PROCEDURE FOR MANAGING THE EXPIRY OF FIXED TERM CONTRACTS
Preamble
The conditions of employment for support staff specify a notice period of 3 months. The notice period
for academic staff is not specified: in practice, the University operates a notice period of three months
for these groups. For staff employed on conditions of employment governing Administrative and Other
Related Staff, a notice period of 6 months is specified. The procedure set out below envisages a period
of individual consultation before notice of dismissal (normally 3 months but 6 months for Administrative
and Other Related staff) is issued. The consultation period should normally begin at least 45 days
before the notice of dismissal should be issued i.e. 4.5 months before the fixed term contract is due to
expire (7.5 months for Administrative and Other Related staff).
At any time, the consultation can be concluded, or notice of dismissal withdrawn, if funds become
available or there is another reason (e.g. further work on a project) to extend the fixed term contract or if
the member of staff is successful in obtaining employment elsewhere in the University.
The procedure below envisages that the consultation stages of the procedure are undertaken locally,
within the School/Budget Centre, since local staff/managers are best able to judge what actions should
be undertaken and when. However, any delay in implementing the process set out below can have
financial implications for the College/Budget Centre: if notice is issued late, the College/Budget Centre
will incur the salary costs after the external funding has expired. For these reasons, Colleges may wish
to manage the procedure set out below for their constituent Schools, or direct that additional procedures
are adopted to ensure financial control.
Note 1
For those employees identified by the University’s legislation as members of academic staff,
the following procedure is subject to University Ordinance 3.23
(www.as.bham.ac.uk/legislation/docs/Ordinances_3.23.pdf). The Vice-Chancellor has
designated the relevant Head of School as the ‘Appropriate Person’ to act on his behalf
under the procedure set out in the Ordinance.
Note 2
Copies of model letters are attached, together with a flow chart of the different
responsibilities of Schools and Human Resources.
Note 3
The University’s redeployment policy and procedure is available at
www.hr.bham.ac.uk/policy/redeployment.shtml
Note 4
The consultation process for Administrative and Other Related staff should begin and
conclude three months earlier than specified below (because this group of staff has a
notice period that is 3 months longer than other groups of staff).
Note 5
The times at which the procedure below suggests that actions are taken, or letters sent are,
on the whole, the latest times at which the action should be carried out: this does not
preclude the process starting earlier. The expiry of a fixed term contract constitutes a
dismissal and UK legislation states that the University must therefore consult with individuals
and serve notice of the expiry of a fixed term contract in order for the dismissal to be fair.
Normally consultation lasts for at least 45 days and three months notice is required. Failure
to carry out the process within the timescales will lead to Budget Centres having to find
additional funding to extend the contract to allow for sufficient time to carry out consultation
and give the appropriate notice period
Note 6
The consultation period and the notice period should not run concurrently.
PROCEDURE FOR MANAGING THE EXPIRY OF FIXED TERM CONTRACTS
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Procedure
i)
When a fixed term contract is issued to an individual, the expected end date of the contract is
entered onto the University’s staff database (AltaHR).
ii)
Each month, the HR Services Team will produce School/Budget Centre-based reports of fixed
term contracts which are due to expire within the following 9 month period, including a Dismissal
at End of Fixed Term Appointment Pro-forma (A) inviting the School/Budget Centre to consider
whether, in each case, the contract should be renewed or terminated. This documentation (which
may be electronic) will be passed to the College HR team (or the Corporate Services HR team) for
distribution to appropriate School/Budget Centre-based contacts, as appropriate (NB. if the local
HR team is aware that the process has already commenced in relation to certain individuals on
the report, for example, because a Pro-forma and letter B has already been received, then this
documentation will not be sent but an update may be sought from the School/Budget Centre).
iii)
The documentation will be issued to Schools/Budget Centres at month 9 (i.e. 9 months before the
contract is due to expire) as an early warning, to begin to make arrangements e.g. to apply for
new grants.
iv)
HR will be responsible for notifying the recognised trade unions of potential redundancies and for
collective consultation, as appropriate.
v)
No later than at the middle of month 5 (i.e. the fifth month before the contract is due to expire), a
representative of the School/Budget Centre (eg a designated manager) should complete the
Dismissal at End of Fixed Term Appointment Pro-forma (A) and open formal consultation with the
staff concerned by issuing a start of consultation letter (B) letter to the individual, sending a copy
of both documents to the Colleges/Corporate Services HR team. The HR team will record and
report to the Head of College/Head of Budget Centre, as appropriate, any individuals whose
contract is due to expire within the next 4.5 months for whom a copy letter has not been received.
