Code of Practice for the Employment of Research Staff

This Code of Practice constitutes the policy of Loughborough University and provides a model of good practice for research staff and for staff holding grants involved in the supervision of research staff.

This revision of the Code has taken account of the provisions of the Concordat on Contract Research Staff Career Management (hereafter referred to as the Concordat).

The code will be subject to monitoring and revision by the Human Resources Committee.

The University is committed to achieving an educational and working environment which provides equality of opportunity, and freedom from discrimination on the grounds of race, religion, sex, class, sexual orientation, age, disability or special need. Intentional contravention of the University's equal opportunities policy will result in disciplinary action.

University appointment procedures must ensure that researchers are appointed to the grade appropriate to the duties of the post and, subject to the nature of those duties, to the experience of the person appointed. Recruitment and selection should be carried out in accordance with the University's Guide to Good Recruitment Practice.

Research staff are responsible to their Head of Department or Head of Centre/Institute for the performance of their duties. However it should be clearly established at the start of the project who their immediate supervisor is and the nature of that supervision.

The nature of the involvement of the grant-holder, if different, must also be clearly specified at the beginning of the project.

Supervisors will establish at the outset the objectives of the research project and the procedure for monitoring the progress of the researcher. Supervisors will keep researchers regularly informed about their performance in carrying out specified duties and in meeting the designated objectives.

Heads of Departments or Heads of Centres/Institutes are ultimately responsible for career development issues such as staff appraisal, probationary reviews and training needs assessment, although day-to-day responsibility may be delegated to the supervisor.

An appointment of three years or more will be subject to a probationary period of one year. Research staff whose appointments are less than three years will serve a six month probation.

It is the responsibility of a Head of Department or Head of Centre/Institute to make proper provision for the training, supervision and assessment of the probationer's work and to draw to the notice of the probationer any aspect of work which is considered to be unsatisfactory. The Head of Department or Head of Centre/Institute will report on the probationers performance mid-way through the probationary period and again not less than one month before the completion of the period.

On the satisfactory completion of a probationary period the appointment will be confirmed in writing for the duration of its full term.

If it seems to a Head of Department or Head of Centre/Institute that it may be desirable to terminate the appointment of a probationer or to recommend that an appointment is not confirmed at the end of a probationary period, the probationer will be informed in writing of the reasons via Human Resources.

Research staff whose appointments are not confirmed following the expiry of a probationary period have the same rights of appeal as academic and related staff.

All research staff are employed on the basis of formal written and agreed contracts of employment drawn up by Human Resources. Such contracts must always be issued at the time of employment. Where a contract is renewed, any changes in the original terms and conditions of employment must be notified in writing and subject to the agreement of the individual to whom the contract applies.

Accompanying the issue of contracts will be the conditions of service applying to the employment of the individual. These are important documents which set out the obligations and entitlements of the employee and should be read before employment commences.

The general conditions of service for all academic and related staff and special provisions for research staff are set out in the conditions of service booklet.

Salary increases awarded as part of national salary negotiations will be paid simultaneously with other staff covered by the national agreements.

Research staff are entitled to apply for promotion, accelerated increments and discretionary payments under the normal annual review mechanisms.

Research staff are eligible to apply for conference and travel expenses from appropriate departmental and faculty funds.

The same rights will apply for research staff for time off for union duties as those for academic and related staff.

University policy is to encourage the renewal and extension of contracts where possible, but no guarantee can be given of continuing employment beyond the expiry date of any fixed term.

Contracts will offer as much security of employment as appropriate. If funds for a contract are extended and there is little or no variation in the nature of the work, the contract with the post holder should be renewed save in exceptional circumstances.

Any individual who is re-employed on a research contract or series of contracts will progress up the appropriate scale, save in the most exceptional circumstances.

All research staff will be kept fully up-to-date as far as possible on the state of their existing funding and the likelihood of any extension by the grantholder and/or the Head of Department or Head of Centre/Institute. The Department should where possible plan and apply for funds to allow for the extension of contracts for continuous service purposes. Information on the end of the contract will be given by the Department as far in advance as possible to allow individual research staff members the opportunity to seek alternative employment.

The Concordat requires that career guidance is available to inform decisions by research staff on a change of career direction if the opportunities to continue in research are limited or if they do not wish to remain in research or if they are not suited to such a career. The University will provide advice and support to research staff whose contracts are ending including notification of vacancies of research posts at Loughborough University (information about vacancies may be found in the Vacancies Bulletin on Human Resources web page) and access to careers advice and information through the University Careers Service and the Career Development Adviser for Research Staff.

