(The new EJRA arrangements are set out at )

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1 EMPLOYER JUSTIFIED RETIREMENT AGE - revised 1 procedure (30 September September 2017) This guidance, procedure and associated documentation applied during the period 30 September 2015 to 30 September It continues to apply in cases of extension applications submitted on (The new EJRA arrangements are set out at ) Please note: Changes to the University s EJRA policy, made as a result of recommendations from the EJRA Review Group, have been approved by Congregation and came into effect on 1 October You can read the full report of the Review Group here. In particular: staff at grades 6 and 7 with an EJRA date later than 1 October 2017 are no longer required to retire on a set date; if your retirement date is 30 September 2017: these changes do not affect you, and your retirement date, as specified in your contract, does not change. This includes staff at grades 6 and 7; if your retirement date is 30 September 2018 or later, your retirement date has been pushed back by one year to the 30 September preceding your 69th birthday; if you wish to apply for employment beyond your EJRA date, you should do so two years, instead of one year, in advance of your retirement date. All extension applications received by the deadline of 30 September 2017 will be considered under the Aims and Procedure set out in this document (as published on the EJRA website during the period 30 September 2015 to 30 September 2017). Future rounds of applications will be considered under the Aims and Procedure published at 1 This was referred to as the revised policy and procedure since it incorporated revisions to the original EJRA introduced in 2011: these revisions were introduced on 30 September 2015.

2 Revised Employer Justified Retirement Age Introduction Council has agreed to maintain a retirement age for university academic and academic-related staff, including (in respect of their university appointments) the holders of joint appointments, primarily to support the University's mission to sustain excellence in teaching, research and administration and to maintain and develop its historical position as a world-class university (See the Revised Aims of the EJRA, below). All existing members of academic and related staff who have a normal retirement date of 30 September immediately preceding the 66th birthday will be deemed, from 1 October 2011, to have a retirement date of 30 September preceding the 68th birthday, which shall be the EJRA. All existing members of the academic and related staff who have a vested right to a normal retirement age of 67 will continue to have a retirement date of 30 September immediately preceding the 68th birthday. In cases where, under the Personnel Committee's procedures applying until 30 September 2011, a member of staff has a retirement date set by individual agreement to be other than 30 September preceding the 66th birthday, the retirement date specified in the agreement will continue to apply. Where the specified date is earlier than the EJRA, any request to work beyond the specified date should be referred to the Director of Human Resources. The EJRA will operate for an initial period of ten years from 1 October The application and outcomes of the EJRA and its procedures will be reported annually to the Personnel Committee and will be subject to an interim review after five years. These reviews will take into account all relevant considerations, including the continued relevance of the Aims of the EJRA above to each of the groups of staff to whom the EJRA applies, the application of the EJRA and the procedure for exceptional limited extended employment, as well as relevant external developments in relation, for example, to pensions and longevity. For full details see: the revised Aims of the EJRA the revised Procedure model letters and forms to be used in implementing the revised EJRA procedures [See also Gazette announcement (No.5099)] 2

3 Aims of the Employer-Justified Retirement Age (EJRA) In the context of the University s particular structure and procedures, the EJRA is considered to be an appropriate and necessary means of creating sufficient vacancies to meet the Aims set out below: safeguarding the high standards of the University in teaching, research and professional services; promoting inter-generational fairness and maintaining opportunities for career progression for those at particular stages of a career, given the importance of having available opportunities for progression across the generations; refreshing the academic, research and other professional workforce as a route to maintaining the University s position on the international stage; facilitating succession planning by maintaining predictable retirement dates, especially in relation to the collegiate University's joint appointment system; promoting equality and diversity, noting that recent recruits are more diverse than the composition of the existing workforce, especially amongst the older age groups of the existing workforce; facilitating flexibility through turnover in the academic-related workforce, especially at a time of headcount restraint, to respond to the changing business needs of the University, whether in administration, IT, the libraries, or other professional areas; and, minimising the impact on staff morale by using a predictable retirement date to manage any future financial cuts or constraints by retiring staff at the EJRA. 3

