Promotion Procedure for Senior Academic Professional Staff

Promotion Procedure for Senior Academic Professional Staff Procedure Contents 1 2 3 4 5 6 7 Introduction 1 Procedure 1 2.1 Promotions to Senior Lecturer, Reader and Professor and to Grade 10 in other Academic Professional Categories 1 2.2 Transfer to the Academic Staff Category 2 2.3 Emeritus Professor Appointments 2 Process 2 Responsibilities 4 4.1 Candidate 4 4.2 Head of Department/School 4 4.3 Executive Dean 4 4.4 Human Resources 5 4.5 Principal 5 4.6 The Ordinance 4.2 Committee 5 Academic Professional Appointments Panel Constitution 5 5.1 Members 5 5.2 In Attendance 5 Ordinance 4.2 Committee Construction 6 6.1 Members 6 Appendix A: Appeals Against a Decision not to Grant Promotion to Senior Lecturer 6 Author(s) Published Sandra Heidinger Jan-16

Promotion Procedure for Senior Academic Professional Staff Procedure 1 Introduction To ensure consistency of approach in Academic promotions, the arrangements for consideration of cases for promotion to Senior Lecturer, Reader and Professor have been brought together and rationalised under this procedure. This procedure also provides a mechanism for the consideration of cases of transfers to the Academic staff category at Senior Lecturer level (Grade 9) and above for staff whose posts are currently assigned to a staff category other than Academic. This procedure also provides a mechanism for the regrading of posts to Grade 10 within the Research, Teaching and Knowledge Exchange staff categories i.e. for regrading to Principal Research Fellow, Principal Teaching Fellow or Principal Knowledge Exchange Fellow. In addition, this procedure defines how cases for the conferment of Emeritus Professor status will be considered. The Academic Professional Appointments Panel (APAP) will meet twice a year, normally in March and October, to consider cases made under the terms of this procedure. It should be noted that cases for promotion/advancement from the Lecturer A to Lecturer B grade and transfers to the Academic staff category at Lecturer level (Grades 7 & 8) sit outwith this procedure and are dealt with by the Faculty Review Panels (Early Career Academic Staff) in accordance with the relevant criteria. It should also be noted that appointment/re-appointment of Visiting Professors, are considered by the Vice Principal and Director of Human Resources on the recommendation of the Executive Deans. Cases for regrading below Grade 10 of the Research, Teaching and Knowledge Exchange staff categories will be considered through the Regrading Procedure for Non-Academic staff. These procedures do not apply in the case of internal candidates being considered for an advertised vacancy. 2 Procedure 2.1 Promotions to Senior Lecturer, Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor The procedure for internal promotion to the Academic staff grades of Senior Lecturer, Reader and Professor and for Grade 10 within the other Academic Professional staff categories involves five stages if a promotion is to occur: 1. The submission of a written case for promotion by the candidate s Head of Department/School to the Executive Dean. 2. Consideration of the written case by the Faculty (Executive Dean and two Vice Deans) to determine whether it should be referred to the Academic Professional Appointments Panel (APAP). 3. Consideration of the written case by APAP resulting in a decision that External Assessors views should be sought (Reader, Principal Research Fellow, Principal Teaching Fellow, Principle Knowledge Exchange Fellow and Professor), that promotion is approved (Senior Lecturer) or that the case should not progress. Promotion Procedure for Senior Academic Professional Staff: Procedure 1

4. In the case of promotion to Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow or Professor, consideration by an appropriately constituted Ordinance 4.2 Committee, informed by External Assessors views, in order that a final decision on promotion can be made. 5. Outcome letter issued to the candidate by Human Resources. 2.2 Transfer to the Academic Staff Category The procedure for transfer to the Academic staff grades of Senior Lecturer, Reader and Professor without advertisement involves the stages outlined above. APAP will be remitted to make decisions on suitability for transfer to the grade of Senior Lecturer and will consult External Assessors in relation to transfer to Reader or Professor, with decisions being made by an appropriately constituted Ordinance 4.2 Committee. In cases of re-categorisation, APAP may, at its discretion, require that the suitability of the candidate is further considered through interview by an appropriately constituted Ordinance 4.2 appointment panel in order to verify the candidate s ability to satisfy the criteria for the relevant grade. It may also be relevant to apply a probationary period as per the normal procedures for a new Academic staff appointment. Transfers to the Academic staff category at Lecturer level will normally be considered by the appropriate Faculty Review Panel (Early Career Academic Staff). Cases for transfer from the Academic staff category to another University staff category, will normally be considered under the terms of the Regrading Policy (Research, Teaching, Knowledge Exchange, APS, Technical and Operational). 2.3 Emeritus Professor Appointments The Executive Deans should discuss with their Heads of Department/School whether retiring Professors should be considered for Emeritus Professorship. The Executive Deans will be invited to make recommendations with respect to the possible conferment of the title Emeritus Professor. Recommendations will be made on the relevant form and will make clear the strategic benefits to the University of a continuing relationship with the individual. Such recommendations for conferment of the title Emeritus Professor shall be forwarded in writing to Human Resources for consideration by the Academic Professional Appointments Panel. The Panel shall make a decision on each recommendation. Recommendations approved by the Panel shall be passed to Senate for consideration and thereafter to Court for approval. Human Resources shall write, on behalf of Court, conferring the title Emeritus Professor. Where appropriate, Human Resources shall write separately to individual Emeritus Professors confirming any other arrangements that have been made with respect to that individual s continuing relationship with the University. 3 Process Twice a year, Heads of Department/School will be advised that nominations can be made for internal candidates for promotion to Senior Lecturer, Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow or Professor and noting that any cases for transfer to the Academic staff category at Senior Lecturer and above may also be considered. 1. The Head of Department/School will submit to the Executive Dean a case for promotion/recategorisation that will include: An up-to-date CV of the candidate The candidate s most recent ADR Review Record Form Promotion Procedure for Senior Academic Professional Staff: Procedure 2

