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This report was first published in July 2018 by the Universities and Colleges Employers Association (UCEA). Registered and operational address: Universities and Colleges Employers Association Woburn House 20 Tavistock Square London WC1H 9HU Tel: 020 7383 2444 Fax: 020 7383 2666 Email: enquiries@ucea.ac.uk Web: www.ucea.ac.uk © All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic or mechanical, including photocopying, recording or otherwise, without prior permission of UCEA.

Contents

Foreword ................................................................................................................................. 1

Summary ................................................................................................................................. 2

1 Background to the report................................................................................................ 5

2 Case study approach ........................................................................................................ 6

3 A changing landscape ...................................................................................................... 8

4 Contractual arrangements in higher education ........................................................... 14

5 Findings from variable hours case studies .................................................................... 18

6 Employment and support for staff on fixed-term contracts delivering teaching ...... 29

7 A Framework of considerations for academic managers ............................................ 39

8 Conclusion ...................................................................................................................... 43

9 References ...................................................................................................................... 44

1

Foreword

This report provides the higher education sector with a valuable resource that will assist with improving the engagement and management of staff on variable hours contracts and the support of individuals delivering teaching on a fixed-term basis. From my various perspectives as an academic, a former Dean of faculty, and a Chair of Court, I see great value in the themes, considerations and examples of practice highlighted in this report and the accompanying case studies.

Higher education institutions (HEIs) are complex organisations that produce research, improve knowledge and skills, spur innovation and improve society but they are very different one from another. Their outcomes are delivered by diverse workforces that cover a whole spectrum of occupational groups. This may include estates staff who manage large campuses, technicians that maintain and operate state of the art equipment and world-leading academic staff. This complexity is mirrored in the arrangements that are used to employ the people that determine the success of our sector – from the invigilator who ensures the integrity of examinations on an occasional basis to the lecturer who works all year round, probably across a portfolio of research, teaching, knowledge exchange and management.

While the need for a range of contractual arrangements has been a feature of UK higher education for many years, employment practices related to non-standard contracts have come under scrutiny in recent years as they have in other parts of the economy. Many higher education institutions have taken the opportunity in recent years to review their approaches to staff on casual and hourly-paid arrangements and to make changes where necessary. The case studies included as part of this report show that in many cases these reviews have been wide-ranging in nature.

This report also seeks to provide some insights into the ways that HEIs can provide support for staff delivering teaching that are employed on a fixed-term or casual basis and offers a framework of considerations for the managers of these staff. This group of staff has grown in the sector and all HEIs will be looking to ensure that these appointments either improve or maintain the student experience.

Above all this report shines a light on the importance of taking an active rather than reactive approach to workforce planning. HEIs, particularly in England, are now operating in a much more variable and competitive environment and the stability of centrally determined grant funding for teaching demands new approaches to workforce planning.

It is my hope that this report can provide an impetus for those HEIs looking to improve their practice and maintain the agility they need while balancing this with the needs of their staff.

Dr Frances Dow CBE Chair of University Court, Queen Margaret University and Chair of the working group

2

Summary

The 2016-17 higher education (HE) pay settlement agreed at New JNCHES1 committed both parties to establish a working group that would explore practice in a sample of higher education institutions (HEIs) in their use of variable hours contractual arrangements and produce a report in relation to the HEI practice in supporting individuals engaged on fixed-term contracts delivering teaching. This work has been taken forward by UCEA with the support of a steering group comprised of employer representatives from the HE HR community. The group was chaired by Frances Dow, Chair of University Court at Queen Margaret University. This project follows previous joint working groups involving the HE trade unions that reviewed the use of hourly-paid and casual staff in the sector and the data collected on these individuals.

Like many employers in the UK, HEIs have a need for a degree of flexibility in their academic and professional service workforces. HE has also experienced a range of changes since the 2008-09 recession that have had an impact on HEIs in all four nations of the UK. As HEIs have looked to improve their agility in this context, HE trade unions have raised concerns about the effect of workforce flexibility on employees. It has therefore been important for both sides to engage in discussions in this area. To this end, UCEA commissioned a series of eight case studies as well as in-depth interviews with a small number of staff on variable hours contracts. While there are commonalities between the two areas of work these were investigated and analysed separately.

Variable hours contracts in higher education

Variable hours contracts are defined in this report as contracts where an individual is employed for a specified number of minimum hours, above which hours may vary. In seeking case studies and investigating the five HEIs that were eventually chosen, it is clear that this definition is interpreted and contractually structured in different ways. Indeed, the ‘variable hours’ approach is not necessarily the sole or best approach to managing variations in demand and as such we have noted other arrangements in place. The main findings in terms of improving practice in the sector are:

• Consider the use of contracts that offer a minimum guarantee of hours – Reviewing approaches to the employment of variable hours staff to optimise the number of employments with a guaranteed minimum number of hours.

• Prioritise workforce planning – Managers will want to plan ahead as far as they can if they are to maximise the effective deployment of those already employed and minimise the number of appointments where variability is required.

• Engage, involve and support managers – Departmental and faculty level managers typically play a major role in the planning of staff and require support

1 Joint Negotiating Committee for Higher Education Staff.

3

through the information, policies and tools to enable them to make good workforce decisions.

• Maintain consistency in reward – Fairness and equity in reward is important and it should be clear how the roles and responsibilities of staff working variable hours relate to or differ from those of substantive staff.

• Provide appropriate and accessible induction – For employees working limited hours it may be useful to consider how different methods of delivery, particularly online resources, can assist those employees that may have difficulty in accessing timetabled programmes.

• Support career development – In line with the JNCHES principles, these staff should have appropriate opportunities for training, development and careers advice. Some of these employees may have particular career aspirations.

• Balance institutional needs with employee preferences – Focusing attention on staff on variable and casual arrangements and implementing new approaches can bring significant benefits for both employee and employer.

• Understand employee challenges – Case study HEIs have found it helpful to engage in dialogue with staff and their representatives to understand better the challenges that arise from non-standard work.

• Monitor and regularly review – The rights and responsibilities of employees and employers mean that HEIs need to have mechanisms to regularly review and report on employees working in variable hours and other hourly-paid arrangements.

• Evaluate changes – It is important to understand how changes made to employment practices affect retention, student satisfaction and employee engagement.

Employment and support for staff on fixed-term contracts delivering teaching

A fixed-term employment lifecycle

The steering group used a lifecycle approach to develop a ‘framework of considerations’, which is a non-prescriptive set of considerations that managers can examine at various stages in the ‘cycle’ of employment that begins with workforce planning and concludes with the end of the fixed-term contract. The framework also considers that both the student experience and the employee experience are fundamental and underpin many of these considerations. Under each heading the framework, available in full on page 39, uses prompts or questions on matters that may need to be considered by managers at various levels. The cycle can be summarised as:

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• Workforce planning – Anticipation of workforce needs should begin at the earliest possible stage in the planning cycle.

• Recruitment – Once workforce needs are identified, managers should decide in collaboration with HR colleagues which types of contract are most appropriate to fulfil the needs and where the individuals are who may be considered for the available work.

• Establishing terms and conditions – The main terms and conditions for staff will be the same or similar to those on open-ended contracts but there are likely to be specific considerations for a fixed term engagement such as rates of pay and integration into the department.

• Induction should provide new joiners with an understanding of the main policies and procedures that are relevant to them as well as standard health and safety and data protection training. Departmental inductions should complement this generic induction activity and particularly ensure that teaching-related standards and expectations are communicated as well as the developmental activities run by the university.

• Training and development – Training and development approaches differ at each university but should be accessible by all staff at a level commensurate with their role and contribution.

• Review – Managers should, in collaboration with HR, periodically review the contractual status of staff on fixed-term contracts to consider whether or not there is a case for placing these individuals on open-ended contracts.

• End – Institutional practice will vary in terms of how individuals are managed and guided when their fixed-term contract concludes and there will also be legal considerations at two years (eligibility for redundancy) and four years (eligibility for open-ended contract). Typical in the processes with be: consideration given to any redeployment opportunities within the HEI and individuals made aware of any schemes in place.

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1 Background to the report

The 2016-17 HE pay settlement agreed at New JNCHES2 committed both parties to establish a working group that would explore practice in a sample of HEIs in their use of variable hours contractual arrangements and produce a report in relation to the HEI practice in supporting individuals engaged on fixed-term contracts delivering teaching. It was envisaged that the latter piece of work would include a ‘checklist of actions and considerations’ to assist managers at departmental or school level in planning and decision-making.

The initial joint working group was formed with employer representatives drawn from a range of UCEA member HEIs that take part in New JNCHES as well as representatives from UCU, UNISON, Unite and GMB. The first meeting was held in March 2017 to discuss the scope, focus and terms of reference for the work. The approach to the work was then agreed in May 2017 and UCEA members were invited to take part as case studies in the research. Alongside the identification of case studies, UCEA put out the research component of the work to tender and the group agreed subsequently to appoint Incomes Data Research (IDR) to produce the case studies. The employers and trade unions met for a final meeting in July 2017 at which point there was disagreement regarding the selection of case studies but a set of actions was agreed to take the work forward. Following the meeting the trade unions notified UCEA that they were withdrawing from the joint work.

Due to the importance of this area as a common issue of contention at national level, UCEA agreed with its employer representatives to continue the research and publish the work without the support of the trade unions. The employer representatives remained involved in the project for its duration and acted as a steering group.

