Guidance on UCL Contracts For Services (Workers) and Contracts of Employment (Employees)

The type of contracts that UCL uses for different working arrangements, and the procedures governing the appointment of individuals and the termination of contracts

Contents

1. Contracts for Services (Workers)
    Payment for a one-off duty
    As and When Workers
2. Contracts of Employment (Employees)
3. Fixed-term contracts
4. Apprenticeships
5. Open-ended contracts with grant/project end dates
6. Open-ended contracts
7. Open-ended contracts (term-time or seasonal)
8. Monitoring open-ended contract and fixed-term contract end dates
9. Dismissal of staff on fixed-term and open-ended contracts
10. Extending fixed-term contracts (less than nine months' continuous employment)
11. Extending open-ended contracts with grant/project end dates
12. Further information and enquiries

1. Contracts for Services (Workers)

Payment for a one-off duty

Departments can invite individuals to undertake a short-term one-off duty (e.g. lecturing on a CPD course) without the requirement to issue a formal contract of employment. These types of engagements should be arranged through Unitemps. In these situations the individual is responsible for controlling how the work is undertaken and receives only minimum supervision.

The nature of the contractual relationship is similar to a self-employed situation, but either (i) the individual is not eligible to qualify for self-employed status (e.g. they are a full-time employee at another institution paid PAYE) or (ii) the duty they are undertaking would not normally qualify as a self-employed activity (e.g. teaching on mainstream university programmes).

The one-off duty will normally be linked to a single payment processed after the service has been satisfactorily provided. Payments will normally be taxable. Three payments in any one tax year will normally be permitted, after which the department should consider whether it would be more appropriate to use an As and When contract or some other form of contract. The frequency and patterns of payments will be monitored.
It would be inappropriate to pay individuals via one-off payments, or employ them on As and When contracts, when they have responsibility for the administration or coordination of on-going UCL activities.

The payment can be made using an Additional Payment Form in MyHR Department Transactions. 

As and When Workers

As and When contracts allow UCL to engage individuals as and when they are needed and to control their tasks when they are working with us. However, there is no mutuality of obligation between UCL and the individual; UCL is not obliged to offer the individual work, and the individual does not have to accept the work offered.

Workers are entitled to paid annual leave under the Working Time Regulations, but do not receive sickness pay. As there is no obligation to give work prospectively, the workers' accrued annual leave entitlement has to be calculated retrospectively, either at the end of employment or on an annual cycle. The department is responsible for requesting payment of accrued annual leave based on pro-rata 27 days plus pro-rata closure days and bank holidays that fall during the period of work.

As and When contracts have no set restrictions on either the duration of the contract or the amount of hours an individual can work (subject to Working Times Regulations). However, the amount of hours being worked and the expected duration of the work will need to be reasonable. Workers are not expected to undertake a regular pattern of work (i.e. they should not be asked to work a set number of hours and days each week). Should such a regular pattern develop these individuals would need to be classed as employees and cannot remain on As and When contracts. Departments should seek advice from HR Services. 

The hourly rate paid to such workers is derived from UCL's salary scales or prescribed under an approved UCL scheme.

An as and when worker who is identified on the HR/payroll database as not having had a payment for two or more years will be closed down and archived.

2. Contracts of Employment (Employees)

Contracts of employment set out the terms and conditions under which an individual is employed, including the requirement to adhere to UCL policies and procedures. Employees are appointed via UCL’s Recruitment and Selection Procedure and the job description for the post specifies the duties and line management arrangements.

UCL will use five recognised appointment categories applied consistently across all staff groups.

• Standard open-ended contracts
• Open-ended contracts with grant / project end dates
• Open-ended term-time or seasonal contracts
• Fixed-term contracts

When a new contract is requested that has an end date, or the end date of a contract is extended, the projected end-date reason must reflect the contract type accurately.  The following table provides the option you may choose in MyHR Department Transactions and an explanation for when it should be used.

It is permissible under certain circumstances to make payments to individuals for one-off duties or to contract with individuals for services on a self-employed basis. The Finance Division provides guidance on when it is permissible to engage the services of an individual on a self employed basis, including the eligibility of payments to visiting lecturers and examiners . The self employment questionnaire and application form can be found here

Payment for an additional duty

Payments should be based on an hourly rate derived from UCL's salary scales through MyHR Department Transactions. 

3. Fixed-term contracts

Fixed-term contracts can be used for:

• providing cover (e.g. sabbaticals, leave of absence, sickness absence, maternity leave and vacancies),
• internships or paid work linked to a course of study, for example, PGTA work. 

It is not necessary to pay students undertaking work experience when they are working as a required part of a UK-based further or higher education course if the placement doesn't exceed 1 year (see  Internships, Work Experience and Volunteering Policy).  However, they may be employed on a Fixed-Term contract by UCL, in accordance with the Recruitment and Selection Policy, and paid on the UCL pay scale.

• for short term appointments that are project or task-related (e.g. a two month appointment to complete a specific task such as clearing backlog), including roles with limited funding.

Fixed-term contracts should usually be for one-off, non-recurring appointments for a period of less than nine months in duration. However, fixed-term appointments covering staff who will be returning to their post may be for a longer duration (e.g. maternity leave, sickness absence, sabbatical and unpaid leave) coinciding with the expected period of absence. Fixed-term contracts linked to a period of study may extend to the end of the studies / academic year the course is completed, as appropriate.

