***Amendments to Regulation 4 were last confirmed by the University Council at its meeting on 9 October 2019. The version detailed below is not yet the version that the Council confirmed at the aforementioned meeting, to take effect on 30 October 2019. The Regulation will be updated accordingly when a related Policy has been approved***

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

(1) Membership of the Academic Staff Committee

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

(2) Departments shall conduct a Review of academic staff, teaching staff and research staff (in all grades below the level of Professor) and shall, where appropriate, submit recommendations to the Academic Staff Committee.

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

(a) confirmation of the appointment of academic staff from Assistant Professor to Associate Professor on satisfactory completion of the period of probation following decision by the Probation Review Group;

(b) promotion to Reader;

(c) promotion to Teaching Fellow, Senior Teaching Fellow and Principal Teaching Fellow;

(d) promotion to Research Fellow, Senior Research Fellow and Principal Research Fellow;

(4) The Head (or Acting Head) of a Department shall be responsible for making recommendations to the Committee in accordance with the Academic Promotion guidelines issued annually.

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

(a) Every appointment to the grade of Associate Professor 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) The period of probation shall normally be five years from initial appointment.

(c) Where a new member of staff has previously served in a United Kingdom university, such service may be taken into account by the Chair of the Selection Panel who will confirm whether the probationary period should be waived or shortened as appropriate.

(d) 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 confirm that probation should be waived or shortened as appropriate.

(e) The Registrar shall require HR to maintain an individual probationary record file on each member of staff appointed on probation, a copy of which shall be made available to the probationer if requested.

(f) The Head of Department shall designate one or more senior members of 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.

(g) During the probationary period of service every member of staff will be required to undertake the University’s Postgraduate Certificate in Academic and Professional Practice (PCAPP) unless an exemption is otherwise agreed, and complete a series of mandatory induction workshops.

(h) Heads of Department shall be asked by the Probation Review Group for a written report annually on each probationary member of staff. (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).

(i) Each academic probationer shall be considered by the Probation Review Group 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 Group may also consider recommendations for early completion of probation in advance of the date set by the original selection panel. The recommendation for early completion must state the justification for the appointment to be confirmed exceptionally before the expiry of the normal probationary period.

(j) A positive recommendation from 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 below (being aligned with the principal accountabilities set out in the role profile for an Associate Professor):

(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 he/she has begun to and will fully 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 he/she 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 he/she 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.

(k) Where a probationer's failings in respect of the criteria in (j) above are sufficiently serious such that a recommendation of non-completion of probation is considered appropriate by the Head of Department he/she must set out, in writing, a full and detailed explanation recommending why completion should not be confirmed. A letter will be issued to the probationer from the Director of Human Resources, after consultation with the Registrar or the Registrar’s representative notifying them of the adverse recommendation and the procedure to be followed.

(l) In any case where the Probation Review Group finds itself unable to approve the Head of Department's positive recommendation it shall inform the Head of Department concerned and the member of staff concerned by means of a written statement of the reasons for its decision. The member of staff shall then have an opportunity of making representations to the Probation Review Group on the same basis and with the same procedures as if the adverse recommendation had been submitted by the Head of Department as outlined in paragraph (6) below.

(m) If completion of probation is not confirmed after five years, a probationer will be given a sixth and final year of notice.

(n) The University accepts that some forms of behaviour, if proven, which harm the capability, good order or morale of a department or the University, may constitute a proper reason for not confirming or continuing a probationary appointment and would be dealt with outside of the probationary process. A probationer and the Probation Review Group shall be made aware, by the Head of Department, of any sanction issued that may impact on the probationary process.

(o) 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 in paragraph (6) below.

(6) Procedure to be Followed in the Case of an Adverse Recommendation in Regard to Confirmation of Appointment

(a) Responsibility for decisions on adverse recommendations is delegated to the Probation Review Group by the Academic Staff 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 reasons for the recommendation and the Director of Human Resources shall forward a copy of the statement to the member of staff with a covering letter, explaining the process.

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

(d) 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. The references shall be taken up by the Registrar or the Registrar's representative.

(e) Before reaching a final decision on a recommendation the Probation Review Group may ask the Head of Department (or his/her representative) to amplify or clarify his/her statement either in person at the meeting of the Probation Review Group, or in writing.

(f) Where the Probation Review Group makes or confirms an adverse decision in respect of confirmation of appointment to Associate Professor on completion or early completion of probation it shall, on the delegated authority of the Academic Staff Committee, resolve either:

(i) that the probationary period, where less than five years, be extended; or

(ii) that the probation period, if subject to lengthy periods of regulated absence under University policies on maternity, paternity, adoption, sickness etc., be extended; or

(iii) that the probationer be issued with a final year’s notice.

In no case may the total period of probation (excluding regulated absence under University policies on maternity, paternity, adoption, sickness etc.), be more than five years with a sixth and final year’s notice.