Steering group membership

Dr Frances Dow (Chair) Queen Margaret University Hazel Pudney Royal College of Music

Heather Hinkin Aberystwyth University Helen Fairfoul UCEA Kerry Dewar Edinburgh Napier University Laurence Hopkins UCEA Louise Edwards-Holland University of Salford Michelle Leek Cumbria University Peter Mitchell (formerly) London School of Hygiene & Tropical Medicine Ruth Davies University of Gloucestershire

Although this report is therefore not endorsed by the trade unions, the approach and methodology remained unchanged from those jointly agreed by the original joint

2 Joint Negotiating Committee for Higher Education Staff.

6

working group. However, given the absence of employee representatives’ input, an additional set of interviews with staff on variable hours contracts was commissioned in order to provide a sample of qualitative employee perspectives that would help to enable a better balance of perspectives in the report.

2 Case study approach

The case study approach enables the collection of qualitative and quantitative information in a systematic way that improves our understanding of specific phenomena within a distinct context. Our case studies were snapshots of HEIs at a single point in time and the approach was to focus on descriptive detail. In identifying ‘good practice’ it was acknowledged that this is typically contingent on the organisational context and therefore we refrain from identifying ‘best practice’ in any given area. The use of an independent research company helped to minimise the impact of the steering group’s existing views on the case studies themselves which are appended as produced by IDR with only minor editing for consistency.

The case study approach is limited in terms of how much can be generalised about the HE sector as a whole. Given the resource-intensive nature of case study research, the sample size is much lower than would be achieved through other approaches such as surveys or the analysis of existing datasets. However, it was the ambition of the steering group that these case studies would offer insights into practice within a recognisable context and therefore offer value to the wider sector.

In all, eight case studies were selected by the group and produced by IDR across the two areas of investigation. Each case study write up was anonymised as the focus was on the practice rather than the institution itself. The approach to the case studies was broadly similar but the objectives and research questions differed in each case. Table 1 outlines the approach for the five variable hours case studies, which were to focus on the practice of managing variable hours contracts and investigate if dialogue between employers and trade unions had facilitated change. The research questions were developed into detailed topic guides for discussion with HR representatives, trade union representatives and employees on variable hours contracts. Table 2 outlines the approach for the three fixed-term contract case studies which focused on the support for staff on fixed-term contracts delivering teaching.

In addition to the case studies, the group commissioned a small number of in-depth interviews with staff on variable hours contracts. These interviews were not commissioned to obtain a representative sample of views but were seen as a way of collecting rich qualitative information that would offer alternative perspectives and first-hand employee viewpoints. The information from these interviews proved helpful in strengthening points around employee/employer balance but were taken to be illustrative rather than representative.

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Table 1: Variable hours case study approach

Objectives To explore and examine the practice of managing variable hours contracts of staff in HE.

To identify good practice in the management of these staff to recommend to the sector in terms of balancing the needs of employers and employees.

To improve understanding of the role that dialogue between employers and trade unions can play in facilitating change.

Research questions

What is the rationale for using staff on variable hours contracts in HEIs, across both academic and professional services roles?

How has dialogue between trade unions and employers facilitated improvements in the management of staff on variable hour contracts?

How can the management of staff on variable hours contracts best balance the needs of both employer and employee?

Criteria for case study inclusion

Party to the negotiations that take place in New JNCHES (required).

Uses variable hours contracts (as defined in the JNCHES Hourly paid and casual work report 2015) for managing workforce flexibility (required).

Does not use zero hour contracts, or does so only minimally (required).

Has made recent changes to practice in dialogue with recognised trade unions (desirable).

Case study selection

The aim was to identify five case studies, with a focus on the likely quality and relevance of those case studies rather than the quantity. Ideally each case study would cover both academic and professional services staff; however exceptions would be made for case studies that meet desirable criteria (subject to ensuring the full range of staff is covered by most of the research).

Within this sample we considered the following variables in deciding on the case study selections:

• HEI type – pre-92, post-92, specialist institution.

• Region/nation.

• Size (by staff).

Table 2: Fixed-term contracts case study approach

Objectives To explore and understand the support provided by HE employers to individuals engaged on fixed-term arrangements delivering teaching.

To identify good practice in the management of these staff to recommend to the sector in terms of staff and career development and improving the quality of teaching.

To develop a framework of actions and considerations that will assist managers at departmental/school level in engaging and managing these staff and supporting their career progression.

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Research questions

What types of staff on fixed-term contracts are involved in the delivery of teaching and in what situations are they employed?

What issues shape the choice to engage and employ staff on fixed-term contracts?

What are the typical features of these contracts and in what ways do they differ from contracts used for other staff who deliver teaching?

What types of support are offered to these staff, e.g. to improve their teaching skills or assist in the development of a career in HE?

What practices are effective in engaging, managing and supporting these staff?

Criteria for case study inclusion

The criteria for inclusion in the sample is as follows:

• Party to the negotiations that take place in New JNCHES (required) • Employs staff delivering teaching on fixed-term contracts (required) • Is perceived as offering good support to this group of staff (desirable)

Case study selection

The aim was to identify three case studies, with a focus on the likely quality and relevance of those case studies rather than the quantity. The primary focus of the research was on academic staff; however, a broad definition to ‘teaching’ was applied which could include staff such as technicians where they undertake activities in relation to student learning. Within this sample we considered the mix of HEI types: pre-92, post-92, specialist institution.

2.1 Steering group reflection and deliberation

The steering group reviewed and discussed the case studies in detail and through discussion identified the main themes and areas of practice that could be highlighted. These discussions were also informed by group member experience and other documents that had been circulated as part of the work of the group. The final report was then reviewed by the group to ensure consistency between the steering group’s discussions and the final output from the work.

3 A changing landscape

UK HEIs employ over half a million people covering a wide range of jobs that deliver and support world leading teaching and research. The staff profile of each HEI is distinct, reflecting its subject mix, research intensity, size and geographic location. Other resourcing choices such as outsourcing, subsidiary or group company structures and the use of employment agencies also create distinctive features.

The HE sector is not unusual in its need for a measure of flexibility in the workforce to meet a wide range of needs. On the academic side, this could be to respond to the changing teaching demands as students enrol on programmes or make other choices, managing peak activities such as exam invigilation, or to provide specialist subject input. For support staff this could include highly seasonal conference activities or the desire to

9

employ students as student ambassadors. There is also a practical need to provide cover for absences – from planned sabbaticals to short-term sickness - or for occasional peak activities such as ‘clearing’. Students, including PhD students, also value the opportunity for work experience and additional income. Some of this may be offered through hourly-paid jobs, which can give students the flexibility to fit work around their studies.

3.1 Shifts in the UK labour market

The employment of hourly-paid and casual staff has been an area of concern both in HE and the wider economy in recent years. ‘Zero hours contracts’ came to widespread attention in the summer of 2013 following a sharp rise in the number of people employed on such arrangements. The term became ubiquitous in the media and short hand for poor employment standards, although it is typically the management practices that are associated with such contracts rather than the contracts per se. The evidence from ONS suggests that the contracts are:

• Disproportionately found among the 16-24 age group (8.4% of employees in that age group) and most widely used in accommodation and food sector (22.6% of employees) and health and social work (19% of employees).

• Typically found in ‘elementary occupations’ (31.5% of zero hour contracts) or ‘caring, leisure and service occupations’ (20.2%).

• Providing on average 25 hours of work per week.

Looking at the job preferences of these individuals, ONS data show that only 15.7% want a new or additional job and 59.1% do not want additional hours in their current job. Following criticism of a comment that its employees ‘loved the flexibility’ of zero hours contracts, McDonalds offered its 115,000 UK employees the opportunity to switch from zero hour contracts to fixed hours – 4 out of 5 chose to remain on zero hours contracts (The Independent, 2017). The profile and preferences of these employees therefore do not always align with the popular perception. Zero hours contracts were defined in law in the Small Business, Enterprise and Employment Act 2015, which also banned exclusivity terms in zero hours contracts and introduced powers to the Secretary of State to make further provisions.3

Zero hours contracts allow flexibility for both employers and individuals. However, they should not be considered as an alternative to proper business planning and should not be used as a permanent arrangement if it is not justifiable. Guidance on zero hours contracts, Department for Business, Energy and Industry, 2015.

3 Small Business, Enterprise and Employment Act 2015, 2015 c. 26, Part 11. www.legislation.gov.uk/ukpga/2015/26/part/11/crossheading/exclusivity-in-zero-hours-contracts/enacted

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Zero hour contracts are just one form of flexible employment arrangement in the UK labour market. As Figure 1 shows, flexi-time is the most common arrangement followed by annualised hours and term-time working. The range and use of different employment arrangements has changed over time in response to both legislative changes and changes in society.4 The abolition of the default retirement age and longer healthy lives has led to increases in the proportion of people working past age 65 but with a different, often more flexible, working profile. The rise in labour market participation of women has also had a significant impact on the profile of the working population and the types of contracts used, as has higher rates of enrolment in further and higher education. In addition to these changes, we have seen greater awareness of work-life balance, new parental leave arrangements and the introduction of rights to flexible working for all employees. We have also witnessed a rise in the ‘gig economy’ and other part-time self-employment with high profile employment tribunal cases seeking to define whether or not some of these individuals are actually employees.5 All these shifts create greater complexity in the employment relationship with implications for both parties.

Figure 1: Types of flexible working, all UK employees in all sectors, Oct-Dec 2017

Source: ONS. Employees can be in more than one category.

4 According to ONS data, the employment rate of the 65 plus age group increased from 5% in 2000 to 10% in 2017. Although the abolition of the default retirement age, extension of the state pension age and 2008-09 recession have had an impact, the rate of increase over this 17 year period is fairly consistent. 5 For example, see Aslam, Farrar, Dawson and others v. Uber, UKEAT/0056/17/DA.

