POLICY & PROCEDURE FOR THE APPOINTMENT AND REVIEW OF FIXED TERM
CONTRACTS
DEFINITION OF A FIXED TERM CONTRACT:
A part-time or full time contract of a specified fixed term duration. Staff on such contracts are
salaried although in exceptional circumstances a ‘fixed fee’ arrangement can be made.
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INTRODUCTION
York St John has to operate in a competitive environment and faces the same kind of
competitive, operational and business pressures as other sectors of the economy. The
University needs to be productive and efficient, making full use of modern and flexible work
organisation and adopting patterns of work. This requires that we have the flexibility to
appoint fixed term staff to perform certain roles within the University. Fixed term contracts
are used most often where funding is temporary or a time-limited task/project is to be
undertaken.
The University wishes to treat all its employees fairly and aims to achieve a proper balance
between flexible working and organisational efficiency and the fair treatment of employees.
Obligations arise from the wish to be a good employer and from legislation. It is important to
note therefore that these flexible arrangements are governed by University Policy and
employment law.
The aim of this Policy is to define the procedures in relation to the appointment of fixed term
academic and support staff and the principles underlying their employment. The outcomes of
this Policy are to:
1.1 Ensure adherence to the legislative requirements on the use of fixed term contracts and
redundancy. The traditional ‘waiver’ clause (by which employers asked employees to waive
their right to redundancy payment), no longer has validity in contracts where service is
continuous over two years and it is therefore essential to have in place procedures to consult
at both collective and individual level, and to identify those staff eligible for a redundancy
payment.
1.2 Issue guidelines on measures to be taken to prevent ‘casualisation’ wherever possible and
ensure fixed term contracts are used appropriately to meet business needs. Within this
context, it is recognised that there will be circumstances where the use of such contracts is
appropriate, and these are detailed in the Policy. There will also be a threshold of four years
service.
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WHAT IS A FIXEDTERM EMPLOYEE?
A fixed-term employee is someone employed under a contract of employment which provides
that it will terminate:
o
o
o
on a specific date
on the completion of a particular task, or
when a specific event does or does not occur
A separate procedure exists for the appointment and review of hourly-paid academic
contracts.
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THE LEGISLATIVE FRAMEWORK
There are a number of ways in which legislation impacts directly on fixed-term employment.
3.1 There is the requirement to avoid direct and indirect discrimination in the use of fixed-term
contracts and to ensure equal pay for work of equal value. These are set out in the Equal Pay
Act 1970, the Sex Discrimination Acts 1975 and 1986, the Race Relation Act 1976 and the
Employment Relation Act 1999 (and subsequent Regulations)
3.2 The Fixed-term Employees (Prevention of Less Favourable Treatment) Regulations 2002
provides that fixed term staff are not to be treated less favourably than comparable
permanent employees. Employers are prevented from placing employees on successive
fixed term contracts without objective justification. If an employee is employed under a fixedterm contract and this contract has been renewed or if an employee was previously employed
on another fixed term contract, then he or she will be regarded as a permanent employee as
soon as he or she has been continuously employed for at least 4 years. Service prior to July
2002 does not count for these purposes.
3.3 The Trade Unions and Labour relations (Consolidation) Act 1992 includes requirements to
consult the recognised unions where there is a redundancy.
3.4 A redundancy occurs where there is a diminution or reduction in work and employment has
been continuous for two years. A redundancy is a form of dismissal and is a ‘fair’ dismissal
when there is an objective justification relating to the diminution of the work and proper steps
have been taken to consult the staff involved. This does not affect the legislation regarding
unfair dismissal, for which the qualification period is one year’s service. An employee on an
fixed term contract whose contract is terminated after, for example, 18 months can claim
unfair dismissal (whether or not they qualify for a redundancy payment) if the employer
cannot show good reason for the dismissal.
3.5 Precedent developed by case law provides that seasonal breaks in contracts should not be
regarded as a break in service. The University will ensure adherence to the principles
established within case law when determining length of service.