An academic appointment should only be made in exceptional circumstances where the replacement is required to carry out research and to teach. Typically cover for an academic employee will be provided by an Associate/ Lecturer (Teaching).

The majority of staff appointed on research grant funded contracts are likely to be appointed on a grant, or series of grants and contracts, lasting longer than nine months. Accordingly, these individuals will be appointed on "Open-ended contracts with grant/project end dates" (see Section 7 below).

However, there will be a minority of research grants and contracts where the project involves the employment of persons for a limited duration of less than nine months. In these circumstances, a fixed-term contract (FTC Project) should be used.

Teaching staff with recurring teaching commitments, year on year, should not be placed on a series of fixed-term contracts but should be issued with an open-ended contract once it is known there is the necessary funding/ demand to support the role.

4. Apprenticeships

Apprenticeship Agreements are a type of employment contract that should only be given to apprentices employed on a recognised Apprenticeship Scheme at UCL. Apprenticeship Agreements are issued in conjunction with a Commitment Statement that details information about the apprentice’s off-the-job training. 

5. Open-ended contracts with grant/project end dates

These contracts should be used for employees who are appointed with a known risk of redundancy because of an anticipated funding or project end date. This is most commonly the case with staff employed on:

1. research grants and contracts where either the project or funding has a finite duration; and
2. projects (e.g. project managers for systems implementations or capital projects, etc) where there is a finite task or funding.

Open-ended contracts will include a paragraph making reference to the possibility of redundancy in certain circumstances. As far as possible this statement will be generic in order to avoid the need to issue new or amended contracts of employment when employees change grants, or when projects are extended.

The generic wording used for appointments on research grants and contracts is "your post is funded by research grant or contract, and in the event that this funding should cease your post will be at risk of redundancy. In the first instance the funding supporting your post is from [start_date] to [funding_end_date] and your head of department, or their nominee, will keep you informed of the funding situation".

The generic wording to be used for staff assigned to projects is "your post is to undertake a specific project which has a limited duration and / or source of funding. Upon completion of the tasks or cessation of the funding, whichever is the sooner, your post may be at risk of redundancy. In the first instance the project is estimated to be completed on [funding_end_date] and your head of department, or their nominee, will keep you informed of the situation".

A consultation meeting is held a minimum of three and a half months before the funding end date and is used to discuss whether the funding supporting the employment, or the project itself, is likely to cease and whether alternative employment is available - see Termination Procedure for Fixed Term Contracts and Redundancies. 

Departments occasionally employ staff on an ongoing basis from a source of external income controlled via a departmental fund. These appointments will become open ended contracts referencing the reliance upon the continuation of the funding stream.

Teaching staff with recurring teaching commitments, year on year, will be issued with an open-ended contract.

6. Open-ended contracts

These contracts are the most frequently used form of UCL contract and should be used where there is an expectation at the outset that employment will continue indefinitely.

7. Open-ended contracts (term time or seasonal)

Certain employees are employed on open-ended term-time or seasonal contracts (e.g. UCL Lecturers (Teaching)).

Those working for the majority of the academic year (i.e. nine months or more) will be paid continuously over 12 months. Those working for less than nine months in every 12 month period, may be paid in instalments over the months that they work, or continuously over 12 months.

8.  Monitoring open-ended contract and fixed-term contract end dates

Department Administrators with access to MyHR OBIEE Reports should run the “End of Contract Funding Reminder Report” on a monthly basis to identify the members of staff who are potentially at risk. 

The report will identify staff who are funded by a grant and the funding is due to expire (projected end date or funding end date) or whose fixed-term contract is due to expire, in at least three to four months’ time.

Departments must make a timely and appropriate decision about whether the fixed-term or open-ended contract should be terminated or extended following the Termination Procedure for Fixed Term Contracts and Redundancies.

9. Dismissal of staff on fixed-term and open-ended contracts

The Termination Procedure for Fixed Term Contracts and Redundancies should be referred to. 

10. Extending fixed-term contracts (less than nine months' continuous employment).

Fixed-term contracts can be extended at any time prior to the end date, but will not normally be expected to exceed nine months unless this is a continuation of cover for specific staff leave such as maternity leave or sickness absence.

Any extension to a fixed-term contract that exceeds nine months' continuous employment will bring about the requirement to follow all stages of the Termination Procedure prior to the end date of the contract.

11. Extending open-ended contracts with grant/project end dates

Departments can request an extension to the original end date of up to three months as part of the Termination Procedure for Fixed Term Contracts and Redundancies. This will be deemed to be an extension of the notice period, as distinct from an extension to the contract. This may be decided at the consultation meeting or at a later stage before the original end date is reached.

Requests to extend the end date as part of the notice period can be made using the Leavers Notification in MyHR.

Formal extensions of open-ended contracts must be for a minimum period of three months or more. The extension will establish a new end date and a requirement to repeat the Termination Procedure for Fixed Term Contracts and Redundancies prior to the contract ending. Requests can be submitted at any time but will usually arise as a result of a consultation meeting with the employee.

Requests to change open-ended contract end dates must be made using MyHR Department Transactions. 

12. Further information and enquiries

If you have any queries contact HR Services.