Appendix One: Guidance and exemplars of engagement and impact (PDF, 325kB)
The purpose of this document is to provide both applicants for promotion, and those assessing cases, with further guidance on the application of the promotion criteria. This document should be read in conjunction with the criteria outlined in Section 3 of the Promotion Procedure.
Applications are assessed against a criterion of excellence, the focus of which will vary according to the nature of the role. For staff on pathway2, the focus will be on demonstrating excellence in research; whereas for staff on pathway 3, the focus will be on excellence in teaching and learning. In addition, in order to meet the overall criterion of excellence, all applicants must also demonstrate appropriate academic leadership and good citizenship.
The starting assumption is that all staff are performing at a satisfactory level. Excellence is therefore seen as performance that is qualitatively and decisively superior to satisfactory. However, it is recognised that excellence is not an absolute quality, measured by simple objective criteria, but rather it requires the judgement by academic peers of the evidence provided.
In general, it is the quality of the contribution in the different areas of activity or roles undertaken, rather than the quantity of activity, that distinguishes excellence from satisfactory performance.
The following sections set out in general terms the kind of evidence that may demonstrate excellence. It is recognised that what is expected (or what is possible) will differ between faculties and between schools within faculties. It is also recognised that few, if any, people will be able to offer evidence on all the criteria suggested in any section.
(Back to top)Excellence in research, in the context of an overall case for excellence, will demonstrate work of originality which has made an observable impact on the subject. It is measured against output and should show a substantial body of work of international (or where appropriate, national) quality.
For promotion to Professor on pathways 1 and 2 the research achievement should be measured by standards of international comparison. A pathway 1 or 2 Associate Professor will be required to demonstrate a high level of excellence in research, usually with an international profile. The quality of any research contribution on pathway 3 should also be considered (although may be at a reduced quantity).
What counts as substantial will differ from discipline to discipline. Heads of School should provide some guidance on this in their reports. Normally, there will be clear recognition from peers in the academic community of applicants’ excellence.
It is not possible to draw up hard and fast rules about measuring the quality of research, but there should be evidence of some of the following:
Articles in refereed journals and books are the main form of communication in research. But they are not the only media, nor does a high volume of publication necessarily equate with excellence in research. Judging the quality of an individual’s research output is a complex task and external assessors are critical in evaluating the corpus of an individual’s scholarly work. Disciplines will vary widely and differences in the way in which research is published will occur between faculties and even between schools within faculties. For example, in those subjects closely related to information technology, the form of communication may be less dependent upon written articles. In other areas, the production of plays or the performance of musical works may count as outputs if they reflect applicant’s research work. The impact, influence and value of research beyond academia can be very diverse in nature. e.g. raising the level of public discussion, adding to cultural life, influencing policy decisions, or making a step change in practice (see Appendix One: Guidance and exemplars of engagement and impact (PDF, 325kB)).
In order to ensure as much fairness as possible, promotions committees will only evaluate published output. They will not take into consideration future plans, commitments or promise (except when considering trajectory to a professorship, in cases of promotion to an associate professorship). To be counted, publications must have been published, or be in press/accepted for publication.
In some cases, research related administration may be a major part of the role being undertaken. Relevant examples that may be taken into account might include:
Managing resources
Managing activities
Managing people
Excellence in teaching and learning in the context of an overall case for excellence, will show exceptional quality over a range of activities. Promotion will be achieved on the basis of outstanding contributions to leadership of teaching and learning. Excellent performance in teaching and related administration is also an essential prerequisite.
The individual’s contribution to teaching and learning will be recognised nationally, and possibly internationally (but in the case of the latter, this is much less likely than in the area of research). They will provide evidence of having been effective in improving teaching practice widely across the relevant subject(s) and will be engaged in scholarly activity and/or pedagogic research in their subject area and/or innovation. It will not be sufficient to have achieved only a high level of direct teaching practice within the institution.
There must be a clear qualitative distinction made between mere effectiveness in teaching and the achievements expected for a pathway 3 Professor. Excellence should have been demonstrated consistently over a sustained period. Evidence will normally demonstrate recognition beyond the University at a national level by national networks and/or academic or professional bodies.
An applicant would normally need to demonstrate evidence under the areas described below:
The extent to which the above factors are demonstrated by applicants on pathway 1 will also count as a relevant contribution for their case for a promotion to professor on that pathway.
An excellent teacher is likely to show effective administration in the context of teaching. This might involve:
A Teaching report (Office document, 57kB) has been established to help with capturing this activity. This should be completed by the Head of School for inclusion at FPC1.
Excellence in the performance of clinical duties will be taken into account only when undertaken for the University as employer. In such cases they will be considered in accordance with the proportion of time devoted to them, (i.e. pro rata and in accordance with expectations in the role). Consequently, even those whose time is (exceptionally) 80 per cent clinical should not be disadvantaged in promotion. Where clinical duties are undertaken for the NHS, the assessment for promotion would be on the work done for the University with full regard for the time available for University duties.
Where clinical academic staff undertake clinical work for the University, clinical excellence should be assessed by reference to some or all of the following activities:
Academic leadership and good citizenship attempt to measure the broader contribution of staff to the life of the discipline, school, faculty and University. This may be demonstrated through leadership of particular subject areas, staff groups or other developments; through supporting and helping to develop members of staff; through participating and contributing to working groups, committees and other bodies; and through generally demonstrating a sense of collegiality.
Excellence in academic leadership may be demonstrated in a variety of ways, for example:
(a) Academic leadership in the discipline
Leadership in the discipline in a national and/or international context may be demonstrated in a variety of ways. For example, through contributions to presentations, organisation of conferences, development of the discipline within the University, interdisciplinary collaboration, mentoring staff and team building, participating in professional bodies and/or academic associations and leadership in engagement, perhaps in the context of knowledge exchange with industry/business or collaboration with communities relevant to the research, and public and private enterprises.
(b) Academic leadership in the University
The University encourages its staff to contribute not only to the academic community nationally and internationally but also to the society of which it is part. Heads of School and senior academic staff are expected to support and participate in such activities wholeheartedly. These might include:
(c) Professional activities outside the University
These might include:
(d) Contributions to society
These might include:
(e) Entrepreneurship, enterprise and partnerships
These might include:
(f) Good citizenship
This is defined as ’a willingness to be involved in all those aspects of school, faculty or university life normally expected as a matter of course from academic staff’. Examples of good citizenship are such matters as attendance at Committees and Staff meetings, assiduous performance of personal tutor duties, regularly meeting marking deadlines, involvement in outreach activities or Open Days, a share in volunteering for necessary one-off duties.
Whilst it is not a requirement to demonstrate excellence in relation to good citizenship, any individual who is deemed unsatisfactory in this element will not be eligible for promotion.
