1 · web viewterminating a fixed-term contract 10 redeployment 13 redundancy payments 14 time off...

NORTHUMBRIA UNIVERSITY

HUMAN RESOURCES DEPARTMENT

POLICY DOCUMENT

DOCUMENT TITLE Fixed Term Contracts Policy &

Procedure

AUTHOR Ros McGee

AUTHORISED BY HR Committee

DATE OF ISSUE February 2008

REVIEW INTERVAL 12 months

LOCATION OF COPIES Master File, Room 201 Ellison Terrace

THIS IS A CONTROLLED DOCUMENT – DO NOT COPYNorthumbria University Human Resources Department

Fixed Term Contracts Policy

Index Page

1. INTRODUCTION 4

2. CONTEXT 4

3. RECRUITMENT AND SELECTION 5

4. JUSTIFIABLE OBJECTIVE REASONS 6

5. CONTINUOUS SUCCESSIVE FIXED TERM CONTRACTS 7

6. CHANGING FROM A FIXED-TERM TO PERMANENT

8

7. TRAINING AND CAREER DEVELOPMENT 9

8. TERMINATING A FIXED-TERM CONTRACT 10

9. REDEPLOYMENT 13

10.REDUNDANCY PAYMENTS 14

11.TIME OFF TO ATTEND INTERVIEWS 14

12.EMPLOYEES ON CONTRACTS EXPECTED TO LAST LESS THAN 12 MONTHS 15

13.EMPLOYESS ON CONTRACTS EXPECTED TO LAST LESS THAN 3 MONTHS

16

14.STAFF EMPLOYED ON PROFESSIONAL TRAINING CONTRACTS 16

APPENDIX 1: TABLE OF TERMS AND BENEFITS AND THEIR APPLICATION 17

APPENDIX 2: TEMPLATE LETTER FOR INVITING MEMBER OF STAFF TO INITIAL MEETING 19

APPENDIX 3: TEMPLATE LETTER FOR OUTCOME OF INITIAL MEETING 20

APPENDIX 4: TEMPLATE LETTER FOR INVITING MEMBER OF STAFF TO 3 MTH MEETING 21

APPENDIX 5: TEMPLATE LETTER FOR OUTCOME OF 3 MTH MEETING 22

APPENDIX 6: TEMPLATE LETTER FOR INVITING MEMBER OF STAFF TO FINAL MEETING 23

APPENDIX 7: TEMPLATE LETTER FOR OUTCOME OF FINAL MEETING 24

APPENDIX 8: FLOW CHART FOR PROCESS FOR CONTRACTS 12 MTHS OR LONGER 26

APPENDIX 9: FLOW CHART FOR APPEALS PROCESS 28Author: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



Document Review HistoryReview Date Reviewed by Signature

Author: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



1.0 Introduction

The Regulations on Fixed-Term Employees (Prevention of Less Favourable

Treatment) came into force in the UK on 1 October 2002 (delayed from 10 July

2002). This policy addresses these Regulations and also makes reference to the

Employment Act 2002 and 2004 (Statutory Disciplinary, Dismissal and Grievance

Procedures). This document does not replace the policy and procedure for

Managing Staff Reductions, which is used in collective redundancy and restructuring

circumstances. This policy and procedure explains how the University recruits and

employs staff on fixed term contracts

This document should be read in association with the following University Policies:

Appointments Policy and Procedure

Equal Opportunities

Managing Staff Reductions

Staff Management Procedures

Secondment Procedure

2.0 Context

Northumbria University has currently a number of staff on fixed term contracts; these

include researchers, sports coaches, student assistants, and staff employed for

specific projects and those on internal secondments and acting arrangements. The

University recognises that these staff have a valuable role and have provided these

staff with a range of benefits on a par with staff on permanent contracts.




These measures include comparable terms and conditions, access to induction,

training, appraisal, redeployment and redundancy rights (as illustrated in Appendix

1).

