The following points have been raised by the Task and Finish Group regarding performance criteria:

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1 Performance criteria 1. Comments from T & F Group The following points have been raised by the Task and Finish Group regarding performance criteria: - Management of the University agreed to use a Balanced Scorecard approach applied to evaluating performance. However, there is no guidance available on how to apply this approach, approaches seem to differ, and the formal guidance refers solely to minimum standards - Current targets need revision to bring them up to date. - There has been much criticism about the 5 year requirement for securing research funding consistent with the College s FTE income target. - When applying a Balanced Scorecard approach the question arises- to what extent should a lack of experience/evidence in one core activity be compensated by greater achievement in another. - What criteria should be used for probation that can be used for assessment within 2/3 years? (research income or quality of applications, research publications, teaching competence, etc.)? - Can we tailor targets to their specific circumstances (eg recognising that if a new Lecturer brings a grant with them, they may not undertake any teaching in their first year)? - What criteria should be used for promotion, and if a Balanced Scorecard approach is to be used what are the core elements? - Should peer assessment be taken into account in assessing probation/ promotion in recognition of the fact that academics are increasingly operating in teams. - What is the place of student assessments in such teams? - Targets need to be equitable and transparent. - The University should allow a flexible approach with broad guidelines which could be adapted across and between disciplines and by exercising management judgements. - Rather than research income the target could be X number of high quality applications which fitted into the research programme for the individual. From these comments it is clear that revised criteria need to be developed for Lecturer probation and promotion to Senior Lecturer. This could involve a distinction between probation (where a set of minimum criteria would need to be met), and promotion (where a Balanced Scorecard approach could be adopted) 2. Current approach at Exeter Typically a HE academic probation scheme involves a review process (annually as a minimum) against pre-determined performance criteria and completion of specific professional development programmes (such as Professional Certificates in Teaching) and mandatory training. University of Exeter current Career Pathway guidance sets out the following criteria for Lecturers in Education and Scholarship to be assessed within the 12 month probation period:

2 Teaching Practice Demonstrate appropriate depth or breadth of specialist knowledge related to their discipline to teach at a range of levels and on a range of modules Teach and support learning using a wide range of approaches and modes of delivery, which are appropriate to a range of different modules and students Take responsibility for design and delivery of high quality learning materials across a range of modules, to include online resources Show evidence of formal peer review indicating very good teaching practice; achieve very good MACE scores and demonstrate other evidence of good student feedback Demonstrate clear engagement in CPD in relation to teaching and learning and a commitment to professional values. Student/Staff support Perform the role of personal tutor, dealing with straightforward student issues Work collegially with your teaching team/support staff and others within the discipline and college. Mentor GTAs as appropriate Develop effective learning environments and approaches to student support and guidance. Management and course/education management Demonstrate capacity to be a sole or joint module lead for either a complex team-taught module or several individual modules Manage all administrative and student related matters within the scope of their teaching. Take an active role in student recruitment activities. Scholarship, esteem and communications Demonstrate scholarship by synthesising subject knowledge into a format that is accessible to students evidenced by the production of high quality teaching and assessment ideally over a range of levels. Demonstrate development of pedagogical understanding within subject evidenced by evaluation and review of module content on an annual basis. Show evidence of initiative, creativity and judgement in applying appropriate approaches to teaching and learning support and scholarly activities, responding to pedagogical and practical challenges. Disseminate good practice within teaching team and / or college. External affairs Take an active part in school/college open days/visits and other external WP activities at Exeter (with external facilitators) Participate in appropriate Teaching and Learning events at Exeter (with external facilitators) and/or external to the University.

3 Attend local/regional group/committee/discipline meetings (where your attendance has a positive contribution to your role/practice at the University. Qualifications Staff at this level are expected to achieve PCAP or equivalent and Fellow of HEA within 2 years of appointment (pro-rata for part-time staff). This should be a minimum requirement for all University teachers at this level and above. In the Education and Research Career Pathway the following expectations are to be met by the end of 3 years ( i.e. the interim stage of assessment during PDP). These criteria are discipline specific. The example given relates to the Humanities Stream: Research Either OR Teaching Complete a monograph or equivalent and submit to a recognised academic (or appropriate ) publisher Publication (or acceptance for publication) of at least two research articles (single authored or first authored) in journals agreed with the College Director of Research (DoR) Presentation of at least one piece of work developed at the University of Exeter at a major academic conference. Receive satisfactory peer and student feedback with evidence of excellence in some areas. Undertake University development programme. Take part in requisite design, review and QA processes. Increase teaching commitments to college average Business and Community Relations Initiate and participate in outreach activities in accord with the University s external affairs and international strategies as indicated in the College plans. Management and Administration Make and effective contribution to management and administration within the College. The question is whether current criteria are sufficiently clear and robust to be applied to a probation period for this group of staff to ensure that minimum standards are met. 3. Sector Best Practice Research into practice in other institutions identified a number of HEIs who are reviewing their probation arrangements e.g. looking at the length of probation, reviewing benchmarks, and the common approach that probation seeks to ensure that newly appointed lecturers meet minimum standards for a lecturer role by the end of their probation period. It is clear that there is great

