Career Management Processes: Guidance for contract research staff

This document provides detailed guidance to researchers and their supervisors on HR processes supporting the Employment and Career Management Scheme (ECMS) launched in April 2011, including induction, probation and appraisal (known as career management review). The adoption and launch of the ECMS represents a major indicator of Concordat implementation in Cambridge. Researchers and supervisors/PIs are advised to read the ECMS carefully since it sets the context within which probation and appraisal takes place; researchers should use the career management tool and supervisors/PIs should read the guidance for PIs/Supervisors included within the Scheme. They should also refer to institutional documentation which may have been developed using the ECMS as a framework, contacting the relevant institutional administrator for details.

The aim of this guidance, in line with the ECMS, is to facilitate the career management process whereby researchers, with the support of their supervisors, identify their career aspirations early on in their employment with the University, analyse their skills requirements and development needs, then take forward an action plan to meet them. This guidance therefore sets out in detail the probationary procedure for research staff and arrangements for career management review within the general framework for appraisal in the University, including subsequent reviews of work performance, personal development needs and career aims. These details may be adapted by institutions, in consultation with the relevant HR Business Manager/HR Adviser, to meet local requirements. Such changes will be documented.

Staff management and Induction

The Head of Institution or her/his nominee/representative will identify your immediate supervisor at the start of your employment, who will normally be the Principal Investigator. If your supervisor is not the grant holder for the particular research project on which you are employed, the involvement of the grant holder in the management of the project will be explained.

Supervisors are responsible for ensuring the proper induction of new members of staff. In addition to explaining the full responsibilities of your job (see Probation), including the standards expected, institutional practices, reporting requirements of the sponsor and other such management issues, your induction should include introduction to work colleagues, familiarisation with the institution's facilities, amenities, policies and procedures and safety and security practices. Research objectives and work performance should also be regularly discussed. You may find completing the Induction Checklist and on-line induction module helpful tools in following this process. Attendance at the University's lunchtime Research Staff Welcome briefing is encouraged.

Your PI or supervisor should give you a summary project plan, clarifying what you are expected to contribute to the research project. These expectations may change as you settle into your role.

Career and personal development

Research staff are a highly qualified, skilled and experienced workforce and it is in the best interests of the University to retain and utilise their expertise. However, due to the nature of funding of the majority of research projects, it is inevitable that the University will have to terminate the employment of some research staff at the end of projects. Therefore, it is important that you are fully equipped for that eventuality by taking responsibility for your future career throughout the period of your employment.

Research staff make an important contribution to the work of the University and it is important that they receive appropriate and timely advice and support. In addition to following the career management processes of probation and review set out below, you should seek out opportunities for career and personal development, supported by your Head of Institution or supervisor (see examples set out in the ECMS).

Your supervisor will keep you aware of the current and prospective state of the funding of the project and the potential for existing funding being extended or, most importantly, not being extended.

Early on in your appointment, a general discussion will be held with you to help clarify your career aspirations and to identify, in general terms, those skills, knowledge and/or experience which need to be developed in order to support your career aspirations. It is recognised that these aspirations may change, and that any change may affect these development needs.

You should request regular meetings with your supervisor to discuss your progress and career plans. These meetings will provide an opportunity to discuss career aspirations, performance on the research project, and further training or development priorities. Formal career management review (appraisal) meetings should be held with your supervisor at regular intervals, and at least every two years.

The University's Careers Service provides support to research staff via a dedicated web page, access to publications and vacancies information and careers events.

Promotion

Generic descriptors for research roles of Research Assistant, Research Associate and Senior Research Associate

Please note that:

  • Your progression from one grade to another is not automatic and requires a positive recommendation from your institution.
  • Funding applications may include provision for promotion during the period of the project. Where such provision exists, the institution may recommend your promotion to a higher research grade.
  • Research Assistants who gain their PhD during the course of employment will normally be recommended for promotion to Research Associate, if appropriate to the duties and responsibilities of the post.
  • In the case of promotion to Senior Research Associate, the approval of the relevant Faculty Board (or equivalent body) is also needed.
  • For promotion to grades higher than Senior Research Associate, for example research grades of Principal Research Associate (at the level of Reader) and Director of Research (at the level of Professor), a recommendation from your School and approval by the Pro-Vice-Chancellor (Institutional Affairs) is needed.

HR Processes supporting Career management

The aims of the career management HR processes are to:

  1. Confirm the suitability for employment of new members of staff.
  2. Assist the development of staff in their work and career and promote their full potential through systematic self-appraisal and positive review.
  3. Improve communication in institutions so as to provide a reference between University and institution objectives and individual career plans.
  4. Identify the potential for longer-term or permanent employment.

At the beginning of employment, the person responsible for assessing your performance will have been identified (see Staff management). Your PI /supervisor will normally be your reviewer.

If you request it, an alternative reviewer may be nominated by the Head of Institution or her/his nominee/representative.

With the agreement of your Principal Investigator, you may request an additional reviewer be present at your appraisal review meeting where that additional person is knowledgeable about your work.

Probationary Reports confirming appointment or notifying termination will be sent to the appropriate HR Business Manager/HR Adviser.

The completed Career Management Review (appraisal) form will be held by the Head of Institution with a copy returned to you and your reviewer. Where the Head of Institution would like to discuss the outcome of a review, that discussion should involve both the reviewer and you together. The Head of Institution may delegate her/his role in these discussions to a senior colleague.

Briefing sessions for members of staff and reviewers covered by the scheme are provided by the PPD Section of HR Division.