The University already adheres to the principles and spirit of the Concordat and the

Research Careers Initiative in the employment of research staff

3.0 Recruitment and Selection

Vacancies can be identified through the creation/expansion of new projects,

temporary cover or resignation/retirement/dismissal of a previous postholder.

Generally permanent opportunities are encouraged as the norm, however there may

be “transparent, necessary and objective” reasons why a fixed term contract is

the preferred option (e.g. limited external funding, secondment, cover for peak

demand or temporary cover for maternity or other absence). However fixed-term

contracts should not be used simply to test an individual’s skills in the workplace

before deciding to offer a permanent contract. Fixed term contracts will now state the

reason they are fixed term together with details of the specific project and funding

arrangements in order to be clearly identifiable. If an individual who holds a fixed

term contract is required to move to a different project during their employment, or

work between projects, the Line Manager must advise HR who will send the

individual an updated contract letter

All vacancies (except when in redundancy/redeployment/restructure/very short-term

situation) are advertised on the University website, in the HR reception and Insight

magazine as a minimum.

4.0 Justifiable Objective ReasonsAuthor: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



The University will not tolerate less favourable treatment of fixed-term employees.

Fixed term contracts will only be justified if there are objective grounds which cover

one or more of the following:

The post requires specialist expertise or recent experience not already

available within the University in the short term

To cover staff absence as appropriate (e.g. parental, maternity, paternity and

adoption leave, long term sickness, sabbatical leave or secondment)

The contract is to provide a secondment or career development opportunity

(and the individual holds a substantive, permanent contract)

Input from specialist practitioners

Where there is no reasonably foreseeable prospect of short-term funding (i.e.

less than 4 years) being neither renewed nor other external or internal funding

available or becoming available. Where the short-term funding has already

been renewed, continued use of the fixed-term contract would need to be

justified by objective reasons listed above

Where there are statutory limitations on the period of employment (e.g.

visa/work permit) or contractual stipulations attached to the funding (e.g.

some European funding is only available to support staff on fixed term

contracts)




5.0 Continuous Successive Fixed term Contracts (for contracts of 12 months or longer)

Seven months before an individual’s contract is due to end and the intention is that

the contract is to be extended; Managers are now required to review the status of

the contract and to convert to permanent wherever possible, or objectively justify the extension of the fixed term contract. HR will contact Line Managers to remind

them to conduct this review. The reason for this is two-fold, the University

encourages permanent contracts as the norm and secondly the legislation dictates

that the overall duration of a series of fixed term contracts should be no more than 4

continuous years. See section 6 for guidance on converting fixed term contracts to

permanent.

After 4 years of fixed term contracts (or a contract which lasts 4 years) the contract

thereafter is regarded as permanent (unless there is a justifiable objective reason for

it continuing as a fixed term contract).

If an employee believes they have reached four years continuous service they can

write to their Line Manager in the first instance requesting written confirmation that

the contract is to be regarded as permanent. The Line Manager should liaise with

HR and must produce the statement confirming the permanent status within 21 days

of the request. If the employer maintains that the employee is still fixed-term, the

reason for this must be explained in writing to the employee.

An employee may be continuously employed even where there is a gap between

successive contracts that will vary depending on circumstance. Examples of

continuity of service can include these instances:




A new contract is agreed before the previous one has expired, the employee

must start the new contract within four weeks of the end date of the old

contract

A new contract is not agreed to before the first one expires, but the employee

begins within a week of the previous one expiring

There is no work for the employee during the gap between contracts (e.g.

between semesters).

The fixed term employee is on maternity leave or incapable of work due to

sickness

If a contract is to be extended and the individual chooses not to accept the

extension, the University will consider this a resignation, the individual will be

required to complete a resignation form and s/he will not be entitled to any

redundancy payments. It may then be necessary to advertise for a replacement

through the standard Appointments Policy.

