Reg. 4 Annual Review by the Academic Staff Committee

Regulations for the Annual Review by the Academic Staff Committee of Assistant Professors, Associate Professors, Lecturers, Senior Lecturers, Associate Professors (Readers), Teaching Fellows, Senior Teaching Fellows and Principal Teaching Fellows and Research Fellows, Senior Research Fellows and Principal Research Fellows

(1) Departments shall conduct a Review of academic staff (in all grades), teaching staff (in the grades of Teaching Fellow, Senior Teaching Fellow and Principle Teaching Fellow) and research staff (in the grades of Research Fellow, Senior Research Fellow and Principal Research Fellow) and shall submit recommendations to the Academic Staff Committee.

(2) Under the Annual Review procedure, the Committee shall consider recommendations for:

(a) confirmation of the appointment of academic staff to Associate Professor (or Senior Lecturer) on satisfactory completion of the period of probation.

(b) promotion to Professorship;

(d)    promotion to Reader;

(e)    promotion to Senior Teaching Fellow;

(f)     promotion to Principal Teaching Fellow;

(g)    promotion to Senior Research Fellow;

(h)    promotion to Principal Research Fellow.

(3) The Head (or Acting Head) of a Department shall be responsible for making recommendations to the Committee.

(4) In considering recommendations submitted under the Annual Review procedure, the Committee may call on the Head of Department to provide the Appraisal Record of the member of staff under consideration. For this purpose at the discretion of the member of staff, the full Appraisal Record may be replaced by a summary agreed between the Head of the Department and the member of staff. The Committee may call for records or summaries covering a period of no more than four years.

(5) Confirmation of Appointment on Satisfactory Completion of the Period of Probation

The Regulations in this paragraph have been drawn up pursuant to the terms of the National Agreement (1974) between the University Authorities Panel and the Association of University Teachers on probationary service for lecturers. A copy of the full Agreement may be obtained from the Registrar.

(a) Every appointment to the grade of Associate Professor (or Senior Lecturer) shall be made on a probationary basis unless the person appointed has served for at least three years at another University and has satisfied there the equivalent requirements for the completion of a probationary appointment.

(b) (i) The period of probation shall be five years from initial appointment with possible extension to six years in doubtful cases. Where a new member of staff has previously served in a United Kingdom university, such service may be taken into account by the Selection Panel in recommending whether this period should be shortened.

(ii) Where a new member of staff has previously served at an overseas university of equivalent academic standing to a United Kingdom university or at a related institution in this country or overseas, the Chair of the Selection Panel may recommend to the Academic Staff Committee that probation should be waived or shortened as appropriate.

(c) The Registrar shall maintain an individual probationary record file on each member of staff appointed on probation which shall be open to inspection by the member of staff concerned.

(d) The Head of Department shall designate one or more senior staff (who may include himself/herself) to be responsible for giving advice and guidance to staff appointed on probation. The names of such senior staff shall be made known in the Department and members of staff on probation informed.

(e) During the probationary period of service every member of staff shall have the opportunity to attend at least one external course on teaching methods designated by the University, and will be required to attend the University’s own induction training programme and undertake the Postgraduate Certificate in Academic and Professional Practice where necessary.

(f) Heads of Department shall be asked for a written report on each probationary member of staff as part of the Annual Review. (Where the senior member of staff responsible for advice and guidance is a person other than the Head of Department, such reports shall be drawn up after consultation with the senior member).

(g) Each academic probationer shall be considered by the Academic Staff Committee for confirmation of appointment in the year in which the period of probation stated in the University’s letter of appointment is due to be completed. The Committee shall also consider recommendations for confirmation in advance of the date set by the original selection panel. The recommendations must state the grounds for the appointment to be confirmed exceptionally before the expiry of the normal probationary period.

(h) A positive recommendation from the Heads of Department shall be required and shall be supported by an assessment of the member of staff with respect to the criteria set out in (i) below.

