APPENDIX 1

PROMOTION CRITERIA: Level 6 Associate Professor/Principal Research Fellow

Staff may be promoted up to Level 6 for excellence and academic leadership in i) Research and
Scholarship, ii) Teaching and Learning activity and iii) Research reflecting the three main
career paths of the Research & Teaching Job family. These strands provide promotion
opportunities to staff to take account of the individual’s career profile and path. It is assumed
that there is incremental progression through the Job Family Levels e.g. an individual at Level
6 has many of the attributes at Level 5 and an individual at Level 5 has the attributes of Level
4 etc. It is expected that for promotion to all levels, an individual would normally be able to
demonstrate meeting the majority of the criteria outlined across the range of categories.

Associate Professors/Principal Research Fellows will have a substantial and ongoing national
and international reputation in their discipline/field, normally supported by a PhD and/or
Higher Education teaching qualification. Therefore, those staff applying for promotion to Level
6 where the focus of their role is on research or a combination of research and teaching must
demonstrate sustained achievement of an internationally recognised level of excellence in
research linked to clear evidence of the impact of that research through the exchange of
knowledge developed from it. In exceptional cases, evidence of sustained international
excellence in one activity may justify promotion. In addition, it is normally expected that staff
demonstrate high quality activity in the remaining area(s) relevant to the focus of their role.

All staff applying for promotion are expected to promote and uphold the guiding principles of
the University of:

 Excellence in all we do
 Academic freedom and curiosity
 A global perspective
 Innovation and entrepreneurialism
 Leadership in environmental sustainability
 Partnership and collaboration
 Staff and student support
 Appreciating equality, diversity & inclusion
 Equality of access and opportunity
 Social responsibility
 Transparency

All staff applying for promotion need to demonstrate significant collegiality and to lead by
example with respect to research, teaching, knowledge exchange and leadership/management
responsibilities. It is a normal expectation that all staff work as part of a team to achieve
School, Faculty and University goals and make a significant contribution to teaching. All
applicants must include evidence of University and academic service and good citizenship. This
should be demonstrated by offering leadership, management, administration, collegiality
(including developing and motivating co-workers, mentoring junior colleagues, supporting the
wellbeing of colleagues and adhering to equality, diversity and inclusivity best practice),
knowledge exchange or pastoral care within the University, or by engaging on behalf of the
University with the wider community including internationally.

It is not automatically expected that candidates will need to provide evidence of achievements
across all criteria and examples stipulated, applications should provide balanced evidence
based on the set criteria.

August 2018
PROMOTION CRITERIA - RESEARCH & TEACHING – Level 6 Associate Professor

Role holders with a research and teaching emphasis at this level will have extensive and high level research and teaching experience, normally
supported by a relevant PhD and in some cases a teaching qualification and/or extensive professional success and achievements. Those
applying for promotion to this level must have a substantial and ongoing national reputation for the development of both teaching and learning
and research excellence within the discipline and a growing international reputation.

Sustaining Excellence
Excellence in Research Excellence in Education- Engaging with Business/External University & Academic
Teaching & Learning Stakeholders -Knowledge Exchange Service-Leadership &
Management
A scholarly output, which Excellent standard of teaching Sustained track record of success in Successful delivery of a
includes a significant contribution performance at various levels for knowledge exchange to improve the project/task which improves
to at least 4 papers in the most example undergraduate, performance of business and wider School performance as
recent 6 year period which are postgraduate, access (might stakeholders - as illustrated by research evidenced by e.g. student
likely to achieve an average include continuous professional and teaching contracts, IP recruitment/widening
rating of 3* (REF1 equivalent, development -CPD provision) as commercialisation and/or consultancy participation
judged against current national judged by evaluation methods income. activities/partnership
criteria). A substantial including student feedback (SET development, Athena Swan.
monograph may substitute for scores) and peer review and Possible examples may include:
two outputs. Awards. Major contribution to
 Collaborative and contract Subject/School/Faculty
Sustained research income Sustained record of research involving commercial strategic planning or policy
Commensurate with the novel/innovative approaches to partners and other stakeholders development.
level/discipline group. teaching, supporting student  Exploitation of research through
learning and/or assessment e.g. the licensing of Intellectual Service within the wider subject
Evidence of significant development of inquiry based Property (IP) or the development community e.g. external
contribution on grants e.g. approaches, design of new of commercialisation vehicles examining, committee service
(RCUK, EU and/or other grants)2. assessment procedures, effective and spinout companies or within learned bodies.
use of and engagement with  The provision of services
Successful PGR supervision, in technology to support student rendered e.g. delivery of Taking a leadership role in the
line with the expectations of the learning. Continuous Professional professional development of
role. Development (CPD) and others via mentoring of staff
including early career and

