’). Being provisionally selected for redundancy does not mean an
employee will necessarily be made redundant and is subject to consultation. The employee may
also be successful in securing alternative employment via the Open Recruitment Process (ORP)
(See Enabling Document).
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Statutory redundancy pay table (ready reckoner)
Age
17*
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
33
34
35
36
37
38
39
40
41
42
43
44
45
46
47
48
49
50
51
52
53
54
55
56
57
58
2
1
1
1
1
1
1
1½
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2½
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
1½
1½
1½
1½
1½
2
2½
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3½
4
4½
4½
4½
4½
4½
4½
4½
4½
4½
4½
4½
4½
4½
4½
4½
4
2
2
2
2
2½
3
3½
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4½
5
5½
6
6
6
6
6
6
6
6
6
6
6
6
6
6
5
2½
2½
2½
3
3½
4
4½
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5½
6
6½
7
7½
7½
7½
7½
7½
7½
7½
7½
7½
7½
7½
7½
7½
6
3
3
3½
4
4½
5
5½
6
6
6
6
6
6
6
6
6
6
6
6
6
6
6½
7
7½
8
8½
9
9
9
9
9
9
9
9
9
9
9
9
7
3½
4
4½
5
5½
6
6½
7
7
7
7
7
7
7
7
7
7
7
7
7
7½
8
8½
9
9½
10
10½
10½
10½
10½
10½
10½
10½
10½
10½
10½
10½
8
4½
5
5½
6
6½
7
7½
8
8
8
8
8
8
8
8
8
8
8
8
8½
9
9½
10
10½
11
11½
12
12
12
12
12
12
12
12
12
12
Service (Years)
10
11
12
9
5½
6
6½
7
7½
8
8½
9
9
9
9
9
9
9
9
9
9
9
9½
10
10½
11
11½
12
12½
13
13½
13½
13½
13½
13½
13½
13½
13½
13½
6½
7
7½
8
8½
9
9½
10
10
10
10
10
10
10
10
10
10
10½
11
11½
12
12½
13
13½
14
14½
15
15
15
15
15
15
15
15
7½
8
8½
9
9½
10
10½
11
11
11
11
11
11
11
11
11
11½
12
12½
13
13½
14
14½
15
15½
16
16½
16½
16½
16½
16½
16½
16½
8½
9
9½
10
10½
11
11½
12
12
12
12
12
12
12
12
12½
13
13½
14
14½
15
15½
16
16½
17
17½
18
18
18
18
18
18
13
9½
10
10½
11
11½
12
12½
13
13
13
13
13
13
13
13½
14
14½
15
15½
16
16½
17
17½
18
18½
19
19½
19½
19½
19½
19½
14
10½
11
11½
12
12½
13
13½
14
14
14
14
14
14
14½
15
15½
16
16½
17
17½
18
18½
19
19½
20
20½
21
21
21
21
15
11½
12
12½
13
13½
14
14½
15
15
15
15
15
15½
16
16½
17
17½
18
18½
19
19½
20
20½
21
21½
22
22½
22½
22½
16
12½
13
13½
14
14½
15
15½
16
16
16
16
16½
17
17½
18
18½
19
19½
20
20½
21
21½
22
22½
23
23½
24
24
17
13½
14
14½
15
15½
16
16½
17
17
17
17½
18
18½
19
19½
20
20½
21
21½
22
22½
23
23½
24
24½
25
25½
18
14½
15
15½
16
16½
17
17½
18
18
18½
19
19½
20
20½
21
21½
22
22½
23
23½
24
24½
25
25½
26
26½
19
15½
16
16½
17
17½
18
18½
19
19½
20
20½
21
21½
22
22½
23
23½
24
24½
25
25½
26
26½
27
27½
20
16½
17
17½
18
18½
19
19½
20½
21
21½
22
22½
23
23½
24
24½
25
25½
26
26½
27
27½
28
28½
59
60
61+
3
3
3
4½
4½
4½
_____________________
MAY 2014
6
6
6
7½
7½
7½
9
9
9
10½
10½
10½
12
12
12
13½
13½
13½
15
15
15
16½
16½
16½
18
18
18
19½
19½
19½
21
21
21
22½
22½
22½
24
24
24
25½
25½
25½
27
27
27
28
28½
28½
29
29½
30