The University consults with UCU on the non-renewal of fixed-term contracts in accordance with current statutory provisions and an agreement reached between the two parties.

Individuals employed as research staff are entitled to the same conditions of service as those of academic and related staff in respect of the Universities Superannuation Scheme. Employer's contributions to U.S.S. should be routinely provided for in grant applications.

The national agreement covering the employment of research staff stipulates that anyone with a PhD qualification or equivalent research experience must be appointed on the 1A scale as a minimum. To ensure this is possible all grant applications must be costed at the appropriate salary level.

Applications for further funding to support existing members of research staff made to funding bodies which are signatories to the Concordat may include provision for promotions and/or merit awards, if the possibility can be foreseen and the grounds are justified in the application.

The Research Councils will provide additional funding to cover the costs of making a substitute appointment to cover for the maternity leave of a member of research staff funded by the Research Council or, alternatively, will extend the duration of the grant for a period equivalent to the maternity leave taken by her if no substitute appointment was made. Similar provisions apply to long term sickness absence.

Where agreement with the funding body permits a researcher to engage in teaching, the duties must be subject to full consultation between the Head of Department/Centre/ Institute, grant holder(s) and the individual concerned as to the nature and extent of duties, having regard to the maximum teaching hours set out in the Supplementary Conditions of Service for Research Staff. Opportunities for teaching and related work, which assist the personal development of the researcher, shall be provided where appropriate. Research staff will have access to appropriate facilities to meet their development needs associated with teaching.

Research staff appointed under Ordinance VI will be given the title of Research Fellow or Senior Research Fellow (for salary grades 3 or 4).

Other research staff will normally be appointed as Research Assistants if on Grade 1B or Research Associates if on Grade 1A or above.

Other titles which are more suited to a department's discipline or mode of activity may also be used.

The University actively encourages the involvement of research staff in the preparation of research proposals and where appropriate to act as grant holders. Research staff should also be encouraged to suggest new funding or research possibilities.

Where individual members of research staff are designated as grant holders they will be accountable to their Head of Department or Head of Centre/Institute in the same way as academic staff nominated as grant holders. Such accountability includes abiding by any University procedures and guidelines concerning the management of grant monies and employment of contract staff as would apply to any other grant holder.

Individual research staff will be accorded the status appropriate to their contribution to any published work arising from any project. This includes proper recognition for joint authorship in accordance with accepted academic practice governing contributions to specific pieces of work.

Agreements concerning obligations and entitlements applying to intellectual property rights for research staff are specified in Conditions of Service and are equivalent to those of Academic and Related staff.

The University recognises the right of research staff to participate in the governance of the University. This includes the right of research staff to stand and be elected to Faculty Boards and Departmental Committees. Research staff are eligible to vote in the various electoral colleges of the University. All research staff are members of General Assembly and are eligible for election or co-option to Council. Research Fellows can stand for and be elected to Senate.

Research staff can attend and take full part in departmental staff meetings and in departmental decision making processes.

Research staff should have access to the necessary facilities for the performance of their duties. Research staff will have equal access to all non-academic facilities such as sport and leisure facilities offered by the University.

Research staff shall have access to appropriate career development facilities. A systematic training programme is seen as part of career development and involves the individual researcher, supervisor/grant holder and the University in identifying appropriate training opportunities. Research staff will have the facility to register for higher degrees in the University. Appropriate induction courses will be provided for new research staff.

Any individual who has been employed for a period of twelve months at the top of the Research 1A or 1B scale shall be entitled to request consideration for promotion. Heads of Department or Heads of Centre/Institute shall be notified by Human Resources of those individuals who are eligible for consideration for promotion.

Research staff will be appraised in accordance with the procedures set out in the document 'Staff Appraisal Scheme' a copy of which will be provided to every member. Normally, research staff will not be appraised by their supervisor or grant holder. The appraiser should where possible be a researcher or a member of staff with substantial experience of contract research work.

The University has a duty of care as employer for the personal health and safety of research staff. The University will ensure that health and safety procedures for research staff working on-site and off-site are practised and the necessary support, training and insurance cover provided.

Research staff have a duty of care as employees for their own health and safety and for that of others and to co-operate with the University to enable it to carry out its responsibilities.

CVCP Research Careers Initiative

Vitae, the national researcher development group is an additional source of information.

Author: Human Resources (MET) Last amended: March 2009