6.0 Changing a contract from Fixed-Term to Permanent

Making the change from fixed-term contracts to permanency does not effect the

funding situation, nor does it negatively affect job security.

After one year of employment, staff are entitled to continuous employment if

the work still exists.

After two years they have a right to a redundancy payment if the work ends.

After four years (from July 2006) they have a right to be made permanent

(unless there is objective justification).

Converting a fixed term contract permanent could result in increased motivation,

commitment and long term career planning. Additionally the University benefits from

the retention of skills.Author: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



However there needs to be a “reasonably foreseeable prospect” of long-term funding

before the decision is made as this action will not create nor secure funding.

Additionally, Managers will need to ensure that before the conversion can be made,

the individual has been through a competitive selection process upon appointment

(otherwise contact HR to arrange a selection) and there are no other fixed term staff

who could lay claim to the role. If however, the individual has been in post for 1 year

without being through an interview, it is advised that one should be arranged at this

point. It is recommended that Managers review the situation in their

School/Department in conjunction with their HR Manager and seek to make

conversions wherever possible.

Schools and Departments are advised to consider pooling income and bridging

funds in order to minimize the need for fixed term contracts.

7.0 Training and Career Development

The Training and Development Programme is available for all staff. Staff should

approach their Line Manager with their training and development requests. The

Training and Development Programme is accessible via the website:

http://northumbria.ac.uk/static/5007/TDProg

All staff have the same opportunity to apply for vacancies advertised internally and

externally. Individuals on fixed term contracts have the same right to access training

and apply for vacancies.

University vacancies can be found in Insight Magazine, HR Reception and HR

website:


http://northumbria.ac.uk/static/5007/TDProg



http://northumbria.ac.uk/sd/central/hr/staffvacancies/

8.0 Terminating a Fixed-term contracts of 12 months or longer

Under these new procedures, when there is a possibility that the fixed term contract

may be terminated at the end date (or at least 7 months before the end date of the

contract), the following process must take place.

If the work the individual undertakes is similar to other colleagues in their area, and if

they are not named on a project or contracted to the project, all staff in that area

(permanent and others on fixed tem contracts) will be considered in the group for

redundancy. If this is the case, Managers should contact HR who may advise that

the Managing Staff Reductions Policy should be followed.

7 months before the end of the contract, HR will contact the Line Manager

by email asking if the contract is to be made permanent, extended,

terminated, or “unable to determine at present” This email must be responded

to within 5 working days, as any delays could result in costs to the

School/Service for longer consultation.

If the contract is to be made permanent – see section 6 above. The Line

Manager should invite the individual to a meeting to inform them of the

decision (and advising them of their right to be accompanied by a union

representative or colleague). See appendix 8 for procedure.

If the contract is to be extended, the Line Manager will need to consider, in

advance of the meeting, if it can be converted to permanent, or objectively

justify the extension of the fixed term contract – see section 4 above. The

Line Manager should invite the individual to a meeting to inform them of the




decision (advising them of their right to be accompanied by a union

representative or colleague). See appendix 8 for procedure.

If the contract is to be terminated, or “unable to determine at present”, 6 months before the end of the contract he/she should write to the employee

inviting them to a meeting to discuss (advising them of their right to be

accompanied by a union representative or colleague) (appendix 2)

At the meeting, the Line Manager should explain the position i.e. what

likelihood, if any, that there will be an extension to the contract or some

timescales indicating when this maybe confirmed. The Line Manager should

also state that this is the start of the six months consultation period and that

there will be a further review meeting in 3 months time where s/he will discuss

redeployment and provide any redundancy figures if applicable.

After the meeting, the Line Manager should write to the individual outlining the

key points (appendix 3)

3 months before end of contract, the Line Manager should invite the

employee to further meeting (advising them of their right to be accompanied

by a union representative or colleague and that there will be an HR

representative present) (appendix 4).