This letter (B) invites the member of staff to a meeting and draws attention to the redeployment
service within HR.
vi)
The consultation should include a minimum of two meetings between the designated manager
and the member of staff. The meetings should cover the following:
 why the employee is at risk of redundancy
 the numbers and descriptions of roles at risk of redundancy i.e. They are in a pool of one
and why or more if there are others linked to the funding/ project coming to an end
 what alternatives there may be to compulsory redundancy (including redeployment (drawing
attention to the University’s redeployment policy), possible alternative sources of funding or
any other ways in which the work and hence the contract might be continued)
 what the timescales are including details of any consultation meetings
 the right to be accompanied at meetings to discuss the potential redundancy by a trade
union representative or colleague
 what employee support is available to help them during this period
 remind the member of staff that the contract will be terminated if no suitable alternatives
arise.
The member of staff may be accompanied by a colleague who is a member of staff of the
University or by a trade union representative. The outcomes of the meeting(s) are recorded on a
consultation meeting pro-forma (C). An outcome of meeting letter (D) is sent to the member of
staff by the School/Budget Centre representative. In the case of the proposed termination of the
fixed term contract of a member of the academic staff, a copy will be sent to the Head of
School/Budget Centre, as the ‘Appropriate Person’ under ordinance 3.23.
vii)
For academic staff, on receipt of a copy of the outcome of meeting letter (D), the Head of School,
acting as the ‘Appropriate Person’ under Ordinance 3.23 (see note 1 above), will arrange to meet
with the member of staff by issuing letter D(i) and subsequently confirm whether or not the
contract is to be terminated by issuing letter D(ii) or letter D(iii)).
PROCEDURE FOR MANAGING THE EXPIRY OF FIXED TERM CONTRACTS
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viii) By the end of the fourth month before the contract is due to expire, the School/Budget Centre will
review the pro-forma (A) completed prior to the start of consultation. If the contract cannot be
extended and there is no suitable alternative employment available (including in cases where
there is an expectation that new funds may become available), the School/Budget Centre should
notify its local HR team and confirm the reason for it not being extended. HR will issue notice of
dismissal (letter E) to the member of staff (which can be withdrawn if new funds become
available). The letter will advise the member of staff of his/her right to appeal against the decision
to terminate the contract. The notice of dismissal will not be issued unless and until the previous
steps of the process have been completed. For academic staff, the procedure for appealing
against a decision to terminate a fixed term contract is set out in Ordinance 3.23; for
Administrative and Other Academic Related staff, the appeal procedure is contained within their
conditions of employment; and for support staff, such appeals will be considered by the Deputy
Pro Vice Chancellor with responsibility for staffing matters.
ix)
After notice of dismissal has been issued, all parties should continue to seek alternative funding
and suitable alternative employment.
x)
One month before the contract is due to expire, if no further funding or suitable alternative
employment is available, the local HR team will write to the member of staff concerning leaving
arrangements by issuing letter F.
Approved by Council
November 2009
Updated April 2013
PROCEDURE FOR MANAGING THE EXPIRY OF FIXED TERM CONTRACTS
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Expiry of Fixed Term Contract/Funding Process
MONTH
SCHOOL / BUDGET
CENTRE *
9
Make appropriate arrangements
for renewal of funding, submitting
new grant applications etc
5
No later than the middle of month
5 ***, send start of consultation
letter (B) to individual notifying of
expected expiry of fixed term and
referral to redeployment
service**** and complete
Dismissal at End of Fixed Term
Appointment pro-forma (A). Send
a copy of both documents to HR
Consultation meetings –
complete consultation meeting
pro-forma (C).
Send outcome of meeting letter
(D)
For academic staff copy letter D
to Head of School as
‘Appropriate Person’ under
provisions of Ordinance 3.23
Send D(i), D(ii), D(iii) letters as
appropriate
Review Dismissal at End of
Fixed Term Appointment proforma (A) and notify HR if the
contract cannot be extended,
including reasons why
4
HUMAN RESOURCES
MONTH
First notification of
expiry of fixed term to
Schools
Produce electronic report detailing all
fixed terms due to expire within a 9
month period ** and provide Dismissal
at End of Fixed Term Appointment proformas (A) for each individual
9
8-5
Notification of
expected expiry to
individual
Consultation meetings
(at least 2 meetings
should take place)
Formal notice of
expiry of fixed term
5
Discuss and offer support for
consultation meetings as required
On receipt of pro-forma, send formal
notice of expiry (letter E)***
Seeking Redeployment
8-5
PROCESS
4
Administer appeal process as
necessary
Confirmation of expiry
Final check with School/College that
outstanding cases are being progressed
Letter to individual confirming leaving
arrangements (letter F)
1
1
*
At any time the nominated School/Budget Centre representative can confirm fund availability to support a re-appointment by
completing the Dismissal at End of Fixed Term Appointment pro-forma (A) and returning it to Human Resources, who in turn
request confirmation of fund availability to support this. Upon confirmation of funds HR will write to the individual with formal
notification of the re-appointment.