0.3%

0.4%

0.7%

2.0%

3.3%

4.9%

5.8%

13.2%

0.0% 2.0% 4.0% 6.0% 8.0% 10.0% 12.0% 14.0%

9-day fortnight

Jobsharing

4.5-day week

On-call working

Zero-hours contract

Term time working

Annualised hours contract

Flexi-time

11

3.2 Thinking conceptually about workforce flexibility

Organisational flexibility and agility is an important area of research and there have been several attempts to create a theoretical concept that explains workforce flexibility within firms. The seminal and still heavily cited work on workforce flexibility is Atkinson’s (1984) ‘flexible firm’ model which identified a ‘core and periphery’ approach in organisations that were responding to market change, globalisation and technological change – see Figure 2. Atkinson differentiated between ‘functional flexibility’, which enabled smooth redeployment of staff between different activities and tasks (requiring multi-skilling and enabling career transitions), and numerical flexibility, which is the extent to which headcount can be adjusted up or down in response to changes in service demand (achieved through outsourcing, subcontracting or non-standard employment contracts). The other flexibility identified by Atkinson in this context is financial flexibility – this is the extent to which pay and other employment costs can respond to demand. In addition to adjustments to the workforce size, this could be implemented through variable pay arrangements or changes to pay relativities between higher and lower skilled employees.

While Atkinson’s model is not proposed as a normative model for HEIs to follow, it does provide a useful way in which to conceptualise some of the changes that may have taken place in response to changes in each institution’s operating environment and offer a framework for thinking about how institutions currently operate, whether by design or otherwise.

Figure 2: Atkinson's Flexible Firm (1984)

Source: Atkinson, 1984.

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3.3 Variability in work in HE

According to a report by the academic trade union UCU there are three broad categories of casual staff in the HE sector (UCU, 2016):

• PhD students, that teach during their studies.

• Professionals substantively employed elsewhere.

• Staff employed on limited-term or casual contracts that are dependent on this employment for their living.

While the UCU categorisation covers many individuals supporting the delivery of teaching and learning, it offers an incomplete picture of such employment in the sector. The following individuals do not fall into these three broad categories:

• Students working as student ambassadors or at open day events.

• Students and individuals working in catering and hospitality for one-off events.

• Invigilators.

• Highly skilled consultants or contractors fulfilling time-limited project work such as web design, project management, or service development projects.

• Postdoctoral researchers undertaking teaching and learning activities.

• Individuals in portfolio careers, particularly in the creative and performing arts, combining some teaching with their professional practice.

There is also a need to contemplate the variety of circumstances that can lead to a temporary employment, including:

• Temporary cover for short-term absences, such as sickness.

• Short-term and out-of-semester academic input such as summer school teaching or similar.

• Tuition (such as in languages or music) where the level of demand for a course or instrumental study cannot be predicted ahead of student enrolment.

• Cover for parental leave.

• Cover for sabbaticals and ‘buyouts’ of teaching.

Although the diversity of individual contributions and variable needs of provision account for some of the contractual heterogeneity in the sector, there was also a significant shift in the funding of HEIs in England in 2012 when undergraduate tuition fee grants were largely replaced by student tuition fees to a cap of £9,000 (now £9,250). As illustrated in Figure 3, the proportion of total income accounted for by tuition fees has grown from 36% to 52% since 2011-12 with funding body grants falling to just 12% of income.

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Figure 3: Changes in HEI income sources from 2011-12 to 2016-17, England

Alongside this change in funding, student number controls were lifted introducing greater competition into the undergraduate student market. While the further shift towards a student marketplace was designed to improve quality and student experience, it has significantly altered year-to-year income variability, increased levels of institutional uncertainty around academic provision and made financial forecasting more difficult. This year-to-year variability is highlighted in Figure 4 which shows the distribution of ‘winners and losers’ across HEIs in England. Our working group emphasised that this variability has an important impact on workforce planning and that previous approaches, suitable to a more stable environment, need to be revisited. It also means that HEIs need to be more agile in responding to year-to-year change. These challenges are also not limited to England, with institutions in Northern Ireland, Scotland and Wales facing different but nonetheless challenging funding environments. For example, in Scotland, grant funding has been falling in real-terms and funding settlements are agreed on a year-by-year basis limiting the extent to which Scottish HEIs can plan from year to year.

As HEIs have looked to improve their agility in this context, the UCU with the support of other HE trade unions has raised concerns about the effect of workforce flexibility on employees through ongoing campaigning on this issue under the banner of ‘casualisation’. Although UCU has been unable to provide data that support its contention that use of casual staff has increased – indeed the available data show the opposite – it has been important for both sides to engage in discussions in this area. The level of vigour that underpins the UCU campaign may be in part informed by fears that UK HE contractual arrangements could start to mirror the way that academic employment has shifted away from tenured employment in overseas systems such as in Australia, Canada, Italy and the US. Employment trends in these countries do show a significant shift away from stable employment towards casual teaching appointments.

11.9%

28.7%

52.2%

36.0%

16.2%

15.7%

19.7%

19.6%

2016-17

2011-12

Total income Funding body grantsTuition fees (and education contracts)Research grants and contracts

Source: HESA

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Figure 4: Change in tuition fee income, by HEI, England only, 2015-16 to 2016-17

4 Contractual arrangements in higher education

4.1 Modes of employment

The distinctiveness and diversity of HEIs is reflected in the diversity of contractual arrangements found in use within the sector. 5.1.

Table 3 attempts to map the possible modes of employment of directly-employed staff in HEIs. This differentiates between the full-time and part-time nature of hours worked, the way in which pay is structured, the specification of hours (fixed or variable) and whether the contract is open-ended6, fixed-term or casual. The green boxes indicate the possible combinations of these contracts. For part-time hourly paid staff, the variation in hours could be from zero or variable from a contractual minimum – this distinction is important to this report as is the way in which these hours are set and is discussed further in section 5.1.

Table 3: Modes of employment

Mode Pay Hours Open-ended

Fixed-term

Casual

Full-time Salaried Fixed Part-time Salaried (pro-

rata) Fixed

Part-time Hourly-paid Variable Part-time Fixed sum Not specified 6 Open-ended contracts are sometimes referred to as ‘permanent’ contracts. This report uses the term open-ended for all such contracts.

-15%

-10%

-5%

0%

5%

10%

15%

% d

iffe

ren

ce f

rom

201

5-16

to

201

6-17

HEIs Based on information from 131 HEIs Source: HESA

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4.2 Contracts and the HESA staff record

The HE sector is fortunate to have a dedicated statistics agency which collects detailed information on students, staff, HEI finances and more. The Higher Education Statistics Agency (HESA) is a statutory body and HEIs are required to submit data to it as part of their conditions of registration (Office for Students, 2018). The HESA staff record is a census record of nearly all directly employed staff and is collated and published annually. The staff record gathers a range of information relating to individuals and employment contracts in the sector on both a headcount and full-time equivalent basis. These data enable a detailed tracking of the composition of the HE workforce in terms of their contractual arrangements and changes over time. For example, as Figure 5 shows, the number of academic staff on open-ended (‘permanent’) contracts has increased by 18.5% since 2011-12 while fixed-term employment has grown by 6.3%. During this period the use of atypical (casual) staff has fallen both in terms of headcount (-12.3%) and in terms of the total work undertaken (-3.9%). In terms of the mode of employment, net full-time employment has increased at more than twice the rate of part-time employment.

Figure 5: Change in net HE employment by contract type, academic staff, 2011-12 to 2016-17

4.3 Understanding the use of hourly-paid staff

While the staff record is a highly useful dataset for understanding the HE workforce, the contractual categories leave questions regarding hourly-paid staff unanswerable because these staff can appear either as part-time staff on open-ended and fixed-term contracts or as atypical staff. As Table 4 shows, we cannot therefore offer a set of workforce figures that matches the modes of employment in Table 3.

7.8%

17.4%

-12.3%

-3.9%

6.3%

18.5%

Part-time

Full-time

Atypical (headcount)

Atypical (FTE)

Fixed-term

Open-ended

Source: HESA

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Table 4: The HE workforce by mode of employment, headcount, 2016-17

Mode Pay Open-ended

Fixed-term

Casual

Full-time Salaried 231,085 52,975 Part-time

Salaried (pro-rata)

88,236 47,415 Part-time

Hourly-paid

71,960 Part-time

Fixed sum

Total 319,319 100,389 71,960 Source: HESA. Open-ended and fixed-term contracts based on census date of 1 December while atypical (casual) counts cover the academic year – HESA advises against summing these together.

This problem was addressed by a New JNCHES Working Group in 2016. UCEA, representing HE employers, and the five HE trade unions worked together to propose changes to HESA’s staff collection that would enable a better understanding of the employment of hourly-paid and casual staff in the sector. These proposals resulted in the introduction of three new fields in the HESA staff record:7

• A mandatory marker for hourly-paid staff to indicate whether staff are salaried, hourly-paid or paid on other arrangements.

• A zero hour contract marker to indicate whether or not an employee is on a zero hour contract as defined by the Acas definition of a zero hour contract.

• An apprenticeship marker to identify apprentices and their level of study.

These new fields will be available in the 2017-18 staff record and will ensure that the contractual information contained in HESA will strengthen the available evidence on the employment of hourly-paid and casual staff in the sector.

4.4 Previous joint work on hourly-paid and casual contracts

A New JNCHES working group reviewed the use of hourly-paid and casual staff in the sector in 2014-15 through a series of five in-depth case studies from a range of HEIs (New JNCHES, 2015). These case studies were explorative in nature and were not focused on specific practices; rather they were used to investigate a range of approaches to employing staff on these contracts. Based on observations from these case studies, expertise from within the group of trade union and employer representatives, and vigorous discussion, the group made the following recommendations in its final report:

• Institutions should still be mindful of the potential vulnerability for the individuals working under hourly-paid and casual arrangements.