Probation is a formal arrangement at the start of employment whereby new members of staff have the opportunity to confirm their suitability for the role. In order for the probationary period to be used effectively, the duties and responsibilities of the appointment should be made clear to you (see Induction) and the standards against which your performance will assessed. It is the responsibility of the Head of Institution or her/his nominee/representative or the Principal Investigator to ensure that proper induction takes place.

Your supervisor is responsible for managing your probationary period and for reviewing your performance. Where problems are identified these should be discussed with you and brought to the attention of the Head of Institution at the earliest, appropriate opportunity.

The length of the probationary period should take into account the complexity of the role and the cycle of work to be done, allowing sufficient time for you to become accustomed to the new working environment and time for improvement if problems are identified. The probationary period will normally be six months, although it may be shorter for employment of less than 1 year's duration. It may be extended, but this should only occur when there are mitigating circumstances such as serious illness or where external factors have prevented important duties being performed during the probation period.

Progress reviews should take place at regular intervals. It is suggested that reviews take place more frequently during the first month and then monthly if your progress is satisfactory. The tone of the reviews should be constructive, giving you positive feedback on what is going well and helpful advice on how to make any desired improvements. The relevant documentation should be completed (PD/PROB/R4), with a copy sent to you and one retained on your personal file held by the institution.

Regular reviews should identify any problems at an early stage. Reviews should ensure that you understand the requirements of the post, any improvements which need to be made and the methods by which improvements are to be achieved. This may include an increased level of supervision, guidance or training. Each review should be documented and signed by you. If problems are not resolved, the member of staff should be informed that, unless there is an improvement, the appointment will not be confirmed. Reviews should include consideration of the extent to which you demonstrate:

  • The skills and knowledge necessary for success in the post.
  • An ability to produce work of an acceptable quality and quantity.
  • An ability to communicate and work in co-operation with others.
  • Satisfactory attendance and time-keeping.

The Human Resources Division will produce reports so that your Head of Institution is reminded when your probationary period is due to end. A final review of your performance should take place approximately two months before the end of your probationary period (see document PD/PROB/A4).

Where your performance during probation has been satisfactory, the Head of Institution or her/his nominee/representative will notify the Human Resources Division that the appointment is confirmed through amending the central staff record accordingly. The Head of Institution or her/his nominee will inform you that probation has been satisfactorily completed.

Where performance during the probationary period has not been satisfactory the Head of Institution or her/his nominee/representative will contact the appropriate HR Business Manager/HR Adviser for guidance prior to informing the member of staff that employment is to be terminated. Reference should be made to the review documentation accumulated. It is not necessary to wait until the expiry of the probationary period to terminate employment, providing the member of staff has been made aware of the problems and given an opportunity to improve performance with appropriate support. Where employment is to be terminated, the member of staff will be given four weeks notice of the termination date, will be informed of the right to appeal and given guidance on the procedure for submitting an appeal.

Where your appointment is confirmed following the probationary period the Principal Investigator will agree with you work objectives to be achieved in the following period and an action plan covering longer-term development needs.

Following confirmation of appointment and at least every two years thereafter.

Career management review is the name given to the appraisal scheme for research staff and falls within the general framework for appraisal in the University. The career management review is not intended to replace regular meetings to discuss work and career progress but to supplement and summarise them.

The first appraisal review takes place after confirmation of appointment, with subsequent reviews at least every two years thereafter. The purpose of the review is to assist you in the development of your career. Therefore, it is important therefore that discussion is honest and constructive. Arrangements should be made for the discussion to take place without interruption and at least one hour set aside for this purpose. The discussion will be planned in advance, allowing time for preparation.

At the appropriate time, the Departmental Administrator/equivalent will notify the Head of Institution, the reviewer and you that a career management review is due, as appropriate having used the CHRIS appraisal module (or departmental database) to keep track of appraisal dates. This notification can be by email to you, copied to the Head of Institution and the reviewer, and will give details on how to access the appraisal form and guidance.

The career management review begins with a self-assessment by the member of staff being reviewed. The self-assessment is in two parts. The first part is a review of your performance against the objectives agreed at the end of the probationary period or previous career management review, highlighting any development activity that has taken place. The second part is for you to propose objectives to be achieved in the next two years highlighting any development needs and longer-term career objectives. You can use a preparation form to record this information. Alternatively, your self-assessment can be recorded on your department's form for this purpose or can be recorded on the SRD (appraisal) form itself. This self-assessment document should be submitted to your reviewer at least one week before the date of the review meeting.

Your self-assessment will be discussed at the review meeting. Following discussion, your reviewer will summarise the conclusions reached in respect of your assessment of your performance against previous work objectives and the agreement reached on future work objectives. Your longer-term career aspirations should also be discussed and the conclusions reached should be recorded. This discussion should cover realistic career options outside of research or other work in universities as well as within so that you can decide whether to pursue a further university research appointment. Your reviewer will indicate whether the employment will likely terminate at the end of the current period of employment or whether it is hoped that your employment will continue, providing external funding is available.

Your appraisal form or your department's appraisal form will be forwarded to the Head of Institution or her/his nominee/representative for comment on the conclusions recorded. If there is a possibility/likelihood that your employment will terminate at the end of the current period, the Head of Institution or her/his nominee is responsible for ensuring that redundancy consultation takes place in advance, in accordance with the University's procedures.

The Personal Development Plan (attached to the model appraisal form) should also be completed, setting out development activities to be completed during the forthcoming period of review between SRD discussions (see Personal Development Planning for more detailed guidance, including about skills analysis and transferable skills).

Immediately after all parts of the SRD form are completed, copies will be returned to you and your reviewer.