1
In this context REF is x% of publications which are 3* and y% of publications which are 4*.

2
N/B contractual status may preclude candidates from certain criteria.

August 2018
 Contributing to a major initiative consultancy activity delivery on where appropriate effective
in the growth of UG or PGT behalf of the University. delivery of Personal
numbers resulting in new income  Evidence of engagement with Development & Performance
streams. translational programmes and Review (PDPR).
funding available from the
Engagement in quality Research England (e.g. HEIF
enhancement theme networks to funding of Hermes scholarships
support disciplinary and/or generic & Research Priority Group
improvements in the quality of Funding), research councils (e.g.
learning and teaching. EPSRC Accelerating Impacts
Awards or BBSRC Sparkling
Impact awards) and other
funders (e.g. Innovate UK, ERDF
funded SME engagement and
support programmes)
 Significant role in demonstrating
impact case studies
 Communication of research
results to the public or public
bodies leading to changes in
practice/policy
 Application of knowledge to
improve public sector
performance and quality of life
by engaging public policy and
government and/or through
partnership with the voluntary
sector, or the cultural and
heritage sector.
Esteem  Fellowship/Membership of subject specific society.
Indicators  A record of invited talks of international standing at conferences/events and UK Higher Education Institutions.
(Examples)  Reviewer for research bodies.
 Evidence of effective links with research funders.
Global Reach- Significant contribution to the University’s international profile via engagement with the International Strategy for
International example:
 developing new and existing international research and/or teaching partnerships.
 supporting developments and new initiatives at international campuses.
 involvement in recruiting at the international campuses.

August 2018
  assisting initiatives to support integration of internationalisation of curriculum and students including student
abroad programmes.
 assisting increased staff and student mobility and students entering via international teaching partnerships.
 strengthening Universitas 21 member collaborations.
 involvement in business engagement on an international level.
 supporting engagement with international alumni.

August 2018
PROMOTION CRITERIA: TEACHING & LEARNING – Level 6 Associate Professor

Role holders with a teaching emphasis at this level will have extensive and high level teaching experience, normally supported by a relevant
PhD and in some cases a teaching qualification or extensive professional success and achievements. Those applying for promotion to this level
must have a substantial and ongoing national reputation for the development of teaching and learning excellence within the discipline and a
growing international reputation. Clinical veterinary staff should demonstrate a national level of achievement in clinical competence by receipt
of a European or RCVS Diploma or Specialist status.

Sustaining Excellence
Excellence in Education - Scholarship related to Teaching & Engaging with Business/External University & Academic
Teaching & Learning Learning Stakeholders -Knowledge Exchange Service-Leadership &
Management
Excellent standard of teaching Sustained track record of success in Successful delivery of a
performance at various levels for Sustained record of high quality knowledge exchange to improve the project which improves
example undergraduate, outputs (e.g. textbooks/textbook performance of business and wider School performance as
postgraduate, access (might include chapters and articles in journals stakeholders - as illustrated by research evidenced by e.g. student
continuous professional relevant to the discipline or its and teaching contracts, IP recruitment/widening
development -CPD provision) as teaching, e-learning software); other commercialisation and/or consultancy participation
judged by evaluation methods forms of externally recognised income. activities/partnership
including student feedback (SET professional practice or creative development, Athena Swan.
scores), peer review, internal and output of a standing equivalent to Possible examples may include:
external awards e.g. Dearing regular publication of original Major contribution to
awards. research; outputs to have influenced  Collaborative and contract Subject/School/Faculty
the practice of teaching or improved research involving other strategic planning or policy
Extensive teaching and/or the student experience within the stakeholders development.
professional experience, combining subject area with widely recognised  The provision of services rendered
an emphasis on (applied) teaching excellence in a specialist subject field e.g. delivery of Continuous Service within the wider
and course/ programme among peers. Professional Development (CPD) subject community e.g.
development with a significant and consultancy activity delivery external examining,
contribution to curriculum on behalf of the University. committee service within
development.  Application of knowledge to learned bodies.
improve public sector
Responsibility for the quality of the Success in obtaining internal or performance and quality of life by Taking a leadership role in
design of courses and programmes, external funding for development of informing public policy and the professional
the development of high quality and teaching/learning/assessment and/or government and/or through development of others via
innovative teaching methods and collaboration in and/or support of partnership with the voluntary mentoring of staff including
assessment in the department/ significant research projects either in sector, or by significantly early career and where
School. the subject discipline or in teaching influencing the cultural and appropriate effective delivery
related research. heritage sector

August 2018
Responsibility for developing and  Communication of scholarly work of Personal Development &
overseeing new teaching & learning Successful PGR student supervision to the public or public bodies, Performance Review (PDPR).
approaches (including, mentoring, where appropriate. leading to changes in practice
coordinating, supervising and  Leadership in the development of Contribution at University
managing individuals and groups) (clinical) service, innovative Level to the development of
and materials which has a activities and partnerships that the Teaching & Learning
significant impact on students result in the exploitation and Strategy.
(creating interest, understanding exchange of knowledge and
and enthusiasm), colleagues and on expertise to enhance the
the University. relevance of teaching activities
within and/or outside the subject
Contributing to a major initiative in area.
the growth of UG or PGT numbers
resulting in new income streams.