7 www.hesa.ac.uk/innovation/records/reviews/staff-2017-18-changes

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• While such contractual arrangements are intended for use where there is no mutuality of obligation, it is recommended that institutions consider arrangements and safeguards they can put in place to reduce the degree of uncertainty that exists with such employment.

• Institutions should consider the importance of appropriate induction and opportunities for development and training in the interests of both organisational and individual development as well as the continuous improvement of the student experience.

• While the need for swift deployment of temporary staffing often necessitates decision-making at school or department level, there is an important role for central HR functions in monitoring effectiveness of practice across the institution.

• HEIs should consider reviewing their employment practice for casual and hourly-paid staff against the 2002 JNCHES guidance and principles (see extract in the box below).

The group also pointed to the benefits of involving trade unions in developing clear policies on the employment of casual staff groups.

Principles underlying good practice in fixed-term and casual employment

Fair and flexible employment arrangements should reflect the following principles:

• equality of opportunity is reflected in all aspects of employment

• indefinite contracts are the general form of employment relationship between employers and employees

• where the use of fixed-term and casual contracts is justifiable by objective reasons staff on these contracts should be given:

(i) the same opportunity as other staff to use services to assist better performance, such as staff development and training, appraisal, careers advice for research staff

(ii) similar terms and conditions of employment to those in comparable jobs with indefinite employment in the institution unless the difference can be justified, in accordance with the legislation, for necessary and appropriate objective reasons

(iii) information on, and the opportunity to apply for, more secure positions

(iv) a process for regular review to consider, as appropriate, indefinite employment on full-time, fractional or hourly-paid contracts.

Source: JNCHES Fixed-Term and Casual Employment Guidance for Higher Education Institutions, 2002.

The group was unable to reach a shared view on the issue of the use of zero hours contracts and other casual contracts. The report noted that employers believed that

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these contracts permit necessary flexibility and that zero hours contracts can be used fairly. It however balanced this with the trade unions’ view that such contracts enshrine a serious imbalance of power and create uncertainty and vulnerability for staff. The trade unions remained of the view that flexibility can be achieved through greater use of workforce planning and variable hours contracts with guaranteed minimum hours.

The work that has gone into this report is intended to build on this previous work by specifically investigating some practices in HE institutions in the use of variable hours contracts and the approaches to workforce planning. As explained in section 1, the work was started and initially steered by a joint working group with representatives from the five HE trade unions and employer representatives. The trade unions subsequently withdrew from the project.

5 Findings from variable hours case studies

5.1 Defining variable hours contracts

The joint working group set out to identify case studies where HEIs were using ‘variable hours’ contracts for the employment of academic and professional services staff. A variable hour contract has no definition in law but had been defined within a previous New JNCHES report as a contract where a set number of hours are guaranteed but that additional hours may be paid beyond the agreed contractual hours.

Variable hours contracts A variable hours contract is a contract of employment under which the employer undertakes to provide a minimum amount of work within a fixed-term contract or open-ended contract, with the expectation of additional hours. A variable hours contract therefore has an element of both some certainty (the guaranteed minimum hours) with an additional component that does not have a set duration or amount of work determined at the outset. New JNCHES Hourly-paid and casual working group – Final report, 2015

While the definition offered a focus for the working group, contractual arrangements in the sector did not typically use this term as a label and varied hours in different ways. In some cases HEIs decided to move away from zero hours contracts to new contractual arrangements that put in place fixed-term, fixed hours/fractional contracts (University B). As is articulated in the University B case study, the purpose was to identify a minimum set of hours and then pay any additional hours at an hourly rate. In another case study, hours and working patterns are agreed termly or yearly rather than ‘as and when’ the employer requires the individual. There are also mechanisms in some of the case study HEIs to move these individuals, when requested, on to fixed-hours arrangements – similar to the arrangement proposed as part of the Taylor Review (Taylor, 2017).

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The case studies also show that the process of moving individuals to new contractual arrangements that seek to offer a better balance between employee and employer needs is complex and involved and typically has to be done on a case-by-case basis. The changes introduced have also been situated within a desire to improve workforce planning and take a more strategic approach to meeting variable demand in a more competitive and uncertain sector. This kind of approach involves managers actively considering what is needed, together with senior teams committing resources and support and HR offering the tools, policies and support required by managers. Indeed, the ‘variable hours’ approach is not necessarily the sole or best approach to managing variations in demand and as such we have noted other arrangements in place.

Table 5: Variable hours arrangements in the case studies

University Variable hours arrangement A Hours for teaching professors are set at the beginning of the academic

year in accordance with student preferences. High degree of flexibility in scheduled hours to accommodate employees with portfolio careers. Guaranteed hours clause.

B For Graduate Teaching Assistants there is a commitment to a minimum number of hours on a fixed-hours contract. Additional hours paid where needed but no contractual obligation to work them.

C Fixed-term contract with guaranteed hours contract with the ability to flex hours upwards. Maximum limit of 300 hours per semester.

D Hours for associate lecturers set annually following formal planning process. No minimum or guaranteed hours but working hours capped at 420 a year. Agreed aspiration with UCU to increase use of full-time/fractional contracts and decrease reliance on hourly-paid staff. Subject to certain criteria, associate lecturers can express an interest in moving to a fractional or full-time contract.

E Joint agreement with trade union which put in place new planning process to limit the number of hourly-paid staff and maximise the work undertaken by staff on full-time or fractional fixed-term and open-ended contracts. Guaranteed hours for tutors in education department. Ability to flex upwards.

A review of the approaches to the employment of variable hours staff that looks to optimise the number of employments where there is a guaranteed minimum of hours can:

• provide welcome stability to some employees

• improve engagement with the HEI

• help identify the employment situations where it is not possible to do so and improve understanding and engagement with local trade union representatives.

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5.2 Prioritising workforce planning

It is clear from the case studies that non-standard contractual arrangements need regular review but that this requires significant time investment. Contractual arrangements are often legacies of the past and changes in legislation, the economy and society may require adjustments to existing practice. Institutional strategies and course offerings are important factors in workforce planning. Indeed, the changing funding environment has made workforce planning more complex and therefore new approaches are required. For example, at University C the previous practice was ‘ad hoc’ with ‘insufficient analysis of requirements’. The institution wanted to improve talent planning and move from a reactive approach to planned recruitment. In University D, the joint agreement with trade unions also focused on better processes and exploring alternatives before recruiting associate lecturers. It was recognised that the ‘quick fix’ arrangement can be less burdensome in the short-term but is not necessarily suitable or sustainable in the long-term.

Improving workforce planning also gives greater clarity to employer and employee in terms of the arrangements that are being entered into due to process improvements. In some cases there were ‘legacy’ arrangements found where contractual arrangements were not appropriate to the work being undertaken. In University E, joint work put in place a framework that focused on meeting institutional requirements in a fair and transparent way. It also improved the specification of work required and allocation of hours. University B’s Extended Workforce Policy commits to providing ‘as much forward notice and commitment of work as possible’ and where practical offering ‘a guaranteed minimum amount of work’. Managers at University B are ‘encouraged as much as possible to pin down a regular working pattern or average hours pattern’.

The working group felt that the increasing competition in HE both between HEIs and from alternative providers will continue to manifest itself in greater year-to-year variability than was historically the case. This means that HEIs need ways to remain agile and flexible but do so in a way that is underpinned by more considered workforce planning.

Prioritise non-standard contractual arrangements and workforce planning - A range of factors, including changing legislation and employee preferences, make it necessary for HEIs to periodically review their approach to employing staff on non-standard contracts. The greater year-to-year variability being experienced by HEIs places a new importance on finding ways to remain agile and flexible in workforce deployment but to do so in a way that is underpinned by more considered workforce planning.

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5.3 Engaging, involving and supporting managers

In each of the variable hour case studies, the role of departmental and functional managers was highlighted because this is where changes to work needs are typically identified. The approach in some cases has been to improve engagement with these managers and enable them to make better workforce decisions – this includes working with managers to identify regular working patterns and using planning tools to enable managers to look ahead. For example, at University B guidelines for managers help managers think through what they need to consider when thinking about the regularity and predictability of work. University C has engaged in a workforce planning process with managers for the past two years to better understand workforce requirements and to encourage schools to manage their workforces more actively. At University E a framework agreement on employing hourly-paid academics resulted in a set of guidelines for managers and an online workflow process. Engagement is not just important prior to making resourcing decisions. At University D, the HR team will speak to managers where associate lecturers are breaching the established working hour limit and discuss whether the individual is on the right form of contract.

One interviewee noted that good managers are often good at maintaining headcounts and resources within departments but that others are less successful as this.

Engage, involve and support managers – Departmental and faculty managers typically play a major role in the planning of staff and require support through the information, policies and tools to enable them to make good workforce decisions. Such support is vital to prevent a reactive and inconsistent approach.

5.4 Maintaining consistency in reward

Another common theme that emerges from the case studies is the importance of getting the ‘nuts and bolts’ of contracts right, particularly when it comes to pay. This is an area where transparency is important and where discussions with trade unions are reported to have contributed to a greater feeling of fairness. However, as with many of the themes identified, there is diversity within the case studies as summarised in Table 6.

Table 6: Pay and benefits for associate lecturers on variable hour arrangements

University Pay arrangements Benefits A Two rates of pay – one for

practical 1-2-1 teaching and another for teaching a class. Pay aligned to top of relevant pay band. Paid over a ten-month period (under review).

Same benefits as salaried employees, including occupational sick pay, maternity pay, pension and access to occupational health services and the employee assistance plan.

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University Pay arrangements Benefits B Focus is on employing staff on

fixed-term or open-ended contracts and therefore would be on fractional or full-time rates. Graduate teaching assistants paid at hourly rate based on grade 6 with multipliers paid where appropriate.

