8. Procedure
8.1 General principles
8.1.1 The procedure for making a statutory flexible working request is set out in this section. Further guidance on flexible working is also available for staff and Institutions from their HR Business Partnering Team.
8.1.2 Heads of Institution may at their discretion delegate this procedure to line managers as appropriate, although it is expected that the Head of Institution will deal with flexible working requests submitted by officers.
8.1.3 University officers need to apply for dispensation to work flexibly in line with the provisions of Special Ordinance C (i) 2 (c) (formerly Statute D II 6 (c)). Where relevant, the procedure will explain any particular steps needed as part of this process. Where the requested flexible working arrangement includes a reduction in hours and a consequential reduction in duties, and is not made under the career break scheme, University officers are able to apply either:
8.1.3.1 on a permanent basis; or
8.1.3.2 on a temporary basis for a period not exceeding five years in the first instance, during which they can retain the right to revert to full time work in an established office once ended or request a further extension (see section 8.8).
8.1.4 When considering submitting a request that would result in working fewer hours, the staff member should consider the consequential effect on their pay, pension contributions, and benefits. They may wish to seek advice from the Pensions Office about the implications for their pension.
8.1.5 If the staff member fails to attend a consultation meeting and a re-arranged meeting, or an appeal meeting and a re-arranged meeting, without good cause, the formal request will be treated as withdrawn. In such circumstances, the relevant HR Business Partnering Team will write to them to confirm that the request has been treated as withdrawn and no longer live.
8.1.6 The steps in the procedure for submitting and considering a flexible working request are as follows:
- Informal discussion (section 8.2)
- Submitting a request (section 8.3)
- Consultation meeting (section 8.4)
- Consideration of request and any modifications or alternatives (section 8.5)
- Decision (section 8.6), either:
- Acceptance of request (section 8.6.2)
- Refusal of request (section 8.6.5)
- Trial arrangements (section 8.6.7)
- Appeal, after full or part refusal of request (section 8.7)
The forms used to support applications and record any changes to working arrangements may be revised as required. Details of the current versions that should be used to support this procedure are available on the Forms page referenced in section 10.
8.2 Informal discussion
8.2.1 Any staff member who wishes to request to work flexibly is advised in the first instance to speak informally with their Head of Institution or their line manager as appropriate (see section 8.1.2) to discuss the details of their proposed request, the different options available, and the effect of their proposed working pattern on colleagues and the Institution.
8.3 Submitting a request
8.3.1 A staff member should submit a request to the Head of Institution using the appropriate form (see section 10) in good time and, if possible, at least two months before they would like the changes to take effect. The staff member must complete the form providing the key information set out in section 7.2, which will enable their Institution to properly assess the request.
8.3.2 The staff member is also encouraged (but is not obliged) to explain the reasons for their request, particularly if it concerns childcare or other family commitments, religious or cultural requirements, or adjustments because of a disability so that the full facts of the case, including obligations under other relevant legislation, can be considered.
8.3.3 If key information is missing or further clarification is needed, the staff member may be asked to amend or resubmit the request.
8.3.4 It is possible to approve the request at this step without holding a consultation meeting, although it may be helpful to discuss the request to ensure that all relevant information is understood before a decision is made. The request must be accepted in full if no consultation meeting is held.
8.4 Consultation meeting
8.4.1 If it is not possible to accept the request in full, either because the request requires further discussion before a decision can be reached or because it is not possible to accept the change as requested, the Head of Institution will hold a consultation meeting with the staff member. This meeting is an opportunity to discuss the proposed working arrangements and any alternatives if these are not practicable.
8.4.2 The Institution should try to ensure that the meeting is held at a time and place convenient to everyone and within a reasonable period of time after the request is submitted. It should be held privately in person or online or, where neither of these are possible, via a telephone call.
8.4.3 The meeting may be attended by a member of the HR Division or a staff member responsible for HR in the Institution. The staff member may be accompanied by a work colleague, a trade union representative, or an official employed by a trade union, who may be entitled to speak during the meeting and confer in private but may not answer questions on behalf of the staff member. If the staff member would like to be accompanied, they should provide the name and status of the companion in enough time for the Institution to make any necessary arrangements for the companion to attend.
8.4.4 The content of the meeting and the way in which it is conducted should allow for a reasonable discussion and consideration of the request. Where the original request cannot be accepted in full, the Head of Institution and the staff member should discuss if it is possible to secure some of the benefits that the original request sought, through modifications to the original request or an alternative flexible working option that may be available and suitable for both the Institution and the staff member. The possibility of an initial trial arrangement may also be discussed, to help assess the feasibility of the requested arrangements on a long-term basis.