At the meeting, the Line Manager should update the individual regarding the

situation. If the contract is to be terminated, the Line Manager should inform

the individual of this decision, advising them that they have the right to appeal

against the decision. The HR representative will explain discuss process of

redeployment, including skills audit and give them a calculation of any

redundancy payment (if applicable) which will be paid in final salary and give

them the required notice period


key points and notifying that there will be a further review 1 month before the

end of the contract (appendix 5)

During the 6 months consultation period, if at any time, a decision is made

to extend the contract or convert it to permanent, assuming the relevant Author: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



criteria are satisfied (section 4 or 6 respectively), the Line Manager should

invite the individual to a meeting (advising them of their right to be

accompanied by a union representative or colleague) and inform them

accordingly.

I month before the end of the contract if the contract is to be terminated on

the end date, the Line Manager should invite the employee to a final meeting

(advising them of their right to be accompanied by a union representative or

colleague and that there will be an HR representative present) (appendix 6)

At the meeting, the Line Manager should update them on the situation: that

the contract was unable to be extended, that they had not secured a post

under redeployment and therefore their employment with the University would

be ending. The HR representative should re-iterate that the individual will

receive any outstanding payments and their P45 with their final salary and the

appeals process if they wish to contest the decision or process.


key points and the procedure for appeal (appendix 7)

If the employee wishes to appeal, this should be in writing and forwarded to the

University Secretary’s Office for the attention of the Board of Governors. The

appeal meeting should ideally take place before the contract ends. If the appeal

is upheld, the individual will not have a break in service (appendix 9 for process).

In the event that it is not possible to hold the appeal hearing before the contract

ends and the appeal is upheld, the individual’s employment will be reinstated

from the date of the termination of their contract.

Each stage of the proceedings should be undertaken without reasonable delay,

the timing and location of the meetings must be reasonable (meetings should

take place in a private office), the employee must take all reasonable steps to

attend the meetings and the meetings must be conducted in a manner that Author: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



enables both sides to explain their cases. If it is not evident who is the Line

Manager, this should be discussed with HR.

9.0 Redeployment

Staff who are in a redeployment situation are given prior consideration for vacancies

potentially matching their skills, qualifications and experience. All staff on contracts

12 months or longer, who are in a redeployment situation will be advised about the

redeployment process before the end of their contract.

The HR Department monitors vacancies (either new (approved) or replacement

posts) and will assess suitability of those seeking redeployment. They will also

conduct a skills audit which will include ascertaining information about working

patterns etc.

For further information regarding the redeployment process – please see

Redeployment Principles and Procedure document

10.0 Redundancy Payments

Staff who have 2 years continuous service are entitled to a redundancy payment.

Continuous service is defined as a break of less than 2 weeks between contracts

(unless it is a temporary cessation of work between semesters etc). The continuous

service can include service at previous employers which are reckonable. HR can

advise regarding continuity of service and provide managers with calculations.




Staff who are made redundant and are members of the Local Government Pension

Scheme (LGPS) currently have the right to their pension benefits if they are over 50

years old. This is an additional cost for School/Service. HR can provide calculations

for these costs.

11.0 Time off to attend interviews

Staff who are in a redeployment/redundancy situation will be granted time off to

attend interviews up until the end of their contract. These can be internal/external

interviews.

Staff are also able to access the resources available at MARCET (located in the

Library Building), and request attendance on courses from the Staff Training and

Development Programme with the agreement of their Line Manager to enhance their

general level of skill or interview technique to assist them with the redeployment

process. Attendance on relevant courses will not be unreasonably refused

12.0 Employees on contracts expected to last less than 12 months

Managers of staff on these contracts should hold a meeting with each individual at

least 1 month before the end of the contract to inform them that the contract will be

extending/terminated. The Manager will advise the individual of their right to be

accompanied by a union representative or colleague and that there will be an HR

representative present. Those whose contracts are terminating have the opportunity

to apply for internal and external vacancies.