As with pay, staff employed or moved on to fixed-term or open-ended arrangement will receive same terms and conditions of employment.

C Lecturers on guaranteed hours contracts are placed a point below the lowest lecturer grade to acknowledge differing responsibilities.

Staff on new guaranteed hours contracts eligible for same benefits as staff on open-ended contracts.

D Associate lecturers appointed at bottom of lecturer pay scale. Progress annually the same as other staff. Multiplier of 2.5 applied to each hour of teaching to recognise preparation, marking and marking-related administration. Attendance at training, appraisal and induction paid at development rate.

Same terms and conditions as other staff with the same rules for eligibility applied. Holiday based on academic staff entitlement (35 days plus closure days).

E Focus is on employing staff on fixed-term or open-ended contracts and therefore would be on fractional or full-time rates. Hourly-paid academic staff are appointed to the lowest point on the lecturer scale with a range of multipliers applied where applicable.

As with pay, staff employed or moved on to fixed-term or open-ended arrangement will receive same terms and conditions of employment. Hourly-paid staff working fewer than 12 weeks are not eligible for enhanced benefits.

Hourly-paid staff are entitled to the same benefits as other staff except for hourly-paid staff working fewer than 12 weeks in University E. Pay rates are pegged to the HEIs’ grading structure, using national pay spine points which are reviewed and uprated annually.

Maintain consistency in reward – Fairness and equity in reward is important and it should be clear how the roles and responsibilities of staff working variable hours relate to or differ from - substantive staff and how this is reflected in the rates of pay being used. Transparency in any ‘multipliers’ and ‘development’ rates is also important so that all parties are clear about what input is being remunerated and how this is calculated.

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5.5 Providing appropriate and accessible induction

The case study HEIs recognise that a thorough induction process is important in the on-boarding process for all staff including those that will work on a more variable basis. While staff on variable hour arrangements are invited to attend induction events, this format is difficult for staff that are not on campus at regular times. University A said that a twice-yearly half-day induction event does not work that well for its hourly-paid staff and that has led to the development of resources that can be accessed at any time. University D offers an online induction and schedules twice-yearly leadership updates at different points in the week to make it easier for individuals with complex working schedules.

The experiences of interviewees were largely consistent with the policies and comments provided by HR but some offered contrasting views. One interviewee said that they received a comprehensive induction when commencing work as a tutorial assistant with topics covering presentation skills and problem solving. Another described their induction as brief but adequate covering health and safety and data protection among other topics. However, one interviewee said it was difficult joining part way through a semester and that a checklist could help ensure inductions were less ad hoc. Another interviewee described mixed experiences in their induction process with no formal induction as a member of bank staff and separate visits required to different parts of the campus on different days to meet department members and complete employment contract requirements (e.g. passport check). And while the online portal for hourly-paid staff was seen as very helpful, it was felt that more personal contact (not necessarily face-to-face) could help new joiners orientate themselves.

Table 7: Induction arrangements

University Induction arrangements A Hourly-paid professors paid to attend half-day corporate induction. New

induction ‘workbook’ in development. B Standard programme of induction with health and safety training and

any other training required to perform duties. Increased monitoring of uptake.

C Induction is provided as relevant to role – lecturers on guaranteed hours will not receive the same full induction as staff on open-ended contracts. Increased focus on information provided to individuals and clarity of objectives.

D Induction arrangements the same as for other staff and include a welcome breakfast, an online induction from the HR department, and an induction tailored to the department that they are joining. Induction time paid at development rate.

E Standard induction for hourly-paid staff which mirrors that for staff on open-ended contracts. Dedicated web portal for hourly-paid staff with access to induction materials.

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Provide appropriate and accessible induction – Onboarding new joiners helps establish a good employment relationship from the start and is a necessary part of ensuring that new joiners are provided with the information and training necessary and relevant to their position. For employees working limited hours it may be useful to consider how different methods of delivery, particularly online resources, can assist those employees that may have difficulty in accessing timetabled programmes.

5.6 Supporting career development

Appropriate support for career development was a feature in the case studies, with most focusing on the parity between associate lecturers and their equivalents and those on open-ended arrangements. This approach is consistent with the JNCHES principles on the employment of staff on fixed-term and casual contracts which states that these staff should have ‘the same opportunity as other staff to use services to assist better performance, such as staff development, training, appraisal, careers advice for research staff.’ University A invites its hourly-paid professors to all training offered including its ‘lunch and learn’ events and management training. Hourly-paid professors receive an appraisal where working 0.6 FTE or higher but can also take part voluntarily if below this threshold. All have access to professional development with funding on a pro-rata basis. University D reports that, although training sessions are available to associate lecturers, it is often difficult for them to attend when they are working a small number of hours alongside other commitments. However, all associate lecturers are required to take part in its performance and development review process which involves setting objectives and tri-monthly review. University D is also working with UCU on ‘agile career pathways’ for academic staff to improve movement of staff between different strands of work.

The University E case study points to the challenge that in some cases there will be a mismatch between the future career aspirations of individuals on variable hours arrangements and the availability of roles that will meet those aspirations. There is acknowledgement that while many individuals engaged in flexible arrangements do so because it benefits them, there are others that are seeking an open-ended role. The 2002 JNCHES guidance acknowledges that career development support can target such challenges, noting that ‘staff employed on fixed-term and casual contracts may have special needs relating to their short-term contracts’, such as career advice.

The employee perspectives on career development were generally positive and support for qualifications was particularly valued. One interviewee had their PGCert funded by their university employer while they were on a zero hours contract and is currently undertaking a PhD with most of the costs funded by the HEI, including paid time to work on it. Another interviewee is currently undertaking an MRes and said they were grateful for this to be funded by the HEI, with half a day a week paid to work on this.

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Such qualifications are valued by these staff as they are important to progressing in an academic career. While investment in training and development was generally seen by the interviewees as positive, it was felt that such opportunities could be better communicated as a high level of proactivity was often required. It was recommended by one interviewee that formal career meetings could be held to help with career planning and making informed career decisions. They proposed that topics could include university plans, its financial situation and possible new courses as well as the capabilities that are sought for more senior and open-ended positions.

Support career development – In line with the JNCHES principles, these staff should have appropriate opportunities for training, development and careers advice. Some of these employees may have particular career aspirations, for example towards seeking a substantive role in HE, and the needs of these staff may differ particularly with regard to careers advice.

5.7 Balancing institutional needs with employee preferences

Several of the case studies offer examples of institutions that have sought to review and rebalance the needs of the institution with those of employees on non-standard employment arrangements. Such a focus should be welcomed and we note that the Taylor review of modern working practices identified the imbalance of power between individuals and employers as the key factor leading to poorer labour market outcomes at the individual level (Taylor, 2017). While the most pernicious practices identified in that review, such as unauthorised deduction of wages, are not recognisable in the HE sector, the case studies and interviews show that there are still legitimate concerns regarding the appropriateness of employment arrangements. One interviewee said that the lack of guaranteed hours and associated insecurity was “daunting” prior to being moved onto an open and fixed-hours contract as part of university reforms.8 Although the individual’s preference is still for a full-time position, they feel more secure under their current arrangements and that the open-ended status of their contract makes mortgage applications more likely to succeed. Regular salary payments also make manging finances easier and we heard similar comments made by other interviewees. Such issues are acknowledged in some of the case studies. For example, University C notes that short-term thinking in the past often led to reactive approaches that did not provide ‘sufficient clarity or certainty for individual employees’.

The case studies also show that there are usually solutions to be found that work for both parties with University C being a prime example. In some cases these solutions involve shifting staff onto fixed hours arrangements and in others the employee’s preference is to retain a right to refuse work and therefore mutuality of obligation does

8 At the time of interview the individual had an open-ended contract for a portion of the week and a fixed-term contract for the remainder of the week.

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not form part of their basic contract. University A, for example, says that it seeks to maintain flexibility in teaching hours for its teaching workforce and that employees value this flexibility in order to manage their portfolio careers. This flexibility is recognised by some of the employees interviewed – one said that the focused responsibilities of teaching only contracts mean that there are fewer ad hoc duties which other staff might be required to undertake such as presentations at open days. Another interviewee said they had built up their confidence, knowledge and expertise while balancing the work with domestic responsibilities, other work and hobbies. Such contracts also facilitate the appointment of industry insiders as guest lecturers providing valuable insight into cutting-edge subjects and practices.

The case studies demonstrate that blanket approaches are rarely appropriate, but that approaches tailored to each individual are time consuming. University B sought to create a framework within which different contractual options are included ‘reflecting the fact that in some areas of activity the volume and frequency of work is variable and often unpredictable’. Where work is less predictable, however, the University is committed to ‘providing as much forward notice and commitment of work as possible’. The introduction of a guaranteed hours contract at University C is part of a programme of work that seeks to ‘balance flexibility with security’ and that looks to move staff on to open-ended contracts ‘where there is clear evidence to recruit for an ongoing vacancy’. University E is a good example of joint work in this area where the University and UCU put in place a ‘logical framework and process for meeting requirements for service and hours flexibility’ applied in a fair and transparent way.

Balance institutional needs with employee preferences – As with all employment, it is important that employment practices consider the needs of employees as well as the needs of the institution. Focusing attention on staff on variable and casual arrangements and implementing new approaches can bring significant benefits for both employee and employer. While the resources required are acknowledged, several of the case study institutions were explicit regarding the benefits.

5.8 Understanding employee challenges

In addition to the potential negative consequences of the power imbalance within the employment relationship, there are other challenges facing these employees that emerged in our in-depth interviews with staff. These included:

• A lack of feeling of belonging to the institution when on a zero hours contract.

• Feelings of isolation when working as an employee on an as and when basis.