8.4.5 Cover will not always be required as a result of a move to flexible working but when required, should be organised by the start of the flexible working arrangement where possible. Appropriate cover arrangements may include using any savings on salary to create another part-time appointment (for officers with part-time arrangements, stipend savings are credited to the Institution's account), or reorganising duties amongst colleagues where agreed.
8.5 Considering the request and any modifications or alternatives
8.5.1 The flexible working request will be carefully considered by the Head of Institution, looking at the benefits of the requested changes in working conditions for the staff member and the Institution and weighing these against any adverse impact of implementing the changes. If the requested arrangements cannot be accommodated due to one or more of the business reasons set out in section 8.6.5, consideration will be given to whether any modifications or alternatives discussed in the consultation meeting can be approved instead to achieve as much benefit as possible from the original request for the staff member.
8.5.2 In assessing the request and any modifications or alternative flexible working options, the Head of Institution will need to consider the duties of the post, the cover available, the need for continuity and any specialist skills required. They will also take into account the effects of the proposal such as: cost; staffing; service delivery; performance; quality implications; and the impact on other staff and any structural changes planned. The Head of Institution should be mindful that the request may result in unapproved additional costs for University central funds, which will need to be addressed; if this is not possible, the burden of the additional costs will be a legitimate reason for refusing the request (see section 8.6.5), or for considering alternative arrangements.
8.5.3 Before the Head of Institution can give their approval to a new working pattern involving reduced hours, agreement should be reached on either a reduced quantity of work, or the removal from the job description/role profile of certain discrete elements of the post in order to ensure it can be effectively performed part-time. For University officers in academic posts and comparable unestablished staff members, any part-time arrangements must ensure that the staff member makes a proportionate part-time contribution in all aspects of the officer's duties, including teaching and research. Consideration should also be given to the need to extend the probationary arrangements if the application is made within the probationary period.
8.5.4 As part of the assessment, the Head of Institution may need to review the matter with the staff member’s supervisor and team to identify and discuss any impact of the proposed arrangements before reaching a decision. An initial trial period may be considered to ensure the proposed arrangements (either as proposed or with modifications) meet the needs of both the staff member, their colleagues and the Institution.
8.5.5 Each flexible working request will be considered on a case-by-case basis and agreeing to one request will not set a precedent or create the right for another staff member to be granted a similar change to their working pattern. Where an application is made for reasons connected to childcare or other family commitments or religious or cultural requirements, the Head of Institution is advised to refer to their relevant HR Business Partnering Team for advice and support to ensure the request is dealt with appropriately. Disability-related requests must be considered in line with the University's legal obligation to make reasonable adjustments under the Equality Act 2010.
8.6 Decision
8.6.1 The Head of Institution should notify the staff member of their decision in writing as soon as possible after the meeting.
Acceptance
8.6.2 Where the Head of Institution can accommodate the request with or without modifications, or has discussed and agreed alternative arrangements with the staff member, the letter will set out details of the new arrangements, including the date of commencement, duration (if temporary) and any trial period. It should also offer the opportunity for a discussion to clarify any further information that may be helpful in implementing the agreed arrangement. The staff member will be asked to sign and return a copy of the letter, which will be added to their core staff record to confirm the variation to the terms of their employment.
8.6.3 The Head of Institution should also notify HR Shared Services so that the change can be processed using the appropriate form (see section 10).
8.6.4 Approval is required from the Faculty Board (or other comparable authority) and the General Board (or other body delegated as the competent authority) where a request is being made for either permanent or temporary leave from a University Office (or comparable unestablished post) to work flexibly under Special Ordinance C (i) 2 (c) (formerly Statute D II 6 (c)). This must be undertaken within the statutory decision period set out in section 7.3. If the request is approved, the Head of Institution will notify the staff member of the outcome in writing. They should also notify HR Shared Services so that the change can be processed. For details of the process associated with this requirement, see [link to forms page] in section 10. Any stipend savings will be credited to the Institution.
Refusal of request
8.6.5 Requests may be refused for any of the following eight reasons:
- The burden of additional costs
- The detrimental effect on the ability to meet customer demand (for example, the ability to meet student demand)
- The inability to reorganise work amongst existing staff
- The inability to recruit additional staff
- The detrimental impact on quality
- The detrimental impact on performance
- The insufficiency of work during the periods that the staff member proposes to work
- Planned structural changes.