Those who have continuous service of over 12 months at Northumbria University,

should be covered by the process outlined in section 8. Managers should contact

HR to find out about continuous service prior to their current post.

13.0 Employees on tasks expected to last three months or less (i.e. casual contracts)

Line Managers are not required to give these employees any further formal notice

that the contract is ending on the stated end date. In the unlikely event that their

contract is to be terminated prior to the stated end date, if the individual has at least

one month of service, s/he should be given at least one week’s notice that the

contracts is to be terminated.

14.0 Staff employed on Professional training contracts

The following contracts are exempted from the procedure as their purpose is to

provide individuals with specific development (or throughout their time as a student).

The contracts may continue after the end date, however the individuals will have

achieved their development/qualification and therefore are unable to remain in post.

The outgoing postholder is replaced by a new postholder, so there is no redundancy

situation. However it would be advisable that Line Managers meet with the individual

at least 1 month before the end date to talk through the ending of their contract,

thank them for their contribution and wish them well for the future.

For example

Knowledge Transfer Associates

Trainee Solicitors

Student AssistantsAuthor: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



TASS (elite athletes)

Student Union President and Officers

Student Placements

Graduate Tutors




Appendix 1: Table of Terms and Benefits and their Application

Term/Benefit Permanent Employee Fixed-term EmployeeContinuous service All staff eligible 1 All staff eligible 1

Pay Incremental progression Incremental progressionPension All staff eligible to join 2 All staff eligible to join 2

Annual leave 35 days academic & research 25 days support 3

35 days academic & research 25 days support3

Sick leave & pay Qualifying periods 4 Qualifying periods 4

Maternity leave & pay Qualifying periods Qualifying periodsPaternity leave & pay I year qualifying service I year qualifying serviceAdoption leave & pay I year qualifying service I year qualifying serviceParental leave I year qualifying service I year qualifying serviceCompassionate leave All staff eligible All staff eligibleJury Service leave All staff eligible All staff eligibleExamination & Revision leave All staff eligible All staff eligibleService in Non-Regular Forces leave

All staff eligible All staff eligible

Time off for dependants/domestic emergencies


Time off for medical screening All staff eligible All staff eligibleTime off for public duties All staff eligible All staff eligibleRSA allowance Lecturing staff entitlement Lecturing staff entitledAppraisal All staff eligible FTC less than 1 year excludedStaff Development All staff eligible subject to budget All staff eligible subject to budgetProbationary period All staff or as per contract 5 All staff or as per contract 5

Notice of Termination of Employment

As per contract As per contract

Flexi time Categories of support staff Categories of support staffRight to request flexible working pattern

All staff All staff

Fixed statutory & bank holidays

All staff (subject to contract) All staff (subject to contract)

Redundancy & Severance pay Staff with 2 years cont.service Staff with 2 years cont.serviceUnion membership All staff eligible All staff eligibleSports Centre membership All staff eligible All staff eligibleAccess to refectory All staff eligible All staff eligibleUniversity shops All staff eligible All staff eligibleLibrary membership, Marcet and IT access


Car parking All staff eligible 6 All staff eligible 6

Chaplaincy All staff eligible All staff eligibleUniversity bus All staff eligible All staff eligibleCorporate travel All staff eligible All staff eligibleHealth Centre All staff eligible All staff eligibleNursery & salary sacrifice scheme

All staff eligible 7 All staff eligible 7




1 HEFCE, Universities or FE establishments for sickness & maternity. For redundancy comply with Redundancy Payment Order 1999

2 Either Teachers Pension or Local Government Pension Scheme depending on contract

3 After 5 years continuous service support staff (permanent or successive fixed term) receive extra 5 days

4 As per contract

5 Staff who are on probationary period, under Staff Management Procedures

6 Car parking permits are subject to waiting list

7 Subject to waiting list




Appendix 2: Draft letter inviting member of staff to initial meeting (6 months before contract is due to end)

Dear XXX

I am writing to request your attendance at a meeting to discuss the status of your

fixed term contract as it is due to terminate on (date).