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USE OF FIXED TERM CONTRACTS
The University depends on a range of funding sources, some of them increasing, some declining,
some of them variable and insecure. The University needs to be productive and efficient, making
full use of modern and flexible work organisation and adopting patterns of work that will fit
challenges in the future. Just as important, the University wishes to treat all its employees fairly
and to offer opportunities for staffing all the occupational groups to pursue and develop their
careers. The aim must be to achieve a proper balance between flexible working and
organisational efficiency, on the one hand, and security of employment and fair treatment of
employees on the other.
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4.1 Objective reasons for fixed term contracts
It is essential that there are transparent, necessary and objective reasons for employing an
individual on a fixed term contract. Such reasons include:
4.1.1
4.1.2
4.1.3
4.1.4
4.1.5
4.1.6
4.1.7
Temporary cover until recruitment processes are completed or as a short term
measure during recruitment difficulties
Temporary increase in workload
Response to an unplanned/unexpected situation as a short term contingency plan
Temporary cover of an absent member of staff (e.g. sickness, maternity)
To meet variable and uncertain student or other business demand
Where funding is limited and future funding uncertain
Where a specific task/project is to be undertaken
Where a post has been advertised as permanent, an individual should not be offered a fixed
term contract where a department/faculty is unsure about their ability to undertake the
responsibilities of the role. This is the purpose of a probationary period.
4.2 Principles Underlying Good Practice
Employment arrangements for all staff should reflect the following principles:
o
o
o
o
o
o
Equality of opportunity is reflected in all aspects of employment.
Temporary contracts respond, in certain circumstances, to the needs of both employers
and employees.
Indefinite contracts are the general form of employment relationship between employers
and employees.
Access to services available to staff on indefinite contracts which assist better
performance, such as staff development, training, appraisal, careers advice for research
staff, etc. should also be available pro-rata to staff on fixed term contracts.
Staff on fixed term contracts should have similar terms and conditions of employment to
those in comparable jobs with indefinite employment in the institution. They should have
access to information on, and the opportunity to apply for, more secure positions.
The institution should carry out a periodic review, particularly where there is a
succession of fixed term contracts, to consider indefinite employment.
4.2.1 The successful application of these principles depends on a recognition by the
University and staff that:
o
o
o
o
o
Staff, whether full-time or part-time should only be placed on fixed term contracts
where there are necessary and objective reasons (see 3.1 above).
Indefinite employment will be available within the University for only some of the
staff on fixed term contracts.
Staff employed on fixed term contracts have a legitimate expectation of the
support and services available to staff on indefinite contracts as appropriate.
Staff employed on fixed term contracts may have special needs (e.g. career
advice) relating to their short-term contracts.
There are benefits to the institution and the long-term career development of staff
in avoiding an unnecessary and excessively extended sequence of temporary
contracts.
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PROCEDURES FOR THE APPOINTMENT OF FIXED TERM STAFF
5.1 Advertising
5.1.1
5.1.2
5.1.3
All fixed term contracts of 9 months or more, or those which are likely to be
converted into indefinite posts, must be advertised. The normal recruitment
processes should be adhered to as set out in the University’s Recruitment &
Selection Manual.
Where a fixed term post has not been advertised and is later converted to a
permanent position, to ensure equality of opportunity, the permanent position must
be advertised. The individual currently in post can apply for the post should they so
wish.
Where a member of staff is offered a permanent position in line with the Fixed Term
Employees (Prevention of Less Favourable Treatment) Regulations 2002 and they
have not been interviewed previously for the post, they will be required to go through
an interview process before permanent status is confirmed.
5.2 Interview process for fixed term contracts of less than 9 months in duration
a. For posts of less than 9 months in duration and where an advertisement has not been
placed, an interview must still be undertaken to ensure an individual’s suitability for post.
b. It is the Faculty/Department’s responsibility to ensure a person’s suitability for work by
obtaining CVs, interviewing prospective staff, checking their academic/professional
credibility, where appropriate.
c. In line with University policy, any member of staff undertaking interviews will need to be
familiar with the YSJ Recruitment & Selection Manual and have undertaken recruitment
training.
d. If references are not available at the time of appointment, offers will be made ‘subject to
satisfactory references’.