8.6.6 If the request cannot be accommodated and no other feasible alternative flexible working arrangements can be agreed, the Head of Institution will notify the staff member of their decision in writing, giving the operational reasons for the refusal and providing details of the right to appeal against the decision.
Trial Periods
8.6.7 In the event that it is unclear whether or not a requested flexible working arrangement in a particular post would be a workable option, the Head of Institution and the staff member may agree to a trial period, which should usually be for no longer than three months. A trial period enables the staff member and Institution to consider how the proposed flexible working arrangement might work in practice and whether or not it is likely to create any practical difficulties. Consideration can then be given to whether or not these can be addressed to identify the feasibility of the proposed arrangements in the long-term.
8.6.8 The nature of the trial period will be set out in writing, including details of any success criteria and how these will be measured. The staff member's working arrangements will be varied for the stated temporary period only, and this will not give the staff member the right to work flexibly on a permanent basis. The Head of Institution should also notify HR Shared Services using the appropriate form (see section 10).
8.6.9 An appropriate extension to the statutory decision period set out in section 7.3 should also be mutually agreed, which suitable recognises the duration of the trial and any appeal. Towards the end of the trial period, the Head of Institution will meet with the staff member to discuss how the trial has worked and what, if any, difficulties have been experienced. They will then confirm their decision on continuing the arrangements, together with any contractual changes if appropriate.
8.6.10 If the Head of Institution considers the trial to have been unsuccessful, the job will revert to its previous status and the staff member will be expected to resume the previous contractual working arrangement.
8.7 Appeals process
8.7.1 A staff member has the right to appeal a decision if their request is refused or is only agreed in part. This includes where the request is refused or only agreed in part after a trial period. They may appeal within 14 days of being notified of the decision. They should appeal in writing, to the Head of Institution, copying in their HR Business Partnering Team, setting out their grounds for appeal and stating whether the appeal is in respect of the whole or in respect of any specified part of any finding of fact or decision.
8.7.2 The HR Business Partnering Team will arrange for a meeting to take place, where the appeal will be heard by another manager who is of an equal or more senior standing to the original decision-maker and who has not been involved in the case. They will try to ensure that the meeting is held at a time and place convenient to everyone.
8.7.3 The meeting may be attended by a member of the HR Division or a staff member responsible for HR in the Institution. The staff member may be accompanied by a work colleague, a trade union representative or an official employed by a trade union, who may be entitled to speak during the meeting and confer in private but may not answer questions on behalf of the staff member.
8.7.4 The manager hearing the appeal will consider the grounds for and scope of the appeal, including any modifications or alternatives that may have been raised as part of the consultation meeting as appropriate and the criteria in sections 8.5.2 and 8.6.5. They will determine whether the appeal is upheld in full or in part (for example, where an appeal regarding an original request is accepted subject to modifications raised at the consultation meeting) or is rejected. The staff member will be informed of the decision in writing as soon as possible after the appeal meeting.
8.7.5 If the appeal is upheld in full or in part, the staff member will be advised in writing of the new working arrangements and when they will commence and details of any trial period. The staff member will be asked to sign and return a copy of the letter, which will be added to their core staff record to confirm the variation to the terms of their employment.
8.7.6 If the appeal is rejected, the written decision will give the operational reasons for the decision and explain why they apply in this case in line with the reasons set out in section 8.6.5.
8.8 Extension
8.8.1 Where a flexible working request has been requested and approved on a temporary basis under this Policy, the staff member can request an extension of the arrangements or make a new flexible working request for a permanent arrangement if they wish for it to continue after the end of the temporary period. A review of the existing arrangements should be undertaken as part of the process and considered as part of the decision.
8.8.2 For University officers requesting an extension under the option in section 8.1.3.2, the extension application and letter of support from the Head of Institution (via the appropriate Faculty Board for approval as appropriate) should be sent through the Human Resources Division to the competent authority for approval, specifying the duration of the extended arrangements and any changes to the original application for flexible working. Any extension should be for no longer than five years.
8.8.3 When submitting either a new flexible working request or a request for extension, staff members are encouraged to make their submissions at least two months in advance, where possible, to allow sufficient time for the appropriate arrangements to be made, such as the creation of another part-time appointment with the stipend savings credited to the Institution's account.