4 emphasis on ensuring that setting specific targets as criteria for probation and promotion should be locally determined and appropriate to the discipline. Three examples of minimum requirements stated for Lecturers ( in Job Families equivalent to E&R) elsewhere are as follows: University College London- By the end of the probationary period the Lecturer will be able to: 1. Demonstrate independence and originality of their research programme(s). This could include sustained quality output in peer reviewed international journals- or other scholarly outputs of quality as appropriate to their fieldsuccessful applications for research grants and the ability to manage a research team (where appropriate to discipline). 2. Demonstrate that they have developed a scholarly and reflective approach to teaching, i.e. the ability to reflect critically on their teaching and on the effectiveness of their students learning, including research-led teaching, the use of learning technologies and the many student-focussed teaching methods (peer- assisted learning, problem based teaching, learning-oriented assessment, etc ) Probationary Lecturers and Research Fellows who have little or no experience of teaching in higher education prior to joining UCL are expected to complete 30 credits of the Professional Certificate in Teaching and Learning in Higher and Professional Education which is taught by the Institute of Education and funded by CALT, or if appropriate and with the authorisation of the Head of Department, a course in another HE institution. The Probationary Lecturer should also attend a mandatory briefing session on PhD supervision run by the UCL Graduate School. A mandatory e-learning module Diversity in the workplace must be completed within the first 6 weeks of joining UCL. Queens University Belfast- Their Academic Profile sets out Key Indicators which will be used in deciding whether Probation has been passed. A note is included as a reminder that they are not intended to be a checklist. Research The required standards for the school/subject area to be specified locally. Evidence of sufficient volume and quantity of research output for REF return (including research undertaken since appointment ) having regard to the REF Cycle.* Competitive external funding applied for and/or attained as appropriate to subject area.* Research presentations at conferences.* Developing high quality outputs.* PhD obtained.* Education Evidence of Professional Development- PGHET or equivalent or for those with experience have membership of HEA

5 Completion of 1 day workshop on Supervising Research Students * Attendance at relevant courses for learning and teaching. Contribution- contributes appropriately through breadth or range of modules/levels to the teaching load of the unit. Student experience as defined in Education Strategy Performance Evidence of good student and / or peer evaluations* Teaching awards Administration and/or contribution to the Community Routine school administrative /curricular tasks. Evidence of community contributions *Essential to pass probation, subject to terms specified in the letter of appointment. Royal Holloway College, University of London Successful completion of probation will depend on a member of staff demonstrating at least satisfactory performance in research, teaching and service and having attended and passed staff development activities as determined by the College. These will be laid out in the formal offer of employment but will include: Completion of the College CAPITAL programme (subject to the caveat below); Meeting specified publication targets (Appendix 1); Meeting specified research application and third stream activity targets; Obtaining at least satisfactory evaluations of teaching activities, as obtained through student surveys and peer observation; and Demonstration of the ability to undertake relevant administrative tasks Specific requirements for the successful completion of probation will be agreed between the Chair of the Appointment Panel, the Dean of the Faculty, the Head of Department and the appointee. These will be guided both by the priorities of the College and the disciplinary norm. Where new appointees already have significant teaching experience or qualifications and seek partial or complete exemption from CAPITAL, they should meet with the Head of Department and the Director of the EDC. Where it is agreed that a probationer is not required to complete CAPITAL then Personnel should be notified. The Vice-Principal for Academic Affairs is responsible for making the final decision regarding exemption from CAPITAL should there be any dispute. Others are currently reviewing probationary arrangements. For example: University of Leeds Leeds are currently reviewing their probation arrangements which are already separate to their promotion arrangements. They are providing more material on objective setting and expect probation criteria to be minimum benchmarks. They are encouraging a SMART approach to Objective setting, with a focus on academic requirements but also to include interdisciplinary working attributes and demonstrating the values and expected behaviours of the University.

6 University of Sheffield Sheffield are creating a more formal performance framework, managed centrally but applied locally to reflect differences between disciplines. They currently operate a probationary period of three full academic sessions for lecturers. The Chair of the Appointment Committee, which includes the Head of Department, recommends the length of the probationary period and may at their discretion recommend a lesser period if evidence can be provided that a candidate has successfully discharged part or all of a probationary period in another University in an equivalent academic post. The period of probation will be stated in the letter of appointment. Objectives during probation are locally determined and at the end of the probationary period the Head of Department will recommend to the Faculty Pro-Vice-Chancellor either confirmation of the Lecturer's appointment, or that the appointment is not confirmed. Summary The development and revision of performance criteria for probation and promotion will be an essential core activity when de-coupling probation from promotion. A consultation exercise should be conducted within Colleges to take this forward.

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