5.2.1
Making an appointment
a. Once an appropriate person has been selected, form ‘TempAcad’ or ‘TempSupport’
(Request to appoint a fixed term member of staff) should be completed and signed,
ideally, by the Head of Department/Dean of Faculty before being sent to the HR
department together with a copy of the individual’s CV. However, it is accepted that, as
budget holders, this authority can be delegated to Heads of Section/Subject. If
references have not already been received, HR will send for them.
The forms require the individual’s personal details, information about the work they have
been asked to undertake and a justification for their appointment including
acknowledgement that they have been assessed as being suitable for the position they
have been selected for. This form must be completed and sent to Human Resources
BEFORE the person commences work with the University. If this is not done there are a
number of consequences including:
o Misunderstanding about the number of hours and rate of pay
o Problems if an employee requires a work permit before they are allowed to
commence employment
o Lecturers not receiving payment on time for work done are less inclined to work for
us again
All of this will reflect adversely on the University and should be avoided.
b. The HR Department will produce an appointment letter and send this together with the
Statement of Particulars to the new member of staff. They will apply for references,
where appropriate. To ensure adherence to the Immigration, Asylum and Nationality Act,
HR will also ensure that individuals provide:
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o
o
A passport, residence permit or Application Registration Card; or
A full birth certificate (showing the names of parents) plus a document showing their
name and National Insurance number.
Where a CRB check is required, the appropriate forms will also be sent.
c. Each member of staff that starts work will be sent a copy of the relevant information
regarding the main University induction. Faculties/Departments will be responsible for
ensuring they induct their new staff appropriately. It will also be the responsibility of the
Department/Faculty to assign a mentor or coach that these staff are able to contact
should they have any questions.
d. Departments/Faculties are responsible for ensuring that the work is carried out.
5.3 Interview process for fixed term contracts of more than 9 months in duration
The standard University recruitment & selection procedures must be followed.
5.4 Calculation of salary
a. All fixed term staff will be paid on the York St John pay spine. Role Analysis (HERA) will
be used to determine the appropriate salary grade for fixed term staff. Fixed term staff
are entitled to incremental progression in accordance with the standard procedures for
permanent staff.
b. With fixed fee arrangements, where possible, the calculation of salary will be directly
related to a grade and point on the pay spine to ensure equal pay requirements are
satisfied.
6 SELF EMPLOYED STATUS
It is University policy to regard all individuals on fixed term contracts as employees. Selfemployed status will only be recognised in very exceptional circumstances. Where there is a
query about status then the Faculty/Department must make use of the on-line Employment Status
indicator tool on the HM Revenue and Customs web site PRIOR to work starting. Full guidance
notes are available from the HR Department Staff Information Point (‘Employment Status
Guidance for Managers’). Where self employed status is confirmed, payment will be made on the
basis of invoice submitted to the Dean of Faculty/Heads of Department or budget holder for
authorisation
7 ANNUAL REVIEW OF FIXED TERM CONTRACTS
The HR department will, in consultation with Deans of Facility/Heads of Department, carry out an
annual review of fixed term contracts in conjunction with the University annual staff budget
planning between Feb to June. In so doing, the review will:
7.1 Identify the total number of fixed term contracts used during the year.
7.2 identify any members of staff who meet a threshold of two years continuous service. Where
this occurs, discuss with the Dean of Faculty/Head of Department whether a permanent
appointment should be made to any staff over the threshold. There will be a presumption
that such an offer will be made unless there are exceptional and compelling reasons not to,
such as:
 funding is available for a specified period only
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

the need for the work to be undertaken has a specific end date and this will not be
extended.
future financial support for the post is questionable due to uncertainty of student
numbers and/or the viability of a course.
7.3 In line with the principle above, where a permanent contract is considered appropriate,
information must be supplied to the Director of Finance in line with the annual staff budget
round. Financial approval can only be withheld where there are insufficient finances to
support the permanent post. Finance cannot prevent the offer of a permanent post per se.