4 Revised EJRA Procedure Procedure for considering requests to work beyond the Employer Justified Retirement Age (EJRA) I. Introduction II. Procedure to request to work beyond the EJRA III. Procedure to consider requests to work beyond the EJRA IV. Communicating the decision V. Appeal VI. Guidance on issues that will be taken into account in decision-making. VII. Requests for further extended employment from staff with a retirement date later than the EJRA I. Introduction 1. This paper sets out the procedure that will be used by the University for considering requests from academic and academic-related staff who are due to retire on or after reaching the EJRA but who wish to extend their employment and consider that they have a strong case for doing so in light of the Aims and the issues to be taken into account in considering applications (Section VI below). It is the policy of the University that academic and academic-related staff will have a fixed retirement date in order to support the Aims of the EJRA. Only in very exceptional circumstances, in which it is clear both that the extended employment of the particular employee is necessary in order to ensure the completion of a specific project or duties [1] (or to gain the full benefit of a project already completed) and that the extension would not undermine the Aims, will any application under this procedure be approved. All requests to continue working beyond the EJRA submitted in accordance with Section II below will be considered in this context. [1] Examples of projects and duties to be completed might include: the completion of a research project that can only be carried out by the individual concerned; the need for an individual to finish a teaching course for which it would not be possible to provide a replacement (for example, when the course is coming to an end). 4

5 II. Procedure to request to work beyond the EJRA Informing staff of the EJRA and the process for requesting an extension 2. The Head of Division or equivalent [2] will remind academic staff in writing of their normal retirement date and of the process for requesting continuation in employment beyond that date, if possible, no later than two years before their retirement date under the EJRA. In the case of joint appointments, this notification will be copied to the relevant college(s). Where they judge it necessary, divisions may decide to give earlier notification, for example if it is considered advisable to initiate early discussion with a view to more effective planning for retirement. To give notice to academic staff due to reach the EJRA in two years time use Pro-forma letter ML1. To give notice to academic staff who are nearing the end of an extension beyond the EJRA or with an individually agreed retirement date use Pro-forma letter ML3. 3. The Head of Department or equivalent will remind academic-related staff in writing of their normal retirement date and of the process for requesting continuation in employment beyond that date if possible no later than two years before their retirement date under the EJRA. To give notice to academic-related staff due to reach the EJRA in two years' time use Pro-forma letter ML2. To give notice to academic-related staff who are nearing the end of an extension beyond the EJRA or with an individually agreed retirement date use Pro-forma letter ML4. Requesting to work beyond the EJRA 4. All requests for employment beyond the EJRA will be considered by the EJRA Committee in accordance with the timetable set out below. Meetings will be held once every six months and applications will be considered in gathered fields at those meetings in the light of the Aims and the issues to be taken into account, which are specified at section VI below. 5. Any staff member who wishes to continue in employment beyond the EJRA and who believes that he/she has a strong case for doing so in light of the Aims and the issues to be considered (section VI) should first discuss his/her situation in good time with his/her Head of Department or equivalent. An academic member of staff might also wish to have an informal discussion with his/her Head of Division. Holders of joint appointments should also consult their colleges (normally the Senior Tutor). Similarly, where an honorary contract is held with another body, such as an NHS Trust, that other body should also be consulted. 6. The aim of these discussions is to ensure that all options have been explored. The staff member and Head of Department or suitable alternative should in all cases consider whether the individual s and/or department s aims could be achieved through use of a genuine non-employment arrangement following retirement (which should not present any obstacle to filling the newlyvacated role), such as a post-retirement honorary research agreement [3] or visitor s agreement. If so, the University s expectation is that this course would be taken, rather than an application for an extension of employment being submitted. 5