The meeting will be held on (date) at (time) in (location).

You may, if you wish, be accompanied by a representative of a recognized Trade

Union or a colleague.

Please sign and return one copy of this letter as confirmation that you will attend.

Yours sincerely

Name

Title

AcknowledgementI acknowledge receipt of this letter informing me of a meeting on (date) and will attend

Signed……………………………………………. Date:…………………………




Appendix 3: Draft letter confirming outcome of initial meeting (6 months before contract is due to end)

Dear XXX

Following our meeting held (date), at which you were accompanied by (name of TU

representative /colleague) and (name), I am writing to confirm the points discussed.

The meeting was convened to discuss the status of your fixed term contract as (job

title) which is due to end (date).

I explained that due to (reasons) at present we believe your contract is unable to be

extended or made permanent. I stressed that this was not a reflection on your

conduct or performance, as you have fulfilled a valuable role.

I explained that I will meet with you again in 3 months time to give you an update

and a member of HR would attend to advise you about the process for redeployment

and provide you with details of any redundancy payment (if applicable)

I will arrange to meet with you again in approximately three months time on (date) to

review the situation.

Yours sincerely

Name

Title

Cc HR

Appendix 4: Letter inviting to meeting 3 months before end of contractAuthor: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



Dear XXX

Following our meeting on (date), I am requesting your attendance at a further

meeting to discuss your fixed term contract which is due to end on (date).

The meeting will be held on (date) at (time) in (location). (Name), HR representative

will also be present.




Yours sincerely

Name

Title


Signed……………………………………………. Date:…………………………

Appendix 5: Letter confirming outcome of meeting 3 months before end of contract




Dear XXX


representative /colleague) and (name), HR representative was also present; I am

writing to confirm the points discussed.

The meeting was convened to review the situation with regard to your fixed term

contract as (job title) which is due to end (date). I re-iterated that due to (reasons) we

believe your contract is unable to be extended or made permanent.

(Name) explained that the University will seek redeployment for you in order to

assist you in securing another post within the University prior to the end of your

current contract. S/he also explained that should you not secure a new post or be

redeployed, you will receive a redundancy payment following the termination of your

contract if applicable.

I will arrange to meet with you again in approximately 1 month’s time on (date) to

review the situation.

Yours sincerely

Name

Title

Cc HR

Appendix 6: Letter inviting to meeting 1 month before end of contractDear XXXAuthor: Ros McGee Final version 6 February 2008/tt/file_convert/5add4d517f8b9ae1408cc436/document.doc.final version. February 2008 of 28



Following our meeting on (date), I am requesting your attendance at a further

meeting to discuss your fixed term contract which is due to end on (date).

The meeting will be held on (date) at (time) in (location). (Name), HR representative

will also be present.




Yours sincerely

Name

Title


Signed……………………………………………. Date:…………………………

Appendix 7: Letter confirming outcome of meeting 1 month before end of contract




Dear XXX


representative /colleague) and (name), HR representative was also present; I am

writing to confirm the points discussed.

The meeting was convened to review the situation with regard to your fixed term

contract as (job title) which is due to end (date). I re-iterated that due to (reasons) we

believe your contract is unable to be extended or made permanent.

(HR representative) explained that the University had been seeking redeployment

for you in order to assist you in securing another post within the University prior to

the end of your current contract; however it had not been successful. S/he also

explained that as you had not secured a new post or been redeployed and your

contract will be terminating, due to your length of service you are entitled to a

redundancy payment (if applicable)

I informed you that as this is a dismissal, you are entitled to seek a review of this

decision by the Board of Governors. If you wish to exercise this right you must do so

in writing to the University Secretary, giving grounds for this review, within 10

working days of receipt of this letter.

I would like to thank you for your services to the University and wish you well for the

future.




Yours sincerely

Name

Title

Cc HR




Appeals Process


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