• Difficulty in attending committee meetings or developing relationships to help get things done around the department because of other time commitments and because pay is only targeted in relation to teaching activity.

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• Challenges in transitioning from other careers and work environments culturally different to HE.

• The inability to justify membership fees for trade union despite a desire to join.

These challenges provide some areas for consideration but are based on a very small sample of experience and therefore we do not claim them to be representative. However, it is important that when making adjustments to employment practice we understand the different views and challenges voiced by staff and seek this input through trade union representatives and directly from staff, such as through surveys or targeted focus groups.

Understand employee challenges – While many staff on variable hour contracts do so because it is flexible or fits with other work or study commitments they have, HEIs have found it helpful to engage in dialogue with staff and their representatives to understand better the challenges that arise from non-standard work and look to minimise adverse effects where possible.

5.9 Monitoring and regularly review

Given the evolving challenges faced by HEIs and the diversity of the workforce in all senses of the word, regular monitoring and review of non-standard contractual arrangements remains essential. The case studies show that this review can take place at the institutional level (University B), the staff group level (University E) and the individual level (University C). Such review and monitoring can also include trade union involvement or information sharing (Universities B, D and E). Again, such practice is consistent with the 2002 JNCHES guidance, which notes that fixed-term and casual employees should be periodically reviewed to consider whether indefinite employment is appropriate.

The case studies also show that in-depth reviews require significant resources and input, particularly where a case-by-case approach is taken. In many cases there will also be costs involved – for example, in University D a central resource was made available to help schools manage the costs of transferring associate lecturers onto fractional or full-time contracts, which had previously been a barrier. University E notes that there have been increased costs in reviewing hours allocations for fixed-term and casual academics but these are ‘more than compensated by the fact that the work is being managed in a more efficient and planned way with better data and cost control’.

Monitor and regularly review – The rights and responsibilities of employees and employers mean that HEIs need to have mechanisms to regularly review and report on employees working in variable hours and other hourly-paid arrangements. In the interests of transparency this information could be shared with local trade union representatives.

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5.10 Improving employment practices brings benefits

It is clear from the case studies that focusing attention on staff on variable and casual arrangements and implementing new approaches can bring significant benefits for both employee and employer. While the resources required are acknowledged, several of the case studies are explicit regarding the benefits that they identify. These include:

• Improved levels of engagement with the HEI.

• Positive trade union and employee feedback welcoming greater security and more regular pay.

• More standardised and predictable staffing spend and administration with a better understanding of work requirements within the organisation.

• Schools valuing and managing their workforces more actively.

• Better monitoring information and cost control.

• Increased transparency and clarity for the employer and the employee and knowledge that safeguards are in place to monitor and identify arrangements that need attention.

Evaluate changes – It is important to understand how changes made to employment practices affect retention, student satisfaction and employee engagement. Establishing baselines and then comparing change over time can be valuable in understanding whether changes have led to improvements in services or the well-being of staff. While reviewing metrics is important, qualitative feedback from affected employees can also be sought.

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6 Employment and support for staff on fixed-term contracts delivering teaching

This section of the report focuses on the employment of staff on fixed-term contracts delivering teaching and the support that is provided to them by HEIs. This section draws on insights from three case studies anonymised as University F, University G and University H.

6.1 The rise of teaching-focused contracts in the UK

There have been significant changes in the composition of the academic workforce since the 2008-09 recession.9 According to research by Locke (2012) the academic profession is becoming increasingly stratified along a series of ‘fault-lines’ which this work identified as:

Research intensive HEI or Teaching-focused HEI Full-time employment or Part-time employment Research focus or Teaching focus Senior staff or Junior staff STEM subjects or Other subjects Commercial or Non-commercial Academics or Para-academics

The research also identified ‘unbundling’ in the academic profession which describes a partitioning of research and teaching and the use of separate reward and funding systems for each of these functions. Teaching has fragmented further with specialists emerging in curriculum design, resource development, delivery, assessment and feedback and evaluation. According to Locke et al (2014:12) ‘each aspect of facilitating learning becomes the responsibility of a specialist member of a multi-skilled team’.

The unbundling is evident when workforce data are analysed. As Figure 6 shows, there has been a 21% rise in the number of academic staff on both teaching-focused and research-focused contracts in UK HEIs between 2009-10 and 2016-17 compared to a 7% increase in the traditional ‘teaching and research’ academic (typically holding a lecturer or professor job title). Teaching-focused contracts now comprises 27% of all academic staff by headcount. Some of this change reflects better labelling of contracts within the statistical return so that they properly reflect the activity of staff; however the level of change cannot be explained by this alone. Locke (2014) claims that austerity and the Research Excellence Framework (REF) were important drivers.

9 Two studies are currently underway to investigate these changes in greater detail. One, led by the UCL Institute for Education and supported by the ESRC and HEFCE is looking at the future of the HE workforce (www.researchcghe.org/research/local-higher-education-engagement/project-3-2). The other, led by King’s College London and supported by the Nuffield Foundation, is looking at the transformation of university staffing practices.

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Figure 6: Change in academic staff (headcount) by activity, 2009-10 to 2016-17

The research recommended that further research should be undertaken on the extent and nature of teaching contracts and roles. This is being taken forward by the same research group at the Institute for Education and it is hoped that this work contributes to improving our understanding. Additional work in this area published by Locke et al in 2016 identified similar themes and trends with the addition of identification of increasing workloads, which often came at the expense of development opportunities. The research recommended the need for individualised development and support, which should be proactively sought and pursued by staff. The interviews conducted as part of the research found that such learning and development should be delivered through peer-to-peer support, observation and self-reflection rather than a focus on formal training courses. Other recommendations included:

• The development for teaching of an equivalent to the Concordat for the Support and Development of Researchers.

• Enhancing the engagement between HEA (now Advance HE) and HR to support development of academic and learning enhancement career pathways.

• Improving the consistency in reward and recognition of teaching and research pathways.

• Enhancing communication on career development pathways. • Clearer communication by heads of school/department regarding institutional

policies and practice in relation to career progression and development. • Giving greater attention to future employability of teaching-focused staff.

The profile of teaching-focused contracts

In terms of total headcount, there were 56,130 staff on teaching focused contracts in 2016-17, of which 28,490 were employed in a fixed-term capacity, mostly on a part-time basis - Table 8.

Table 8: Teaching only staff by mode and terms of employment, 2016-17

Mode of employment Open-ended/Permanent

Fixed-term Total

Full-time 12,395 3,145 15,540 Part-time 15,245 25,345 40,590 Total 27,640 28,490 56,130

Source: HESA. Figures based on headcount.

20.8%

21.3%

6.7%

0.0% 5.0% 10.0% 15.0% 20.0% 25.0%

Teaching Only

Research Only

Teaching and Research

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Teaching-focused staff more closely resemble teaching and research staff in their demographic profile. Whereas 47% of research only staff are from non-UK nationalities, this falls to 26% for teaching and research staff and 21% for teaching focused staff - Table 9. The age profile of these two groups is also similar: the research only population is again the outlier with 72% aged between 26 and 40 compared to 29% and 35% respectively for the other groups - Table 10. The use of teaching-focused contracts for postgraduates undertaking work supporting teaching and learning activities, however, means that 16% of teaching focused staff are aged 21 to 30 compared to just 3% of teaching and research staff.

Table 9: Academic staff by nationality and academic activity, 2016-17

Nationality Teaching only

Research only

Teaching and research

United Kingdom 77% 52% 73% Other European Union countries 13% 26% 15% Other EEA countries and Switzerland 0% 0% 0% Other Non-European Union countries 8% 20% 11% Not known 1% 1% 1% Total 100% 100% 100%

Source: HESA.

Table 10: Academic staff by age group and academic activity, 2016-17

Age grouping Teaching only

Research only

Teaching and research

20 years and under 0% 0% 0% 21 to 25 years 5% 4% 0% 26 to 30 years 11% 25% 3% 31 to 35 years 12% 29% 11% 36 to 40 years 12% 17% 15% 41 to 45 years 11% 9% 16% 46 to 50 years 12% 6% 17% 51 to 55 years 12% 4% 16% 56 to 60 years 10% 3% 12% 61 to 65 years 7% 2% 7% 66 years and over 6% 1% 3% Total 100% 100% 100%

Source: HESA.

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In terms of subject areas, teaching focused staff are not as highly concentrated as research staff, of which 45% are in biosciences and clinical medicine - Table 11. By volume, however, they are somewhat more concentrated in business and management studies, performing arts, art & design, modern languages and education.

Table 11: Academic staff by cost centre and academic activity, concentration ranked by teaching only (top 10 only), 2016-17

Cost centre Teaching only

Research only

Teaching and research

(133) Business & management studies 9% 1% 10% (144) Music, dance, drama & performing arts 8% 0% 3% (143) Art & design 8% 1% 6% (137) Modern languages 6% 1% 2% (135) Education 6% 1% 5% (103) Nursing & allied health professions 5% 2% 6% (112) Biosciences 4% 14% 5% (101) Clinical medicine 4% 31% 7% (145) Media studies 3% 0% 3% (104) Psychology & behavioural sciences 3% 2% 4%

Source: HESA. Table displays top 10 cost centres for teaching only staff with percentage based on column total.

Teaching-focused staff are very distinct in terms of the types of contracts they are employed on. As Table 12 shows, 45% of teaching-focused staff are employed on part-time fixed-term contracts with a further 27% employed on part-time open-ended contracts. By comparison, only 4% of teaching and research staff work on part-time fixed term contracts with the vast majority employed on open-ended contracts. Research staff also tend to be full-time but the majority are on fixed-term contracts.