6 7. In circumstances where non-employment options will not achieve the individual s and/or the department s aims, an application for extended employment will be needed. The application should address the impact of the proposed extension on the Aims of the EJRA and set out the case for an extension in the light of the matters for consideration at section VI. It is expected that in all but very rare cases, those who hold permanent posts would need, as a minimum, to step out of their current post into a newly-created, fixed-term post, on a grade appropriate to the duties to be delivered. This is to make it possible for their substantive post to be refilled, thereby reducing any negative impact of the extension on the Aims of the EJRA. 8. It is also expected that: (i) any extension of employment in a newly-created post will have contracted hours appropriate to the work to be delivered, and that its duration will be limited to that necessary to complete the project or duties for which the employment extension is being sought; and, (ii) in all but very rare cases, the applicant will have secured grant or other funding to cover their full costs (ie including on-costs) while in employment beyond the EJRA. When the proposed extension of employment involves reduced duties or working-time, it could be relevant to consider the option of flexible retirement which will allow the individual to take part of his or her pension to supplement a reduced salary. 9. All post-ejra employment will be on a fixed-term contract. 10. In the case of joint appointments with the University and a College, it is possible that the staff member may wish to continue working in only one part of the joint appointment, or one employer might wish to agree continued employment while the other does not. Consideration should first be given in all cases to the full range of possibilities outlined in paragraph 6 above. In the case of applications for an extension with only one of the two employers, the employers will wish to discuss how their respective interests in the future of the substantive joint appointment should be protected. In the case of cross-departmental joint appointments, the lead employing department will take the lead on discussions with the applicant in consultation with the other employing department where relevant. 11. These discussions, which should take place at any suitable time before the deadline for applications to the EJRA Committee, will help inform any formal request which might subsequently be made by the individual. Such discussions are intended to provide opportunity for the formulation of a request which will minimise the impact on the Aims of the EJRA and with which all parties will be content. 12. Any request to continue working for the University beyond the EJRA in a University appointment or a joint University and college appointment should be made by the member of staff. It should be submitted by him or her in writing, following consultation with all interested parties, to the Director of Human Resources. In addition, any request relating to the college part of a joint appointment should be made to the relevant college according to its procedures. 6

7 13. The submission should be made on Form EJRA 1 and should set out clearly: (i) the request for extended employment, including a detailed explanation of the reason for the requested extension and the proposed working arrangements ie the grade, FTE and length in months of the extension requested; (ii) the duties or project to be undertaken in the course of the proposed extension; (iii) the non-employment options that have been considered by the individual in conjunction with the Head of Department, and why they were not thought to be viable; (iv) any grant or other income that will result directly from the proposed extended employment, the extent to which that income will cover the employment and other costs incurred as a result of the proposed extension, and the extent to which additional posts will be created; (v) details of any space, equipment or other resources that will be required in order to undertake the proposed duties or project, and confirmation that these will be available; and, (vi) any exceptional personal circumstances to which the individual would wish to draw the attention of the EJRA Committee (the applicant should state whether or not he/she is content for the department and division to see this part of the form). 14. In the case of joint appointments with the University and a College, the submission should include comment from the College on any implications for the joint appointment that arise from the extension being sought to the University part of the individual's employment. In particular, the College should be asked to comment on any proposed arrangement that would result in the parts of the joint appointment being treated differently. Likewise, comment should be included from any other employer (eg an NHS Trust) where employment by the University and by the other employer (including any honorary contract) are inter-related. The applicant should append to the submission any supporting material that is directly relevant to the matters set out in Section VI, "Guidance on issues that will be taken into account in decisionmaking", for instance, evidence that the requested extension of employment is necessary for the completion of a specific project or duties and the consequences if the extension is not granted (eg whether, and to what extent, funding already spent or work already done would be wasted if the extension were not granted). Testimonials will not be relevant. 15. The normal deadline for all staff for such requests to reach the Director of Human Resources is 12 months before the EJRA date ie for all but those with non-standard retirement dates, applications must be received by the Director of Human Resources by 5pm on the 30 September preceding the individual s EJRA date. Applications should not be submitted more than two years in advance of the individual s retirement date, except in circumstances where the individual proposes to make a grant application that would necessitate their employment beyond the EJRA. Such applications will be accepted normally no more than three years in advance of the individual s retirement date and will be considered at the next scheduled (ie six-monthly) meeting of the EJRA Committee (except where a more rapid decision is essential in order to meet the deadline for submission of the grant application). If the Committee approves any such applications, the approval will be contingent upon the success of the grant 7