(g) A member of staff may appeal to the Senate against the decision of the Probation Review Group 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 Probation Review Group when it took its decision. The member of staff must confirm whether he/she is going to appeal the decision within 28 days of notice of the decision of the Probation Review Group.

(h) The Senate shall appoint an Appeals Committee, which shall be comprised of the Vice-Chancellor, a relevant Faculty Chair or Deputy Faculty Chair or someone of equal standing, and a further Head of Department. The Vice-Chancellor will Chair the Appeals Committee.

(i) 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 Probation Review Group when it made its decision.

(j) The Appeals Committee will also request a statement from the relevant Head of Department, a copy of which will be forwarded to the member of staff.

(k) The Appeals Committee shall consider the written submission firstly at a pre-Appeal Hearing to determine whether grounds for an appeal exist as outlined in paragraph (g) above.

(l) If the Appeals Committee determine grounds for an appeal exist, the appeal will go to a full Appeal Hearing, and the member of staff shall be informed of this with not less than 14 days’ notice of the date and the arrangements for the Appeal Hearing. At the Appeal Hearing the member of staff will have an opportunity to appear in person before the Appeals Committee to present his/her case. It shall be a matter for the Appeals Committee to determine whether the appeal shall be upheld.

(m) If the member of staff chooses to appear in person before the Appeals Committee, he/she may be accompanied by a trade union representative or a work colleague who may assist in presenting his/her case.

(n) At any stage of the Appeals process (including pre-hearing) the Appeals Committee may request a statement from relevant witnesses, copies of which will be provided to the member of staff.

(o) The Appeals Committee may ask the relevant Head of Department, or any other witness, to attend the Appeal Hearing for clarity of evidence. The member of staff will have the opportunity to be present while the Head of Department or any other witness is being questioned by the Appeals Committee.

(p) At the conclusion of the Hearing, the Appeals Committee will retire to consider its decision which will be issued in writing as soon as possible thereafter.

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

(7) Promotion from Associate Professor to Reader

Bids for promotion to Reader should be submitted to Human Resources, for consideration by the Academic Staff Committee

Promotion to Reader shall be conferred on candidates as a recognition of both scholarly distinction and 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.

A case for promotion to Reader should include:

• • A formal recommendation of the case, in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal, by the candidate);
  • A personal statement prepared by the candidate, outlining why they consider it appropriate for promotion to be considered at the present time, including a section on the academic activity felt to be the most relevant to the case for promotion;
  • An up-to-date curriculum vitae, including a list of publications in the approved style;
  • The names of two external referees nominated by the Head of Department

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 should also nominate two further external referees; this shall not preclude the Committee from seeking additional references. References shall be taken up by the Registrar or Registrar's representative on behalf of the Committee.

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.

Promotions from Associate Professor to Readers 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.

(8) 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 Human Resources for consideration by the Academic Staff Committee.

A case for promotion to Teaching Fellow should include:

• • a formal recommendation of the case in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal by the candidate);
  • an up-to date Curriculum Vitae in the approved style;
  • a teaching profile (including a personal statement by the candidate and a full portfolio of evidence).

Candidates should demonstrate a broad understanding of effective approaches to teaching and learning support as key contributions to high quality student learning.

Individuals should be able to provide evidence of:

(i) Successful engagement across all six Areas of Activity (A1-A6)*, and teaching performance which is demonstrably high quality and has led to effective student learning.

(ii) Appropriate subject knowledge and understanding.

(iii) Successful engagement in continuing professional development in relation to teaching, learning, assessment and, where appropriate, related professional practices.

(iv) Successful incorporation of subject and pedagogic research and/or scholarship within the above activities, as part of an integrated approach to academic practice.

(v) Teaching-related administration which is competently handled.

Competence in these criteria should have been demonstrated over a sustained period since appointment at Warwick or previous promotion.

(b) Promotion to Senior Teaching Fellow

Bids for promotion to Senior Teaching Fellow should be submitted to Human Resources for consideration by the Academic Staff Committee.

A case for promotion to Senior Teaching Fellow should include:

• • a formal recommendation of the case in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal by the candidate);
  • an up-to date Curriculum Vitae in the approved style;
  • a teaching profile (including a personal statement prepared by the candidate and a full portfolio of evidence) and;
  • the names and addresses of two referees nominated by the candidate.

Candidates should demonstrate a thorough understanding of effective approaches to teaching and learning support as a key contribution to high quality student learning, demonstrable competence in teaching-related administration and management.

Individuals should be able to provide evidence of:

(i) Successful engagement across all six Areas of Activity (A1-A6)*, that demonstrates impact beyond own teaching practice and demonstrates leadership in learning and teaching at a departmental level which contributes to improving the quality of teaching within the department. Value of the teaching may be recognised beyond the University.

(ii) Successful incorporation of subject and pedagogic research and/or scholarship that not only improves own professional practice but contributes to teaching and learning practices within the department.