Table 12: Academic staff by terms of employment, mode of employment and academic activity, 2016-17

Terms of employment

Mode of employment

Teaching only

Research only

Teaching and research

Open-ended Full-time 22% 27% 77% Part-time 27% 7% 15% Fixed-term Full-time 6% 55% 5% Part-time 45% 11% 4%

Source: HESA. Percentages based on columns.

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6.2 A fixed-term employment lifecycle

The three case studies looking at this area (Universities F, G and H) show that the management and employment of fixed-term staff delivering teaching can be viewed as a lifecycle that begins with workforce planning and concludes with the end of the fixed-term contract – either through conversion to a fractional or full-time post, further fixed-term contract or conclusion of the contract. We recognise that individuals’ employment cycles do not necessarily run in such a simple or linear way, but have used this model to structure this section of the report in line with the cycle which is illustrated below. Driving this life cycle we often find three factors: student demand, which can influence the number of additional staff required; student experience, which might be the need for external input or the need to invest in development of staff; and staff absence, in the form of sabbaticals, sickness and parental leave.

6.3 Workforce planning

In each of the case studies, the approach to workforce planning is outlined as an integral factor that can influence the number of fixed-term staff employed in a given year or over a given period. These processes seek to forecast future demand and identify where there are sufficient staff to cover anticipated student numbers. For example at University F, the planning process commences in November of the preceding year with UCAS application numbers an important input into this process. These discussions feed into a budget setting process in March and anticipated teaching resources are collected by April. This planning is often supported by the use of workforce modelling tools – for example, University H has recently invested in a

Workforce planning

Recruitment

Establishing terms and conditions

Induction

Training and development

Review

End

Student demand

Student experience

Staff absence

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workload modelling tool that enables mapping of the existing workforce against teaching and research requirements. While this planning is informed by the best available information, uncertainties related to acceptances and the outcome of clearing can mean that requirements at the start of the first term differ from those planned for. University G is heavily reliant on clearing for its student intake with as much as 20% to 30% of its intake in some departments coming through this route. Such significant changes in student demand can make it difficult to accurately anticipate staffing needs.

While student demand influences workforce requirements, there are other factors to consider such as planned and potential absences within the workforce. Planned academic staff absences include sabbaticals and research ‘buy outs’, whereby a research grant may enable an individual to focus on research by providing funds to cover their teaching duties. These absences will require cover for fixed-periods. Parental leave will also be notified in advance and so can be anticipated to some extent, while sickness absence cannot.

Course requirements and the student experience can also create an ongoing need for external input from specialists, often people working in professional roles outside higher education. The professional body validation of certain programmes may have such inputs as an important requirement. Even though the requirement for some of these positions may be known in advance, it may still be the case that the individuals are engaged on a fixed-term or casual contractual arrangement, as this may be entirely suitable to both parties. These inputs will also be factored into the workforce planning process.

6.4 Recruitment to fixed-term posts

The decision to recruit academic staff may take place during the workforce planning process if the need is anticipated or as a reaction to unforeseen events or demands. In each case study it was found that there are formal processes for determining whether an appointment is necessary and what type of appointment should be pursued. At University G, fixed-term appointments and extensions are only agreed where there is a clear business need and these reasons are recorded on the individual’s file. Similarly, University F uses fixed-term appointments where an open-ended contract is not suitable – this process is overseen by a ‘Post Approval Group’ which is chaired by a Pro Vice-Chancellor and attended by departmental directors, HR representatives and other heads of functions. This group is tasked with ensuring that the appropriate type of contract has been requested. It also considers contract extensions and conversions to open-ended contracts. In reaching decisions on recruitment, University G said that it considers existing staff, student staff ratios, and course changes.

The three fixed-term contract case studies provided similar categories of reasons which necessitated the use of fixed-term contracts for teaching. These are summarised in Table 13. The need for external expertise is particularly emphasised in the case studies as

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this is valued by students who benefit from ‘fresh perspectives’ (University G) and seeing the practical application of their chosen course of study.

Table 13: Principal reasons for appointing teaching staff on fixed-term contracts

Anticipated Unanticipated

Cover for existing staff Sabbaticals

Research ‘buy outs’

Parental leave (longer term)

Sickness absence

Parental leave (shorter term)

Employee turnover

Need for external expertise

Course requires input from practitioner

Students benefit from practitioner input

Response to student demand

Cover while recruitment process is taking place

Uncertainty as to whether a peak in demand will be sustained

Appointments to meet late demand e.g. clearing

6.5 Establishing terms and conditions of work

In all three case studies, fixed-term staff are appointed on the same terms and conditions as staff on open-ended contracts with any hourly or fractional rates linked to pay for staff on open-ended contracts. However, as many of these appointments are part-time, clarity on the required hours of work and rates of pay for activities associated with delivery time is important. Workload modelling software is mentioned in two of the case studies as being important in allocating appropriate hours at the time of recruitment. At University F a new workload system was seen as important in ensuring a fair distribution of hours and clear oversight for academic managers in terms of allocations. University H provides guidance for academic managers on setting hours for such appointments with specific further time associated with each hour of teaching to cover preparation, marking and assessment.

While the basic terms and conditions of employment typically mirror those for other staff, two areas were highlighted which were distinct to this group of staff. The first is the job titles used to delineate the distinctive role of these staff. Two of the case study HEIs now use ‘associate lecturer’ having moved away from terms such as teaching fellow or other alternatives. It was felt that using the word lecturer in the title gave students a clearer idea about the role of the individual and it was also favoured by employees.

The second area is the integration of these staff within the academic department. University F ensures that fixed-term employees have their own desk, university email

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address, phone number and can attend departmental committee meetings, training sessions and away days. University G has formalised this integration and worked on ‘facilities guidance’ with its local UCU representatives. Under this guidance, associate lecturers must:

• have a staff ID card;

• have access to appropriate systems and an email account;

• have access to the library;

• have a shared workstation/work area/hot desks;

• have somewhere to store coats and bags while teaching;

• use the online procedure for all contracts and claims;

• have access to the e-learning system so they can complete online training, including the online induction programme and ‘Prevent’ training;

• have a local induction, following a checklist provided;

• know how to report absence;

• have the opportunity to attend suitable internal training and development sessions, paid at the hourly meeting rate;

• receive periodic feedback on their performance;

• know they are able to apply for vacancies, which are all advertised on the university jobs page.

6.6 Induction The induction programmes in each of the case study HEIs typically consist of a generic induction which might be delivered by HR and supported by online material. Attendance outside any already scheduled hours is paid. Such inductions include health and safety and employment basics such as booking leave. University G includes an hour-long module on ‘Prevent’ and University F has a compulsory equality and diversity component. These generic inductions are paired with departmental inductions which typically clarify expectations and provide information on departmental procedures. At University H, for example, one department has a departmental handbook that includes topics on teaching styles and detail on the day-to-day operation of the department. University G has a minimum requirements checklist for departmental introductions. University F invites all new staff to a corporate induction twice a year, where they are introduced to the Vice-Chancellor and can meet members of the executive team and network with other colleagues who have started in the same six-month period. The institution also gathers feedback on their induction as part of this process which has led to improvements. An example was including more information about non-university services and amenities in the local area.

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6.7 Training and career development Supporting employees delivering teaching is clearly given a priority area in all the case studies and there are several good examples of initiatives. At University F, there are no distinctions made between the support provided to those on open-ended contracts and those on other types of contracts. There is a high degree of emphasis on training for student facing staff and new staff with less than three years’ appropriate experience of teaching in HE (not including teaching as part of a PhD) are required to complete both one-year modules of the Postgraduate Certificate in Teaching in Higher Education (PGCert) if they do not already hold this qualification. Other pedagogical and practical training is on offer through a dedicated training service while ‘brown bag’ seminars facilitate knowledge sharing between colleagues. University F also runs an annual learning and teaching conference which all teaching staff are encouraged to attend. Further investment in teaching development is made through a teaching excellence fund which funds time-limited projects. Similar attention to this area is evident at University G, where funding is provided for associate lecturers to undertake their PGCert via distance learning. While this funding is currently limited to a set number of individuals a year, the University is considering expanding it due to its popularity. Attendance at most training and development is paid.

Associate lecturers will typically participate in the performance and development review (PDR) process although in some cases where the individual is undertaking a small amount of work this might be optional. At University G, any associate lecturers undertaking more than 96 hours work are required to take part in a ‘teaching review scheme’.

PDRs at University F provide a formal opportunity to discuss career aspirations which is felt to be important for staff on fixed-term contracts. It is clear from the case study that career plans for the fixed-term group are varied with some working in HE as a ‘side line’ activity and others wanting an academic career. For the latter group, guidance is important, but so is information that assists with managing expectations. Better information on HE careers for these staff is important. Although it is generally understood that the academic labour market is highly competitive, it is often not appreciated just how few PhD graduates with academic aspirations make a career in the sector. There were 100,085 active doctorate students across the UK in 2016-17 compared to a total substantive academic workforce of 206,870. Data on career flows is incomplete but improving. Analysis by HESA shows that within three years of graduating, 41% of PhD graduates are working in the sector but analysis by the Royal Society of scientific careers found that the proportion of these graduates that sustain a career in the sector is as low as 3.5% in science disciplines (Royal Society, 2010). Career planning and skills provision in UK HEIs has improved in terms of better information for prospective candidates and appropriate development for those on the PhD path. Although it has focused on the researcher community, Vitae has a range of resources

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and information that could be relevant to teaching-focused staff – particularly those that have ambitions for a career in academia.10

6.8 Review and end In some cases, roles that began as fixed-term and/or part-time roles grow over time as a result of student demand or course changes. In each of the case studies there is a different approach to accommodating these shifts and ensuring that the people affected are put on contracts that reflect such changes. For example, at University G, it was noted that a computer gaming module evolved from a single lecture to a popular course over seven years with the associate lecturer that started the course moving into an open-ended contract. However, a case by case approach remains and the University stressed that the associate lecturer role is a different role with different requirements – not simply a part-time lecturer role. As noted in the case study report a lecturer role is considered to be ‘a different, more comprehensive role requiring a different level of academic qualification and encompassing pastoral care, research and curriculum management in addition to teaching and assessment’. This is reflected in the minimum qualification requirement which is a Master’s degree for associate lecturer and a PhD for lecturer. At University F the process is more formal with HR conducting quarterly assessments to look at all fixed-term staff with more than two or four years’ service as to whether they should be converted to open-ended contracts. These reviews are reported to both UCU and a staffing committee.