** Every month HR will produce an updated electronic report to the School/Budget Centre representative and to the relevant
School/Budget Centre accountant.
*** This is 5 months prior to the date of expiry of the contract and therefore will fall on any date within that fifth month dependent
upon the date of expiry e.g. if a contract ends on 15 th July, middle of month 5 would be 1st March.
**** For Administrative and Other Related staff (who have a contractual notice period of 6 months), first letter (B) to be
sent on first notification (i.e. by middle of Month 8) completing process (to letter E) by the end of month 7.
PROCEDURE FOR MANAGING THE EXPIRY OF FIXED TERM CONTRACTS
Page 4
Advised Return Date 2013
FROM:
DATE:
TEL. NO.
Our ref: «Appointment_Organisation_Code»
________________________________________________________________________________________________
DISMISSAL AT END OF FIXED TERM APPOINTMENT
The member of staff detailed below is due to be dismissed in the near future at the end of a fixed term appointment.
Legally, this termination is regarded as a dismissal on grounds of redundancy. Employers are obliged to consult with
employees and their representatives and, in certain circumstances, notify the Employment Service before contractual
notice of redundancy can be issued. There is also a requirement to look for opportunities for redeployment to avoid the
redundancy. Performance reasons do not provide an automatically fair reason for dismissal unless they have been
formally addressed during the course of the contract.
Please advise me by returning this form confirming whether the appointment is to be continued in the same job on the
same terms and conditions as before and if so for how long and funded from which account. If the contract is to be
extended by issuing a further fixed term contract instead of transferring the post holder to an open contract you are
legally required to justify this (see reasons for extension listed below). If the post-holder is to undertake different work,
then a new post should be created on WCN and an appointment letter, rather than a re-appointment letter, should be
sent to the employee.
You are advised to complete and return this form by «RETURN», at the latest. Please let me know if you wish to
discuss any aspect well before the form is due to be returned to me.
Name
Job Title
Grade
«Fullname»
Person no.
«Person_Code»
«Staff_combined_Category»
«Appointment_Organisation_Name»
Current salary
FTE
«Normal_Annual_Pay_No_Sec»
«FTE»
School/Budget
Centre
Incremental date
Account code
Period of Service
Date
«Period_of_Service_Start_Date
»
Appointment due to
expire on
«Next_Increment_Date»
«Account_Code»
«acc1»
«acc2»
«Appointment_Expected_End_Date
»
To: Human Resources
This appointment will:
Be transferred to an Open Contract with funding from account no …………………………which is not time limited.
Be transferred to an Open Contract funded from account no…………………………..with a Funding End Date
of...………………………….…………..
Be extended until ......................................... from account no.............................................. for one of the following
reasons:
cover for leave of existing staff
new initiative of uncertain prospect
external funding for a limited term
training/career development purposes
non-recurrent funding
specialist expertise
other reasons
(please specify)
Probably be extended, subject to new funds becoming available and I will notify you as soon as they do so.
Not be extended because ………………………………………………………………………….…………..
For contracts which are probably to be extended or where there is no extension you will need to consult with the
postholder. In cases where an extension has already been requested, until Finance have confirmed to HR that the funds
are definitely available and a subsequent contract extension has therefore been issued, the consultation process should
still commence/continue in case a redundancy may still be required. Please tick the appropriate box below.
A consultation meeting has taken place with the postholder and the completed meeting proforma is attached.
A consultation meeting has been arranged for ……………………………. and the meeting proforma will be returned
to Human Resources following this. (Further copies of the proforma are available from www.hr.bham.ac.uk)
I have explored opportunities to redeploy the postholder within the School/Budget Centre and will continue to do so.
The member of staff has been made aware of the position.
Budget Centre Signature............................................................ Name …………………………………… Date
.........................
Accountant
Signature............................................................ Name …………………………………… Date
.........................