(iii) Successful engagement in both colleagues’ and own continuing professional development in relation to teaching, learning, assessment, scholarship and, as appropriate, related academic or professional practices.

(iv) Successful co-ordination, support, supervision, management and/or mentoring of others (whether individuals and/or teams) in relation to teaching and learning.

Excellence should have been demonstrated over a sustained period (normally at least three years) since appointment at Warwick or previous promotion.

* Areas of activity as defined by the UK Professional Standards Framework for teaching and supporting learning (UKPSF)

A1. Design and plan learning activities within the institution or through WP/outreach and/or programmes of study

A2. Teach and/or support learning within the institution or as part of WP/outreach

A3. Assess and give feedback to learners/aid learners in their development

A4. Developing effective learning environments and approaches to student/prospective student support and guidance

A5. Engage in continuing professional development¹ in subjects/disciplines and their pedagogy² , incorporating research, and/or scholarship and the evaluation of professional practices

A6³. Teaching related Administration is competently handled

¹ The framework recognises the diverse approaches to professional development and the development of effective approaches to enhance the student experience.

² Pedagogy encompasses the theory, practice and skills associated with teaching and learning.

³ A6 is specific to the University of Warwick.

(c) Promotion to Principal Teaching Fellow

Bids for promotion to Principal Teaching Fellow should be submitted to Human Resources, for consideration by the Academic Staff Committee.

A case for promotion to Principal Teaching Fellow should include:

• • a formal recommendation of the case in terms of the promotion criteria, written by from the Head of Department (or in the case of a self-proposal, by the candidate);
  • an up-to date Curriculum Vitae in the approved style;
  • a teaching profile (including a personal statement prepared by the candidate and a full portfolio of evidence);
  • the names and addresses of of four referees (of which at least one must be external to Warwick).

Candidates should demonstrate active commitment to and championing of all dimensions of teaching and learning, through work with students and or staff, and in institutional developments.

Individuals should be able to provide evidence of:

(i) Successful strategic leadership to enhance student learning, with a particular, but not necessarily exclusive, focus on enhancing teaching quality in institutional, and/or (inter)national settings.

(ii) Significant contributions to the establishment of effective organisational policies and/or strategies for supporting and promoting others (e.g. through mentoring, coaching) in delivering high quality teaching and support for learning.

(iii) Championing, within institutional and/or wider settings, an integrated approach to academic practice (incorporating, for example, teaching, learning, research, scholarship, administration etc).

(iv) A sustained and successful commitment to, and engagement in, continuing professional development related to academic, institutional and/or other professional practices.

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

(9) Promotion to Research Fellow, Senior Research Fellow and Principal Research Fellow

(a) Promotion to Research Fellow

Where a member of staff has been appointed at Level 5 (Research Assistant) and the post had originally been advertised as Level 6 (Research Fellow), promotion to Level 6 is automatic upon evidence of the award of a PhD.

Where a member of staff has been appointed to an advertised Level 5 (Research Assistant) post, promotion to Level 6 (Research Fellow) would be via the annual review process.

Bids for promotion to Research Fellow should be submitted to Human Resources for consideration by the Academic Staff Committee.

A case for promotion to Research Fellow should include:

• • a formal recommendation of the case in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal by the candidate);
  • a personal statement from the candidate;
  • an up-to-date Curriculum Vitae in the approved style.

The criteria for promotion to Research Fellow are as follows:

(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

Bids for promotion to Senior Research Fellow should be submitted to Human Resources for consideration by the Academic Staff Committee.

A case for promotion to Senior Research Fellow should include:

• • a formal recommendation of the case in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal by the candidate);
  • a personal statement from the candidate;
  • an up-to-date Curriculum Vitae in the approved style.

The criteria for promotion to Senior Research Fellow are as follows:

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

(ii) A contribution to research grant applications.

(c) Promotion to Principal Research Fellow

Bids for promotion to Principal Research Fellow should be submitted to Human Resources for consideration by the Academic Staff Committee.

A case for promotion to Principal Research Fellow should include:

• • a formal recommendation of the case in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal by the candidate);
  • a personal statement from the candidate;
  • an up-to-date Curriculum Vitae in the approved style;
  • the names and addresses of two referees (of which at least one must be external to Warwick).

The criteria for promotion to Principal Research Fellow are as follows:

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

(ii) A substantial contribution to research grant applications.

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

(a) The criteria for promotion to Associate Professor are as follows:

(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.

The Academic Staff Committee is happy to consider recommendations for promotion based on teaching excellence and therefore welcomes proposals where the additional evidence relates primarily to Criterion (vi).

(b) A case for promotion to Associate Professor should include:

(i) A formal recommendation of the case for promotion in terms of the promotion criteria, written by the Head of Department (or in the case of a self-proposal, by the candidate);

(ii) A personal statement by the candidate;

(iii) An up-to-date curriculum vitae in the approved style;

(iv) The names and addresses of two external referees (see (c) below).

(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.