A recommendation supplied by the Head of Department/School. This recommendation should be included in Section B of the Senior Academic Professional Promotion Recommendation Form. For Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor cases, a statement compiled by the candidate in support of his/her application Names and contact details of suggested External Assessors (six for Reader, Principal Research Fellow, Principal Teaching Fellow or Principal Knowledge Exchange Fellow and seven for Professor, including two or three names respectively nominated by the candidate). Cases for promotion/re-categorisation to Senior Lecturer do not require external assessment. Exceptionally, a candidate may submit a case for promotion/re-categorisation to Senior Lecturer, Reader or Professor directly to the Executive Dean of the Faculty for consideration; such a case will contain a CV, the most recent ADR Review Record Form, a statement provided by the candidate in support of his or her application and names of two External Assessors for Reader, or three for Professor. Such a personal case can also be made, on the same basis, for promotion to Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow. 2. The Executive Dean and two Vice Deans will meet to review submissions, carefully vetting every case against the relevant criteria to ensure consistency. Thereafter, the Executive Dean will: a) submit a written recommendation to the Academic Professional Appointments Panel using the relevant template, if the submission is supported. b) where relevant provide the names of the recommended assessors (six for a Readership or equivalent level Research, Teaching or Knowledge Exchange role, in total, and seven for a Professorship). These names must include those nominated by the candidate, who should be clearly identified, and should include others recommended by the Department/School and the Faculty in order to ensure an overall balance of expertise and an appropriate spread of international esteem. c) provide feedback to the candidate if the nomination is rejected, including information that the candidate has the right to make a personal submission to APAP. (The composition of APAP will not include the Executive Dean when deciding upon a personal submission.) 3. APAP will normally be convened in March and October each year and will be remitted to take decisions on cases for Senior Lecturer and to determine whether cases for internal promotion to Readership, or its equivalent level Research, Teaching or Knowledge Exchange role, or Professorship merit being submitted to external assessment. If a recommendation for Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow or Professor is accepted by APAP, the formal process of external assessment will be initiated. The Director of HR will convene a meeting with the Principal as soon as possible after the APAP meeting and select a set of external assessors to be approached from the nominations. The Executive Deans of Faculty will then write to the assessors seeking their response within a month. Where APAP approve a promotion/re-categorisation to Senior Lecturer, HR will confirm their decision in writing to the candidate and the promotion/re-categorisation will be effective from the beginning of the month following the APAP meeting. If the recommendation is rejected, the candidate will be informed in writing and oral feedback will be provided by the Dean if requested by the candidate. If APAP rejects a case it cannot be resubmitted until at least two years have elapsed. Promotion Procedure for Senior Academic Professional Staff: Procedure 3

An appeal mechanism, as detailed at Appendix A, will be available where APAP rejects a case for promotion to Senior Lecturer. 4. On receipt of external assessors reports for Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor cases, an Ordinance 4.2 Committee will be constituted by HR to take the final decision and all relevant papers will then be circulated to members. The Ordinance 4.2 Committee may reach a decision to promote by correspondence but should any member request it, a meeting will be convened. No promotion case will be refused without a meeting of the Ordinance 4.2 Committee having met. Where the Ordinance 4.2 Committee approves a promotion to Reader or its equivalent research, teaching or knowledge exchange role, or to Professor, HR will confirm the decision in writing to the candidate. The decision of the Ordinance 4.2 Committee shall be final and there shall be no appeal. 4 Responsibilities 4.1 Candidate To provide: An up-to-date CV and, for Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor cases a personal statement in support of their case. The candidate s most recent ADR Review Record Form. Names and contact addresses of External Assessors where appropriate (two for Readership or equivalent research, teaching or knowledge exchange role and three for Professorship), including e-mail addresses and telephone numbers. External Assessors are not required for Senior Lectureship promotion cases. For Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor cases, a brief paragraph on why the Assessors chosen are suitably qualified. 4.2 Head of Department/School To highlight the process to staff in the department and where cases are identified to provide: Documentation on candidate as above. A statement of recommendation based on the Indicators of Requirements for Internal Promotion to Senior Lecturer, Reader and Professor or based on the relevant Job level Descriptor for Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow. This recommendation should be included in Section B of the Senior Academic Professional Promotion Recommendation Form. Names and contact addresses of additional External Assessors where appropriate (four for Readership or equivalent research, teaching or knowledge exchange role and Professorship) in addition to those provided by the candidate, including e-mail addresses and telephone numbers. External Assessors are not required for Senior Lectureship cases. A brief paragraph on why the Assessors chosen are suitably qualified. 4.3 Executive Dean To meet with two Vice Deans to decide if promotion cases should be recommended to APAP and to inform candidate(s) in writing of the decision. To provide a written report to APAP on the outcome of their considerations. In the case of Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor cases, to provide to APAP the agreed list of assessors including those identified by the candidate (which shall be clearly indicated) comprising six for a Readership or equivalent application and seven for a Professorship, with a brief note indicating the background of the assessors and the reason for the selection in terms of balance of expertise and spread of international esteem. Promotion Procedure for Senior Academic Professional Staff: Procedure 4