(i)    Research - evidence that the probationer, taking into account research experience, attainments on appointment and the opportunities afforded during the probationary period, has shown sufficient progress to indicate that (s)he will in the future contribute to the research profile of the Department at a satisfactory level.*

(ii)    Teaching - evidence that the probationer, taking into account teaching experience, attainments on appointment and opportunities afforded during the probationary period, has shown sufficient progress to indicate that (s)he will in the future contribute to the teaching needs of the Department at a satisfactory standard. Normally, the successful completion of the Postgraduate Certificate in Academic and Professional Practice (or equivalent) is a requirement.

(iii)    Administration - evidence of satisfactory performance in this area and a capacity and willingness to undertake administrative duties. The probationer is not normally expected to take responsibility for major administrative activities during the probationary period and (s)he should not be over-burdened with such duties.

(iv) Collegiality - evidenced by the range, nature and effectiveness perceived by the Head of Department of the probationer's ability to work co-operatively and creatively with colleagues within the department and elsewhere in the University.

(j) The University accepts that some forms of behaviour, if proved, which harm the capability, good order or morale of a department or the University, may constitute a proper reason for not confirming a probationary appointment. A probationer shall be sent a copy of any unfavourable report on such behaviour so that he/she has an opportunity to make representations against it.

(k) Where a probationer's failings in respect of the criteria in (i) or (j) are sufficiently serious to justify consideration of non-confirmation of appointment the Head of Department must issue a warning in writing, after consultation with the Registrar on the precise wording to be used. A copy of any such warning shall be placed on the probationary record file.

(l) If a probationary member of staff is dissatisfied with a decision of the Senate not to confirm his/her appointment, or to extend his/her probationary period, or wishes to make a defence against a report or warning relating to his/her behaviour, he/she may make an appeal in accordance with the procedure set out at paragraph (10) below.

(m) A document setting out the University’s Regulations relating to probationary service shall be attached to the Conditions of Service for all academic staff appointed on probation.

(6) Promotion from Associate Professor to Associate Professor (Reader)

An Associate Professor (Reader) shall be conferred on candidates as a recognition of both:

(i) scholarly distinction;

(ii) a proven ability to provide leadership in their subject.

(a) Evidence of scholarly distinction must include outstanding contributions to internationally leading research and at least one of the following:

(i) authority in a significant field of knowledge

(ii) exceptional performance and proven excellence in teaching.

(b) Leadership may be demonstrated by:

(i) the effective promotion of research activity among members of staff and suitably qualified students;

(ii) the organisation and development of teaching in ways which have an impact beyond the institution.

In all cases, successful candidates should have a proven ability in teaching, even if they do not rely on element (a)(ii) above.

(i) an up-to-date curriculum vitae;

(ii) a list of publications;

(iii) the names of two external referees (see (d) below);

(iv) a detailed statement recommending the promotion, in accordance with the provision of paragraph 6(a) and (b).

(d) The Head of Department shall inform the member of staff that he/she is being recommended for promotion to Reader. In addition to the two referees nominated by the Head of Department, the member of staff shall have the opportunity to nominate two or more external referees; this shall not preclude the Committee from seeking additional references. All references shall be taken up by the Registrar on behalf of the Committee.

(e) It shall be open to the Academic Staff Committee to consult two External Assessors in cases where the Committee feels that this would be helpful. In such cases the Head of Department will be asked to nominate two persons who might be asked to serve as External Assessors and the complete documentation considered by the Committee (including the referees' reports) shall be sent to them for their views.

(f) Any Associate Professor (or Senior Lecturer) may ask the Registrar to submit his/her application for promotion to the grade of Reader to the Academic Staff Committee. Such applications, including a curriculum vitae, a list of publications and the names of two external referees, should be submitted not later than 30th September each year to take effect from 1st October of the following year. The Committee may then proceed as it considers fit, notwithstanding the provisions of paragraphs (a)-(e).