8 application, and the contracted hours of the post-ejra employment will be limited to those funded in full (ie including on-costs) by the grant and any other additional applicable income arising from extended employment. 16. Late requests may be submitted only in limited and exceptional circumstances. The chair of the EJRA Committee will consider whether to accept any late requests and his/her decision will be final. The Chair will only accept late requests when the circumstances that necessitate the late request were clearly beyond the control of the applicant [and/or department] and could not reasonably have been anticipated. 17. All requests submitted by the annual deadline will be sent to the relevant Head of Department who will be asked to consult the relevant departmental committee [4] and to confirm, on Form EJRA 2: (i) what non-employment options have been discussed with the applicant, with a brief explanation of why they were not thought to be viable; (ii) the costs, including salary and on-costs, that will be incurred as a result of the proposed extension and how these will be funded; (iii) that any necessary space, equipment and other resources that will be required by the individual will be available if employment continues, with a summary of the impact their allocation to this individual will have on others; (iv) that the appropriate departmental panel has discussed the application, and is satisfied that all reasonable efforts have been made to identify alternative means of achieving the duties or project that are the basis of the application; and, (v) what impact, if any, a refusal to extend the applicant s employment would have on the duties or project currently being undertaken by the applicant and the minimum period of extension required to ameliorate that impact; and, (vi) whether, how, and to what extent that impact could be ameliorated other than by the extension of the applicant s employment. Departments will be expected to provide factual comment only on the above considerations. For this purpose, in the case of cross-departmental appointments, it is the lead employing department that will be asked to provide this information. That department's submission should confirm that the other relevant departments(s) have been consulted, and it should report any information provided by them in response. 18. Individual and departmental submissions will be collated and forwarded to the relevant Division. The Head of each Division will be asked to consult the appropriate divisional-level committee and to provide comment on the strategic importance of the proposed duties or project in each case. They will be asked to return their comments on Form EJRA 3 by a specified deadline. Before the collated submissions are seen by the Committee, the applicant will have the opportunity to comment on the submissions made by their Department and Division, and he/she may be asked to clarify in writing any point in their own submission that the Committee Chair considers to be unclear. 8

9 [2] Equivalents include, for example, the Registrar in relation to appointments within UAS, or the Pro-Vice- Chancellor (Research, ASUC) for departments within ASUC. [3] Templates and guidance on laboratory and non-laboratory honorary research agreements will be provided. [4] This might be the Faculty or Departmental Board, or an appropriate sub-committee, such as an appointments panel or local personnel committee. The applications will be sent for comment in a gathered field. III. Procedure to consider requests to work beyond the EJRA The EJRA Committee 19. All requests to continue working beyond the EJRA will be considered by the EJRA Committee. The Committee will assess each request in the context of the Aims of the EJRA and the issues laid out at paragraphs The EJRA Committee will meet at intervals of six months, in Michaelmas term and in Trinity term of each year. 21. The Committee will consist of eight members, as follows: chair: the Pro-Vice-Chancellor (Personnel and Equality); the representative on Personnel Committee of each of the four academic divisions (not the Head of Division); a member of Personnel Committee who is also a member of University Administration and Services (if there is no such member of Personnel Committee, the Registrar shall be asked to nominate a senior member of the division); a member of Personnel Committee who is also a member of Academic Services and University Collections (if there is no such member of Personnel Committee, the Pro-Vice- Chancellor (Collections) shall be asked to nominate a senior member of the division); and, an external member, nominated by the Chair. 22. Ordinarily, at least three members of the Committee shall be women and at least three shall be men. 23. The Director of Human Resources will service the Committee and will arrange for it to receive legal and other advice as required. 24. The EJRA Committee shall be quorate when six out of eight members (including the external member) are present. If the Chair is unable to attend the meeting, he/she shall invite another member of the Committee to take the chair. 25. If the Chair agrees that an application that has been submitted outside of the normal timetable should be considered, for example, where a more rapid decision is essential in order to meet the deadline for submission of the grant application (see Paragraph 15), the application shall be circulated and considered by correspondence. In all other cases, applications will be considered in the normal timetable. 9

