Surplus Staffing, CAPNA, and Needs Analysis

Surplus staffing occurs when teaching positions may need to be disestablished or altered in status (such as removing additional responsibilities with attached units).

In schools, surplus staffing requirements can be triggered by several factors.

Here are some common examples of when staffing requirements within a school may be reviewed.

Changes in staffing entitlement

Schools receive their provisional staffing entitlement notice in September.

A change in student numbers may result in a reduction in staffing entitlement.

If this occurs, the employer may be prompted to review their staffing requirements.

A school reorganisation process

Any amalgamation, merger, closure, or change of class or designation for that school due to a Ministry of Education review.

What is CAPNA?

CAPNA stands for Curriculum and Pastoral Needs Assessment.

This term describes a needs analysis that identifies the school's future management structure, curriculum, pastoral and other staffing needs when a surplus staffing situation occurs or is proposed.

The acronym CAPNA is used in the Secondary Teachers' Collective Agreement (STCA).

It is simply referred to as a needs analysis in the Primary and Area School Teachers' Collective Agreements (PTCA and ASTCA).

What are the requirements for a CAPNA or needs analysis?

Any CAPNA or needs analysis process must be completed:

After you have attempted to resolve any predicted surplus through attrition and/or voluntary options.

Attrition means:

"The non-replacement of employees who die, retire, resign, transfer or are promoted. The employer will adopt a policy of reviewing vacancies when staff surpluses are expected to arise whereupon a partial or complete freeze will be placed on recruiting new permanent employees and/or promotions."

Voluntary options are:

• Supernumerary employment; or

• Severance payment; or

• Redeployment; or

• Retraining; or

• Long service payment.

Note: It may not always be practicable to accept an employee's offer under the voluntary options, as that teacher's subject matter may be key to the needs of the school curriculum.

In consultation with all employees

All employees must be provided with the needs analysis to inform the consultation discussions.

Within a defined timeframe

The needs analysis, consultation and decision-making process need to be completed within a reasonable timeframe.

If surplus staffing is a result of receiving reduced staffing entitlement in the September provisional notice, then the timeframe is between the September notice and before 27 November.

This means that if some roles need to be disestablished, the requisite two months' notice for termination of employment can be met (and will include the end of year holiday period) so as to not carry over into the new school year.

However, it is good practice to involve all teaching staff in assessing the school's future needs.

With notification to the relevant union(s)

Any surplus staffing and school needs analysis must include informing the relevant unions of the need or intention to review and the possibility of a surplus staffing outcome.

Who do the employment protection provisions apply to?

The employment protection provisions involving surplus staffing only apply to permanently employed teachers. 

If a surplus staffing situation exists and your school has fixed-term employment agreements, these are expected to end either:

• On the original end date of the fixed term, or

• By giving the appropriate notice period to inform the employee that their employment is ending earlier and why.

The relevant sections of the Primary Teachers' Collective Agreementopen_in_new are:

• Part 9: Employment Protection and Surplus Staffing Provisions

• Appendix 4: Staff Reorganisation Staff Surplus Provisions

• Appendix 5: Resource Teacher Surplus Staffing Process

The relevant sections of the Secondary Teachers’ Collective Agreementopen_in_new are:

• Part Three: Terms of Employment, section 3.9 Surplus Staffing and merger provisions, clauses 3.9.1 to 3.9.9 (b)

The relevant sections of the Area School Teachers’ Collective Agreementopen_in_new are:

• Part Two: Terms of Employment, section 2.13 Surplus Staffing, clauses 2.13.1 to 2.13.5 (c) and 2.13A Employment Protection Provisions

• Appendix 5: Surplus Staffing Procedures

Questions a principal could ask

• Do we, and our staff, know where to find the established procedure within their collective agreement/s?

• What happens in the event of surplus staffing being triggered?

Templates, resources, and references

Click on the link(s) below to access this topic’s templates, resources, and references.

Depending on your device, these may download or open in a separate browser.

Links from us

• Navigating Surplus Staffing – Webinar Series

Ministry of Education

• People and Employmentopen_in_new (refer to the relevant Collective Agreement)

Collective Agreements

• Primary Teachers' Collective Agreementopen_in_new

  • Part 9 – Employment Protection and Surplus Staffing Provisions

  • Appendix 4 – Staff Reorganisation Staff Surplus Provisions

  • Appendix 5 – Resource Teacher Surplus Staffing Process 

• Secondary Teachers’ Collective Agreementopen_in_new

  • Part 3 – Terms of Employment

  • Clause 3.9 – Surplus Staffing and Merger Provisions

• Area School Teachers’ Collective Agreementopen_in_new

  • Part 2 – Terms of Employment

  • Clause 2.13 – Surplus Staffing Provisions

  • Appendix 5 – Surplus Staffing Procedures