Discussions with these staff prior to the conclusion of their contract are seen as important and this can be assisted by automated prompts well in advance of the current contract’s conclusion. The workload allocation software at University F provides a prompt to academic managers to review whether any extension is required for the current work as well as to consider the employee’s needs. At University G, HR services contacts the relevant Dean or Director four months prior to the expiry of a fixed-term appointment to initiate a review of the options (renewal, termination or transferral to an open-ended contract). At this point HR also writes to the employee with information to remind them of the end date of their contract. University H also has a review with the individual three months prior to the contract end date to review any possibilities for extension.

Where contracts are not extended or converted, some of the case study HEIs described how they give consideration to alternative opportunities within the University. For example, University F gives prior consideration of vacancies to staff on fixed-term contracts, an approach viewed positively by the local UCU representative. The case study institutions were asked whether the loss of fixed-term staff affected course delivery but in the cases reviewed the turnover was relatively low and the courses affected were designed by course leaders on open-ended contracts. The impact on institutional knowledge / memory was therefore limited to date.

10 www.vitae.ac.uk/researcher-careers

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7 A Framework of considerations for academic managers

The steering group that had oversight of this work had a brief to produce a framework that would be of use to the academic managers who are closest to the individuals engaged on fixed-term contracts delivering teaching. The group has developed this ‘framework of considerations’ to fulfil this and, as the name suggests, it is not intended to be prescriptive but rather to collect together the kind of considerations that academic managers would examine at various stages in the ‘cycle’ of employment. Under each heading the framework uses prompts or questions of matters that may need to be considered.

Workforce planning – Anticipation of workforce needs should begin at the earliest possible stage in the planning cycle.

• Identify the time points in the planning period at which it will be possible to make decisions regarding deployment of existing staff and the identification of both further without term employment and/or temporary employment opportunities.

• Allow time for decisions to be taken through the appropriate HEI process for planning or post approval.

• Share information with affected employees – principally those whose employment contracts are not secure for the coming period – about the timelines for decisions being made on the availability of employment opportunities.

• Reliance on previous years’ demand, but inputs such as UCAS applicant data and local/national demography will likely be factors as well as any other known absences within the department (e.g. sabbaticals).

Recruitment – Once workforce needs are identified, academic managers should decide in collaboration with HR colleagues which types of contract are most appropriate to fulfil the needs and where the individuals are who may be considered for the available work.

• Establish the processes that will be used to recruit to any available positions – i.e. for different posts, will this be: open recruitment; ring-fenced to a group of existing employees; positions reserved for developmental experience (e.g. for doctoral students).

• Consider how the decisions should weigh budget constraints and uncertainties but also benefits to students, the need to maintain a motivated and skilled workforce, and the impact of contract type on the applicant pool.

• Consider how the process can be done in a fair and transparent way.

• Ascertain any affected existing employees’ personal aspirations; ensure processes are in place to keep such employees informed.

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• Consider time needed for advertising and applicant deadlines.

Establishing terms and conditions – The main terms and conditions for staff will be the same or similar to those on open-ended contracts but there are likely to be specific considerations for a fixed term engagement.

• Early attention should be given to clarity on hours offered in relation to the work requirements, ensuring that this is reasonable and fair and transparent for the employee.

• Consider whether sufficient time is being allowed for the training and development in which you wish the employee to participate.

• In relation to the pay rates to be offered, consider if sufficient explanation has been given where multiplier rates are used for some duties but not others.

• Consider how the contract enables the individual to be accommodated within the activities of the department including attendance at departmental meetings and away days.

• Ensure all core contractual entitlements are covered, e.g. leave, and that the employee is clear where they can locate full terms and conditions documents.

• Establish the reasons for a fixed-term contract being used; record these.

• Make clear to the employee any processes for review of the contract and with whom they can raise any queries.

• Consider how any individual’s pay progresses during their time with the HEI.

Induction

• Induction should provide new joiners with an understanding of the main policies and procedures that are relevant to them as well as standard health and safety and data protection training.

• Departmental inductions should complement this generic induction activity and particularly ensure that teaching-related standards and expectations are communicated as well as the developmental activities run by the HEI.

Training and development – Training and development approaches differ at each HEI but should be accessible by all staff at a level commensurate with their role and input.

• Staff delivering teaching should be made aware of relevant opportunities to develop and improve their pedagogical skills and learn from good practice within the university. Research has found that teaching staff particularly value peer-to-peer learning, learning by observation and self-reflection and this could be built-in to individual’s development programmes.

• Support towards professional qualifications including the Postgraduate Certificate in Learning and Teaching should be considered.

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• Performance and development reviews (PDR) should be undertaken for all staff except where the individual is engaged sporadically and include specific focus on career aspirations.

• The PDR should also enable discussions regarding any changes that may affect the individuals working hours and early identification of any potential contract extensions / conversions.

Review – There should be a process for periodical review of the contractual status of staff on fixed-term contracts.

• Establish the time points in the year, in collaboration with HR, for the review of the contractual arrangements of staff on fixed-term contracts.

• Consider whether there are consistent criteria operating in deciding a case for placing individuals on open-ended contracts.

• Consider what the employees need to know about review arrangements the department will have in place.

• Allow time in the key window ahead of the end of a fixed term – usually at least three months before the conclusion of the contract – for review and discussion with the individual.

End – Institutional practice will vary in terms of how individuals are managed and guided when their fixed-term contract concludes and there will also be legal considerations at two years (eligibility for redundancy) and four years (eligibility for open-ended contract).

• Be clear about the roles of individuals in ensuring individuals are well communicated with – be this the immediate manager, HR, others.

• Make clear to the employee any processes for review of the termination of the contract and with whom they can raise any queries.

• Ensure individuals are fully aware of how they can apply for / be informed of alternative employment opportunities.

• Consider how fairness and equality considerations will be taken into account where there are individuals interested in other employment opportunities.

• Provide an opportunity for the departing individual to give feedback on their experience as an employee.

• Consider how departing employees’ experiences will feed into wider departmental and university-level learning.

The student experience – Many teaching staff employed on fixed-term and casual contracts provide valuable expertise and practical experience that is appreciated by students and can improve the value of the course and the outcomes for students. It is

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therefore important that individuals brought in on this basis are equipped and supported to deliver high-quality teaching.

• What are the arrangements for the support in pedagogy and how are these geared to individuals’ identified needs.

• Consider arrangements needed to ensure those engaged temporarily can be fully supportive of institutional / departmental processes for the support of vulnerable students, etc.

• Consider how students are advised of the individuals teaching them and the arrangements for engaging with these individuals outside scheduled teaching times.

• Would students perceive individuals on fixed-term and or fractional engagements as integral to the departmental teaching team?

• How aware might students be of the additional or technical skills and insights that are brought by these individuals to the programme they are studying?

• How is the input of individuals being evaluated and quality assured?

The employee experience – Employees that are clear on their objectives and the terms of their employment and that are provided with adequate support are likely to report higher levels of job satisfaction. Many individuals that work on teaching-focused contracts are also aspiring to an academic career and may need particular support in this.

• Is there a process for individuals to establish and seek clarity on their objectives?

• How is feedback and encouragement being provided?

• How engaged do the employees feel in departmental processes and collegial interactions?

• Are there avenues for individuals to discuss and explore their career aspirations, and seek support in these if needed?

• Is the individual employee’s experience one which should lead them to be a positive ambassador to others while working at and when they leave the HEI?

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8 Conclusion

As an employer of half a million people in the UK in a wide range of occupations, the HE sector must continue to evolve its employment practices to meet the needs of students, research funders and its staff. Balancing these obligations is no mean feat against a complex and challenging economic, social and technological backdrop. This report and the accompanying case studies offer a deep dive into two areas of employment practice which have been the subject of scrutiny and concern with a view to identifying ways to balance the needs of institutions and their staff.

Variable hours contracts can offer an alternative to zero hours contracts by providing staff with a fixed minimum number of hours that provide stability to those employees for whom this is important. Fluctuations in demand for these staff can be managed through additional hourly-paid work. Such arrangements may differ in their exact specification and in some cases might change the administrative burden, however the case studies show that this approach is not only possible but can provide returns in terms of employee engagement, improved employment relations and increased staff morale. Our case study findings provide a straightforward set of considerations that HEIs should consider and could form the basis of engagement with local trade union representatives.

The increase in teaching-focused staff in UK HEIs is clear to see. This is generally explained as a response to increasing year-to-year fluctuations, a greater demand for external practitioner expertise and insight, better labelling of contracts within the statistics, and greater opportunities for postgraduates and postdoctoral researchers to contribute to teaching and learning. While many of these trends are beneficial to students, the case studies presented highlight the importance of integrating these staff into the academic environment, rewarding them appropriately and supporting their professional development. We have provided a ‘back to basics’ framework which could form part of a pack of resources for academic managers or be adjusted to meet institutional needs or complement any existing similar materials.

The steering group recognised the diversity of the sector and acknowledges that HEIs will take a range of approaches to a given set of issues. However, the group was united in its belief that sector employers can always improve upon current practice and learn from others both in the sector and beyond.

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