10 26. In the case of the consideration of requests involving both parts of a joint appointment the chair of the Committee will liaise with the chair of the equivalent college body over matters of process, including the relative timings of the work of the two panels and the communication between the panels of their decisions, as may best suit the individual case and allow for issues relating to the joint nature of the post to addressed. 27. The Committee will consider the request in the light of the Aims of the EJRA, taking into account the considerations set out in Section VI below and having duly considered the written application by the individual staff member, the written comments of the department and division, and relevant information provided by the College and/or NHS Trust, as appropriate. The Committee will seek any clarification it deems necessary. 28. The Committee will decide on the request for extension of employment including the length of time of any such extension. The decision of the Committee shall have effect in respect of employment with the University, and the division/department shall act accordingly. In the case of joint appointments, the College will make its decision in respect of College employment according to its own regulations and procedures. IV. Communicating the decision 29. The Committee will inform the applicant, the department, the division and, where appropriate, the College of its decision in writing. The letter will specify the length of any extension granted and any conditions imposed upon that extension by the Committee. 30. Where the request to continue working beyond the EJRA is rejected or is granted on different terms than those requested, the individual will be notified in writing of the right of appeal. 31. Where a decision is taken under these procedures to extend employment beyond the EJRA, the individual will be issued with a fixed-term contract, to terminate at the date set by the EJRA Committee in agreeing to the extension. This contract will state the details of the specific hours, duties, salary and other terms and conditions. V. Appeal 32. Any appeal against the decision of the EJRA Committee must be notified in writing by the staff member to the Registrar within 28 days of receipt of the letter confirming the Committee s decision, in accordance with Statute XII, Part H,, An appeal may be made against the refusal of a request or against the terms of approval where they differ from those requested by the staff member. 34. The letter of appeal should set out clearly the grounds for the appeal. 35. The appeal will be heard in accordance with the provisions of Statute XII, Part H. 10

11 VI. Guidance on issues that will be taken into account in decision-making. 36. It is the policy of the University that academic and academic-related staff will have a fixed retirement date in order to support the Aims of the EJRA. Only in the most exceptional circumstances, in which it is clear both that the extended employment is required in order to ensure the accomplishment of a specific project or duties (or to gain the full benefit of a project already completed) and that the extension would not undermine the Aims, will any application under this procedure be approved. All requests to continue working beyond the EJRA submitted in accordance with Section II above will be considered in this context. The EJRA policy and the procedure for considering applications for employment beyond the EJRA are intended to support the Aims set out as part of the policy. In order to achieve the Aims, it is expected that: (i) any extension of employment will, in any circumstance in which the applicant occupies an academic post or a permanent position of any other type (ie they are not already working on a fixed-term contract), involve the applicant vacating their permanent post and moving to a fixed-term contract on an appropriate research, administrative or professional grade; and (ii) the applicant must identify in their application all possible means of supporting the salary and other costs (including space, equipment and other resources) associated with their proposed role in extended employment. It is expected that in all but very rare cases, applications will only be approved where the individual has secured grant or other funding to cover their costs while in employment beyond the EJRA. This is to ensure that: there is no financial detriment to the University as a result of the extension; and there is no financial impediment to the refilling of the applicant s permanent post. 37. Applications will still be considered if the two expectations above cannot be met, but it would only be in very rare cases that individuals might expect to be successful if they apply to remain in an academic or other permanent post, thereby preventing its being refilled, or if their proposal does not include the means to cover their employment costs in full. 38. In all cases, the Committee will bear in mind that all staff are expected to carry out their roles to a high standard. In the case of academic and research staff, this includes distinguished scholarship and research. Senior academic and research staff will often be world-leaders in their field. The offer of distinguished scholarship does not constitute a relevant consideration for the purposes of the extension procedure. 39. The list below outlines the type of matters that the Committee will take into account in making their decision. a) Is there a demonstrable need, for a defined period, to retain the applicant in employment in order to complete a specific project or duties, or to gain the full benefit of tasks already completed by him or her, which: (i) are of particular strategic importance to the University; and 11