If required by an unsuccessful candidate for Senior Lectureship, Reader, Principal Research Fellow, Principal Teaching Fellow or Principal Knowledge Exchange Fellow to provide oral feedback on the reason for lack of success following consideration by the Faculty, APAP or the Ordinance 4.2 Committee. To write to External Assessors chosen by the Principal and to forward responses to HR when the required number (four assessments for Readership or equivalent research, teaching or knowledge exchange role and five for Professorship) have been received. To update APAP on progress in Reader, Principal Research Fellow, Principal Teaching Fellow, Principal Knowledge Exchange Fellow and Professor promotion cases at subsequent APAP meetings. 4.4 Human Resources To inform Executive Deans and Heads of Department/School of details of impending APAP meetings. To convene APAP meetings normally in March and October each year together with appropriate papers. To write to all candidates considered by APAP following its meeting. To circulate the views of external assessors to members of an appropriate Ordinance 4.2 Committee once the required number (four assessments for Readership or equivalent research, teaching or knowledge exchange role and five for Professorship) have been received. To convene Ordinance 4.2 Committee, if requested. To inform in writing the outcome of the process to the candidates. 4.5 Principal To decide exceptionally whether a case for promotion should be dealt with outside the above procedure. To choose External Assessors to be consulted from list provided and exceptionally to request additional Assessors if, in the view of the Principal, or of APAP itself, there are areas of expertise not adequately covered. If required by an unsuccessful candidate for a Professorship, to provide oral feedback from either APAP or the Ordinance 4.2 Committee on the reasons for the lack of success. The Principal may nominate APAP members/attendees to provide this feedback on his/her behalf. 4.6 The Ordinance 4.2 Committee To decide whether or not the candidate meets the criteria for the new grade. Exceptionally and only at a meeting of the Committee, to decide that more information should be sought before a decision is reached. It is intended that the consideration of cases will be completed within a 6-month cycle of successive APAP meetings and that decisions of the Ordinance 4.2 Committees will be reported to the next meeting of APAP. 5 Academic Professional Appointments Panel Constitution 5.1 Members The Principal (Chair) The Vice Principal A Lay member of Court 5.2 In Attendance The Executive Deans The Director of Human Resources Minute Taker Promotion Procedure for Senior Academic Professional Staff: Procedure 5

6 Ordinance 4.2 Committee Construction 6.1 Members The Principal A Lay member of Court Two Executive Deans (including the Executive Dean of the candidate s Faculty) Two Representatives of Senate The committee will be supported by HR. 7 Appendix A: Appeals Against a Decision not to Grant Promotion to Senior Lecturer 1. A candidate may appeal against the decision of the Academic Professional Appointments Panel not to promote a member of staff to Senior Lecturer. 2. Any appeal will be considered on the basis that it is not a re-examination of the same written case and therefore consideration will be given on the following grounds: a) there has been a defect in the agreed procedure (at Departmental/School or Faculty level or in the administrative process of HR) which may have had a material effect on the outcome, or b) the written material presented to the Academic Professional Appointments Panel was incomplete. 3. Appeals must be lodged in writing with HR within 28 days of receipt of the notification and must detail the grounds on which the appeal is made. 4. Appeals will be considered by an Appeals Committee appointed by Staff Committee. The Appeals Committee shall comprise three persons one of whom shall be nominated by Staff Committee to chair the discussions and one of whom shall be nominated by Strathclyde UCU. The Appeals Committee shall be accountable to Staff Committee for the conduct of its business, including the procedures adopted. The Committee s decision shall be final and reported to the individual concerned, the Head of Department/School and to Staff Committee. Staff Committee shall review the membership of the Committee every two years or more frequently if required. Promotion Procedure for Senior Academic Professional Staff: Procedure 6