Sustained contribution to School

and or Faculty (subject discipline)
level learning and teaching
committee.

Significant impact on the University

and on specialism/discipline through
effective and innovative academic
and organisational leadership,
design of courses and programmes
and the development of teaching,
assessment and learning strategies.

Improvement in all aspects of the

role and contribution to the success
of the Department/ School/ Faculty/
University through Continuous
Professional Development (CPD).
Esteem  Fellowship/Membership of subject specific society.
Indicators  A record of invited talks of international standing at conferences/events and UK Higher Education Institutions.
(Examples)  Fellowship of HEA or equivalent bodies.
 Evidence of external review activity (e.g. QAA assessment).
Global Reach- Significant contribution to the University’s international profile via engagement with the International Strategy for example:
International  developing new teaching partnerships.

August 2018
  supporting developments and new initiatives at international campuses.
 involvement in recruiting at the international campuses.
 assisting initiatives to support integration of internationalisation of curriculum and students including student abroad
programmes.
 assisting increased staff and student mobility and students entering via international teaching partnerships.
 strengthening Universitas 21 member collaborations.
 supporting engagement with international alumni.

August 2018
PROMOTION CRITERIA: Research – Level 6 Principal Research Fellow
Role holders with a research emphasis at this level will have extensive and high level research experience, normally supported by a relevant
PhD and/or extensive professional success and achievements. Those applying for promotion to this level must have a substantial and ongoing
national reputation for the development of research excellence within the discipline and a growing international reputation.

Excellence in Research
A sustained scholarly
output over career to date,
which includes a significant
contribution to a minimum
of 6 papers in the most
recent 6 year period which
are likely to achieve an
average rating of 3* (REF
equivalent, judged against
current national criteria).
A substantial monograph
may substitute for 2
publications.3
Sustained research income
commensurate with the
level/discipline group.
Evidence of significant
contribution on grants e.g.
(RCUK, EU and/or other
grants)4.
Excellence in Education -
Teaching & Learning
Developing specialist lectures for
undergraduate or postgraduate
students and/or industry.
External examining of Masters and research and teaching contracts, IP University’s strategic plan.
Doctoral candidates.
Contribution to a major initiative in Possible examples may include:
the growth of PGT numbers and/ or
PGR resulting in new income
streams.
Sustaining Excellence
Engaging with Business/External University & Academic Service-
Stakeholders -Knowledge Leadership & Management
Exchange
Sustained track record of success in Sustained research leadership at
knowledge exchange to improve the national/international level both within
performance of business and wider the institution and in the wider research
stakeholders - as illustrated by community, taking account of the
commercialisation and/or Accountability for ensuring the
consultancy income. University meets both internal and
external requirements and benefits
appropriately from “state of the art”
 Collaborative and contract developments in their field of activity.
research involving commercial
partners and other Contribution to the management and
stakeholders support of strategic initiatives at
 Exploitation of research Subject/School/Faculty level.
through the licensing of Influencing and shaping the available
Intellectual Property (IP) or resources as appropriate to meet the
the development of current and future needs of the
commercialisation vehicles University, including having an impact
and spinout companies or on the direction, strategy, objectives
 The provision of services and results of the
rendered e.g. delivery of Department/School/Faculty/University.
Continuous Professional
Development-CPD) and Contribution to the development of
policy at School and /or Faculty level.

3
In this context REF is x% of publications which are 3* and y% of publications which are 4*.
4
N/B contractual status may preclude candidates from certain criteria.

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Provide research consultancy activity delivery
supervision to postdoctoral on behalf of the University. Membership of appointment,
research fellows,  Significant role in assessment or advisory committees at
postgraduates and research demonstrating impact case other HEI’s.
technical staff. studies.
 Public and/or cultural Evidence of agenda setting in research
Successful completed PGR engagement, and/or to policy through e.g. participation/advisory roles
supervision, in line with the development in public in professional or government bodies.
expectations of the role. institutions leading to changes Taking a leadership role in the
in practice professional development of others,
Provide lead supervision of  Application of knowledge to especially postdoctoral research fellows,
project students as improve public sector postgraduates and research technical
appropriate (e.g. final year performance and quality of staff via a sustained record of junior
undergraduate, MSc) life by engaging public policy staff mentoring and peer support
and government or the including early career and effective
cultural and heritage sector. delivery of Personal Development &
Performance Review (PDPR).

Membership of executive committees of

learned subject societies.
Esteem  Fellowship/Membership of subject specific society.
Indicators  Track record of regular invited talks of international standing at conferences/ events and UK Higher Education
(Examples) Institutions.
 Reviewer for national / international research bodies.
 Evidence of effective links with research funders e.g. through Research Council college membership or other
equivalent roles.
Global Reach- Significant contribution to the University’s international profile via engagement with the International Strategy for
International example:
 developing new and existing international research partnerships.
 supporting developments and new initiatives at international campuses.
 assisting increased staff and student mobility.
 strengthening Universitas 21 member collaborations.
 involvement in business engagement on an international level.
 supporting engagement with international alumni.

August 2018