12 (ii) could not be completed by any other individual who is not over the EJRA, either by a current member of the University s staff or through a recruitment exercise; and (iii) in the case of prospective or current grant-funded research projects, could not, in accordance with the funder s rules, be completed on a non-employed, or voluntary basis; and (iv) could not be completed on an employment contract with fewer working hours or of a shorter duration? b) Will the proposed extension result in the creation of career development opportunities for others that would not otherwise have been created? c) Is there a demonstrable need that arises in connection with a specific event or circumstance and that could only be met by retaining this particular employee in employment for a fixed period? d) In the case of a joint appointment what are the implications for the joint nature of the post: for example, where the request involves only one part of a joint appointment, has some suitable means been found of managing the future of the joint appointment so as to protect the shared educational interests of the University and College? e) In the case of clinical academics, is the NHS Trust concerned willing to renew the employee's honorary contract? The holding of an honorary contract is prerequisite for continuation in a clinical post. f) Are there any special personal circumstances that would properly justify exceptional treatment? VII. Requests for further extended employment from staff with a retirement date later than the EJRA 40. A member of academic or academic-related staff whose retirement has been set later than the EJRA may apply for a further extension under the procedures in Sections II-VI above, provided that they do so in accordance with the normal procedures and, where possible, observe normal deadlines. It should be noted that a further extension will only be granted if it is essential to address unforeseeable circumstances that have frustrated the purpose for which the original extension was granted. 12

13 Model letters, forms and timetable Timetable 2017/18 The EJRA committee will meet to consider applications submitted by the deadlines set out below in a gathered field exercise in late Michaelmas and early Hilary term Deadline for individuals to send completed EJRA 1 to Director of Human Resources Deadline for departments to submit forms EJRA 1 and 2 to Head of Division Deadline for Head of Division to send forms EJRA 1, 2 and 3 to Director of Human Resources Deadline for individuals to respond to the departmental and divisional submissions 5pm on 30 September October November 2017 Noon on 1 December 2017 Applicants should read the EJRA Procedure (above) carefully to ensure applications are made with a full understanding of the issues which the EJRA Committee will take into account in each case. The EJRA Procedure stresses the importance of early discussion with the Head of Department or equivalent to consider whether it would be possible to meet the aims of the employee or department by some means other than extension in employment. In some cases, it may be relevant to consider part-time extended employment coupled with flexible retirement and access to pension. Any employee seeking extended employment should take advice, independent where appropriate, on how their plans might affect their pension entitlement and related tax liabilities. All requests for employment beyond the EJRA will be considered by the EJRA Committee, in accordance with the timetable and procedure outline in this document. The majority of applications will be taken in gathered fields in Michaelmas and Trinity Terms. In order for the Committee to make a full evaluation of each case, applicants should complete the EJRA 1 form as fully as possible. Employees will, whenever possible, be reminded at least two years ahead of their due date of retirement under the EJRA. Any employee seeking an extension in employment is individually responsible for making an application on form EJRA 1, which normally must be received by the Director of Human Resources no later than 24 months before the applicant's due retirement date (for all but those with non-standard retirement dates, that is no later than 5pm on 30 September in the year preceding the applicant s due retirement). Further detail on when applications can be accepted is given in the EJRA Procedure. The completed EJRA 1 form will be forwarded to the applicant s Head of Department, who will be asked to consult the relevant departmental committee and use form EJRA 2 to respond. Individual and departmental submissions (EJRA 1 and EJRA 2 forms) should then be collated and forwarded by the Department to the relevant Division. The Head of each Division will be asked to consult the appropriate divisional-level Committee and to provide comment on the strategic importance of the proposed duties or project in each case. They will be asked to return form EJRA 2 13

14 along with their comments on Form EJRA 3 to Personnel Services by a specified deadline. Please see the timetable below for the specific deadlines. Before the collated submissions are evaluated by the EJRA Committee, the applicant will have the opportunity to comment on the submissions made by their Department and Division, and he/she may be asked to clarify in writing any point in their own submission that the Committee Chair considers to be unclear. Model letters and forms Forms are available from Model letters can be requested from Personnel Services. 14