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Research Staff Promotions Procedure

RESEARCH STAFF PROMOTIONS PROCEDURE

1 Introduction
2 Departmental and Faculty Selection and Submission Procedure
3 Direct Route cases
4 Criteria and process for promotion of Research Staff
4.1   Promotion to Research Associate grade 7
4.2   Promotion to Senior Research Associate grade 8
4.3   Promotion to Principal Research Associate grade 9 and Professorial Research Associate grade 10
5 Personal Circumstances
6 Funding for Promotion of Externally Funded Staff

In the event of queries please contact the HR Consultant in the HR Consultancy Team with responsibility for your department

1       Introduction

This document defines the procedures to be followed in applying for and the process followed in reaching decisions on proposals for the promotion to research grades. 

2       Departmental and Faculty selection and submission procedure

It has not been traditional at UCL for any formal procedure for selection of promotion candidates to be implemented at Departmental level.  However, every Head of Department should consider whether or not it would be appropriate to convene a yearly "Review Panel" consisting of senior members of the Department's staff, to ensure that all staff are considered and assessed as to whether or not they should be put forward for promotion that year.  Any such review panel should not use criteria more or less stringent or restrictive than those of the Academic Promotions Committee itself.

Please note that cases for promotion must be considered on merit and submitted independently of the availability of funding.

3       Direct route cases (self-proposals)

Every member of the research staff has the right to propose him or herself for promotion.  All members of the research staff will receive notification of the start of the annual promotion exercise at the same time as Heads of Department, together with appropriate instructions for preparing a self-proposal. In all respects, the procedure will be the same as that for departmentally proposed candidates except that the self-proposed candidate will deal directly with the Faculty Dean.

The Head of Department will have no direct role to play but will, however, be informed by the Dean that the self-proposal has been made. 

4       Criteria and process for promotion of Research Staff

Consideration of proposals for promotion involves primarily assessing achievement in research, i.e. contribution to the advancement of a subject by research and scholarship (defined as commitment to the synthesis of knowledge and continued learning in a broad field), or by equivalent creative and/or knowledge transfer/exchange activity.

In addition, but not mandatory, support can be gained from the individual's contribution to the Department.

All criteria in the individual grades will not be met by all candidates but will be dependent on the subject area of research.

4.1    Promotion to Research Associate (grade 7)

Criteria:

The level of responsibility and the range of duties in this grade are at least equivalent to the activities in research, scholarship and knowledge transfer/exchange activities, which would be expected of a Lecturer.  The work involved should be of such a nature likely to produce independent, original contributions to the subject area.  Support for promotion would be gained if the candidate carried responsibility for supervising other staff in grade 6 and/or technical staff.

Process:

HR Consultancy will also write annually to the Head of Department to indicate those individuals whose grade should be reviewed, using the relevant criteria, as follows:

In any case where the regrading is not supported, the individual should be informed of the reason for remaining on grade 6 and a written report should be forwarded to HR Consultancy.

Specification of material to be provided by the candidate to the Head of Department:

The Head of Department should then assess the case using the criteria above. Once agreed, s/he should write to HR Consultancy requesting formal confirmation of the promotion. When financial approval has been verified (for grant funded cases), Human Resources will send a new contract to the individual and arrange for payroll action to be taken.

4.2       Promotion to Senior Research Associate (grade 8)

Criteria:

The candidate would be expected to have gained an independent research reputation, with evidence of national recognition of achievement within the appropriate subject area. The candidate should also show evidence of completed research, which has been published, as well as a suitable publication record, as well as evidence of knowledge transfer/exchange activities.  In addition, the candidate would be expected to demonstrate potential in some or all of the following areas:-

Process:

HR Consultancy will also write annually to the Head of Department to indicate those individuals whose grade should be reviewed using the relevant criteria (above) as follows:

In any case where the regrading is not supported, the individual should be informed of the reason for remaining on grade 7 and a written report should be forwarded to the HR Consultancy Team.

Specification of material to be provided by the candidate to the Head of Department:

The Head of Department should then assess the case using the criteria above.  Once agreed s/he should write to HR Consultancy requesting formal confirmation of the promotion. When financial approval has been verified (for grant funded cases), Human Resources will send a new contract to the individual and arrange for payroll action to be taken.

4.3       Promotion to Principal or Professorial Research Associate (grade 9 or 10)

Criteria:

The criteria for promotion to Principal Research Associate or Professorial Research Associate are laid down in Promotions Annexure A: Criteria for the Promotion to Senior Grades

Individuals successful in application for promotion to Professorial (grade 10) level should be aware of UCL’s expectations of staff at this level.  These expectations are detailed in a set of agreed competencies which can be found here.

Process:

Proposals for promotion to the senior research staff grades are incorporated into the annual Senior Promotions exercise.

The Senior Promotions Process Document defines the process to be followed, the criteria that will be used in reaching decisions on the proposals, and the timetable for the complete exercise.

5       Personal circumstances

In order that consideration can be give to all relevant factors, candidates are encouraged to indicate any individual circumstances that may have affected their output. Candidate’s may be disadvantaged if they don’t disclose these details, however specific details do not have to be described (e.g. don’t have to describe a disability). A range of personal circumstances can be taken into account, some examples are as follows:

This is not an exhaustive list.  If candidates have any personal circumstances which they consider to have had an impact on their output these should be detailed in the CV.  Invitations (to supervise students or give talks for example) which could not be taken up should also be clearly listed under the relevant section in the CV.

For further advice on this candidates and Heads of Departments should contact the HR Consultancy Team.

6       Funding for promotion of externally funded research staff

It has been agreed by the Academic Promotions Committee that promotion for externally funded research staff will be dependent upon funding being available.  This would usually mean a case being made by the grant holder to the appropriate research council or grant giving body requesting that further funding be made available.  It is envisaged that such cases will be stronger from being reviewed through an internal promotions procedure.

HR Policy and Planning

November 2009