7.4 In accordance with the principles set out in the Fixed-term Employees (Prevention of Less
Favourable Treatment) Regulations 2002, identify whether any members of staff will attain
more than 4 years continuous service if they are offered a contract for a further academic
year. Any renewals that take the continuous service up to and/or beyond four years will
mean the contract becomes permanent.
The only exception will be where the renewal will be justified on objective grounds, i.e. it can
be shown that the use of a further temporary contract:
o is to achieve a legitimate objective (e.g. a business objective)
o is necessary to achieve that objective
o is an appropriate way to achieve that objective
7.5 Discuss individual positions with staff, and make such offers as are agreed following the
staff budget round.
7.6 Identify any staff who will not be needed the following year (see Section 8 below for
procedure to be followed)
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TERMINATION OF A FIXED TERM CONTRACT
Situations will arise where a contract is not to be renewed. In these cases, the procedure for
terminating a fixed term contract should be in accordance with the following procedure:
8.1 Individual Consultation
8.1.1 Before the end of the Academic Year, and no later than the end of June, Deans of
Faculty/Heads of Department will review their need for fixed term staff for the
forthcoming year in the light of decisions taken from the staff budget round. This will
be prompted by a reminder from HR, with a list of fixed term staff currently employed.
It is recognised that at this stage the exact requirement for fixed term academic staff
cannot be known, as this is determined by final student numbers and student module
choices at the beginning of the following Academic Year.
8.1.2 Deans of Faculty/Heads of Department will indicate whether they are unlikely to
require a member of staff for the following year or whether they will need to reduce
contractual hours.
8.1.3 If it is possible that a member of staff may not be required or that their hours will be
reduced, then this will be confirmed with them in writing by Human Resources. They
will be invited to attend a meeting with the Dean of Faculty/Head of Department
where they can be accompanied by a trade union representative or colleague.
Following the meeting, should the decision be taken to not re-employ the member of
staff for the next academic year, this will be confirmed with them in writing by HR
together with the reasons. The letter will make explicit their right of appeal, which, if
lodged, will be heard by the Principal accompanied by another member of the
University’s Executive Group.
8.1.4 Where a fixed term contract is not renewed and the member of staff has more than 2
years continuous service, as defined by law, a redundancy payment will be made.
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8.2 Collective consultation
8.2.1 The University will inform UCU or UNISON of all cases at the earliest possible time as
they arise. The University College will inform UCU or UNISON in writing, at the
earliest opportunity in June/July, the numbers involved, including employee names,
job role and reasons for all proposed redundancies by department and Faculty.
8.2.2 Annual meetings with UCU and UNISON representatives will be arranged for
June/July, in order for a response to be made both to this information, and to discuss
any potential redundancies arising from the annual staff budget round. The termly
Academic and AAT JCC meetings can be used for this purpose if timing is
appropriate.
8.2.3 Further meetings will be arranged in the summer vacation, as required, to keep UCU
and UNISON informed of developments in individual consultations, and to consider
any reply to any representations Trades Unions may wish to make about the
individual proposals or about the process itself.
8.2.4 If it is unlikely that re-engagement will take place, possible alternatives to redundancy
will be considered or help in avoiding unemployment may be provided. Reasonable
steps may include possible re-deployment with the University, information on training
opportunities and support for re-training initiatives; assistance with production of CVs
and job applications; and holding CVs on file so that former staff can be contacted
with future appropriate vacancies arise.
8.2.5 The University will provide a summary of those redundancies which, following
individual and collective consultation, ultimately take place. This will include
information on whether the lecturer was eligible for a statutory redundancy payment.
8.3 Redundancy arrangements
8.3.1 A redundancy situation will only exist where the requirement of a Faculty or
Department for a member of staff to carry out work of a particular kind has ceased or
diminished or is expected to cease or diminish.
8.3.2 Any redundancy payments made will be based on actual week’s pay and calculated in
accordance with the statutory scheme.
8.3.3 If a member of staff is made redundant, their continuity of service will cease at the
date of termination of employment.
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