(g) Promotions from Associate Professorships (or Senior Lectureships) to Readerships shall not normally be considered until the third year of the individual’s appointment in the University. Moreover, it is normally expected that there shall be a three year gap between promotions; exceptional cases will need to be justified on the basis of work which was not considered at the time of the previous promotions.

(7) Promotion to Teaching Fellow, Senior Teaching Fellow and Principal Teaching Fellow

(a) Promotion to Teaching Fellow

Bids for promotion to Teaching Fellow should be submitted to the Director of Personnel for consideration by the Academic Staff Committee. The case should include a recommendation from the Head of Department and a teaching profile (including a personal statement by the candidate and a full portfolio of evidence).

Promotion to TF should be based on high quality teaching and demonstrable competence in teaching-related administration, meeting the following criteria:

(i) Contribution to learning and teaching at a departmental level, including the development of own teaching materials, methods and approaches in order to meet defined learning objectives;

(ii) Teaching performance is demonstrably high quality and has led to effective student learning, and this is attested to by a range of direct observers;

(iii) Teaching is informed by the candidate’s own discipline-based scholarship;

(iv) Professional development has taken place and continues;

(v) Teaching-related administration is competently handled.

Competence in these criteria should have been demonstrated over a sustained period.

(b) Promotion to Senior Teaching Fellow (Research II)

Bids for promotion to Senior Teaching Fellow should be submitted to the Director of Personnel for consideration by the Academic Staff Committee. The case should include a recommendation from the Head of Department, a full CV of the candidate, a teaching profile (including a personal statement by the candidate and a full portfolio of evidence) and the names of two referees.

Promotion to STF should be based on excellent teaching and demonstrable competence in teaching-related administration and management, meeting at least five of the following criteria:

(i) Teaching performance is demonstrably excellent and has led to effective student learning, and this is attested to by a range of competent others, including direct observers. The impact and value of the teaching may be recognised beyond the University;

(ii) Leadership in learning and teaching at a departmental level;

(iii) Teaching is creative and adaptable to changing circumstances and technologies, and may be innovative;

(iv) Teaching is informed by the candidate’s own discipline-based scholarship and may be informed by pedagogic research;

(v) Significant professional development has taken place and continues, and may include the professional development of others;

(vi) A contribution is made to the development and maintenance of teaching quality within and beyond the University;

(vii) A proven ability in departmental and/or University academic management and administration, which would normally include module/course leadership.

Excellence should have been demonstrated over a sustained period (normally at least three years).

Bids for promotion to Principal Teaching Fellow should be submitted to the Director of Personnel for consideration by the Academic Staff Committee. The case should include a recommendation from the Head of Department, a full CV of the candidate, a teaching profile (including a personal statement by the candidate and a full portfolio of evidence) and the names of four referees (of whom at least one must be external to the University).

Promotion to PTF should be based on excellent teaching and demonstrable competence in high level teaching-related administration and management, or departmental/institutional academic policy development, meeting at least five of the following criteria:

(i) Teaching performance is demonstrably excellent and has led to extremely effective student learning, and this is attested to by a range of competent others, including direct observers. The impact and value of the teaching is recognised beyond the University;

(ii) Leadership in learning and teaching institutionally or nationally;

(iii) Innovation in teaching approaches and methods, indicating a capacity for creativity and adaptability to changing circumstances and technologies;

(iv) Teaching is informed by the candidate’s own discipline-based scholarship and by pedagogic research, and a contribution may have been made to the research of the discipline;

(v) Significant professional development has taken place and continues, and includes the professional development of others;

(vi) A significant contribution is made to the development and maintenance of teaching quality within and beyond the University;

(vii) A high level of competence in academic management and administration, which would normally include degree-level leadership and management, or a significant responsibility for the development of academic policy or curricula within the department, or at University level;

(viii) Major contributions to other kinds of University and related activities, in particular to the creation and maintenance of the intellectual, cultural and social environment of the University and its standing and contribution to the life of the local, national and international community.

Excellence should have been demonstrated over a sustained period (normally at least three years at Senior Teaching Fellow or equivalent).

(8) Promotion to Research Fellow (Research Level 2), Senior Research Fellow (Research Level 3) and Principal Research Fellow (Research Level 4)

(a) Promotion to Research Fellow (Research Level 2)

Under the terms of the 1974 National Agreement for Research and Analogous Staff, no member of staff may remain in Level 1 for a total period in excess of six years. In addition, when a member of research staff has served twelve months on the maximum of Level 1 (grade 5), his/her position shall be reviewed to ascertain suitability for promotion to Research Level 2 (grade 6), and recommendations under this heading should be submitted under the Annual Review.

Upon the award of a PhD, a member of staff on Research Level 1 (grade 5) is automatically moved onto the Research Level 2 (grade 6) scale.

Bids for promotion to Research Fellow should be submitted to the Director of Personnel for consideration by the Academic Staffing Committee. The Vice-Chancellor may take Chair's Action if an urgent decision is required. The case should include a recommendation from the Head of Department, a personal statement from the candidate and a full CV in the correct format.

Criteria for Promotion to Research Fellow

(i) A proven ability in research;

(ii) Where the candidate does not have a PhD, evidence of experience equivalent to that of a PhD holder would be sought – i.e. some independent research and/or publications.

(b) Promotion to Senior Research Fellow (Research Level 3)

Bids for promotion to Senior Research Fellow (Research Level 3) should be submitted to the Director of Personnel for consideration by the Academic Staffing Committee. If an urgent decision is required, the case will be considered by the Vice-Chancellor and one member of the Committee from the appropriate Faculty. The case should include a recommendation from the Head of Department, a personal statement from the candidate and a full CV in the correct format.

Criteria for Promotion to Senior Research Fellow (Research Level 3)

(i) A proven ability and achievements in research, demonstrated by a good publications record or equivalent output;

(ii) A contribution to research grant applications.

Bids for promotion to Principal Research Fellow (Research Level 4) should be submitted to the Director of Personnel for consideration by the Academic Staffing Committee. If an urgent decision is required, the case will be considered by the Vice-Chancellor and one member of the Committee from the appropriate Faculty. The case should include a recommendation from the Head of Department, a personal statement from the candidate, a full CV in the correct format, and the names of two referees (at least one of whom should be external to the University). References will be sought in these cases.

Criteria for Promotion to Principal Research Fellow (Research Level 4)

(i) A proven ability and major achievements in research, demonstrated by a consistently high performance in research (at least equivalent to Associate Professor (or Senior Lecturer) standard)and a substantial record of publications or other research output;

(ii) A substantial contribution to research grant applications.

(9) Promotion from Research Fellow, Senior Research Fellow, Teaching Fellow or Senior Teaching Fellow to Associate Professor (or Senior Lecturer)

(a) The criteria for promotion to Associate Professor (or Senior Lecturer) shall be:

(i) A proven ability in research and/or scholarship;

(ii) A proven ability in teaching;

(iii) A readiness to undertake administrative and managerial tasks within and on behalf of the University;

(iv) Major achievements in research and/or scholarship;

(v) A consistently high level of achievement in research and/or scholarship;

(vi) Significant contributions to the quality of education and teaching;

(vii) Major contributions to other kinds of University and University-related activities, in particular to the creation and maintenance of the intellectual, cultural and social environment of the University and its standing and contribution to the life of the local, national and international community.

To qualify for promotion the requirements of (i), (ii) and (iii) above must be met, together with the requirements under at least one other heading. In principle, the more headings under which a case is made the stronger will be the case for promotion.

An additional route exists for Lecturers who are on teaching/administration-only contracts. The requirement to meet criterion (i) above is replaced by the following criterion:

(viii) A consistently high level of performance in teaching and related activities.

To qualify for consideration for promotion under this route, the requirements in (ii), (iii), (vi) and (viii) must be met.

(b) A recommendation for promotion to Associate Professor shall be supported by:

(i) An up-to-date curriculum vitae;

(ii) A list of publications;

(iii) The names of two external referees (see (c) below);

(iv) A detailed statement recommending the promotion in accordance with the provisions of paragraph 9(a).

(c) The Head of Department shall inform the member of staff that he/she is being recommended for promotion to Associate Professor. In addition to the two referees nominated by the Head of Department, the member of staff shall have the opportunity to nominate two or more external referees; this shall not preclude the Committee from seeking additional references. All references shall be taken up by the Registrar on behalf of the Committee.

(10) Procedure to be Followed in the Case of Adverse Recommendations in Regard to Confirmation of Appointment, or Granting Normal Annual Increments, or in any case where the Committee is unable to approve a Recommendation in regard to any of these Procedures from Heads of Department

(a) Responsibility for adverse decisions is delegated to the Committee.

(b) The Head of Department shall inform the member of staff at the same time that he/she submits an adverse recommendation. The adverse recommendation shall be in the form of a written statement setting out the grounds for the recommendation and the Registrar shall forward a copy of the statement to the member of staff.

(c) The member of staff shall have an opportunity to make representations to the Committee against the adverse recommendation. The representation shall take the form of a written submission and the member of staff shall have the opportunity to appear in person before the Committee.

(d) In the case of an adverse recommendation the member of staff may additionally submit the names of up to three referees in respect of any or all of the criteria specified in the relevant regulations concerning confirmation of appointment and progression to Level 8. The references shall be taken up by the Registrar.

(e) Before reaching a final decision on a recommendation the Committee may ask the Head of Department to amplify or clarify it either in person or in writing. In any case where the Committee finds itself unable to approve the Head of Department's positive recommendation either in its original or revised form it shall inform the Head of Department concerned and the member of staff concerned by means of a written statement of the grounds of its decision. The member of staff shall then have an opportunity of making representations to the Committee on the same basis and with the same procedures as if the adverse recommendation had been submitted by the Head of Department.

(f) Where the Committee makes an adverse decision in respect of confirmation of appointment on completion of probation the Committee shall resolve either:

(i) that the probationary period be extended by one additional year, but in no case may the total period of probation be more than six years; or

(ii) that the appointment be not confirmed.

(g) A member of staff may appeal to the Senate against the decision of the Committee on the grounds either that due procedure was not followed or that the member of staff is in possession of evidence that was not available to the Committee when it took its decision. The Senate shall then appoint an Appeals Committee which shall be chaired by the Vice-Chancellor.

(h) The appeal shall take the form of a written submission setting out the grounds of the appeal and any new evidence that was not available to the Academic Staff Committee when it made its decision. The member of staff shall have an opportunity to appear in person before the Committee. It shall be a matter for the Appeals Committee to determine whether the grounds for the appeal satisfy the criteria prescribed in paragraph (g) above.

(i) The decision of the Appeals Committee shall be final.

(j) If the member of staff chooses to appear in person before the Academic Staff Committee or the Appeals Committee of the Senate, he/she may be accompanied by another person (who may be a representative of the UCU) who may assist him/her in presenting his/her case. If the member of staff elects to appear in person at either stage, the Head of Department shall also have the right to appear in person, except in respect to the Appeals Committee when it is determining whether or not the grounds for the appeal satisfy the prescribed criteria.

(k) If the member of staff chooses to appear in person before the Academic Staff Committee or the Appeals Committee of the Senate the member of staff may ask that the Head of Department shall also be present.

(l) The Head of Department shall be given the opportunity to appear in person before the Committee, and shall attend if requested to by the Committee.

(11) Membership of the Academic Staff Committee

The membership of the Academic Staff Committee shall comprise the Vice-Chancellor (Chair) and fourteen members of the Professorial staff appointed by the Senate.

* The standard of performance in research would normally be the achievement of at least national excellence in RAE terms in their field.