Guidance on the management of initial periods of office for Associate Professors

This guidance is for divisions, departments/faculties and HR Business Partners to assist them in managing reviews and any related formal processes during the initial period of office (IPO) of Associate Professors. This guidance does not form part on Associate Professor’s contracts of employment and is intended to be a helpful guide. There may be circumstances in which it is necessary to deviate from this guidance with advice from HR Business Partners. HR Business Partners should be kept closely informed in relation to the management of IPOs and should certainly be consulted as early as possible in relation to any issues arising under section 3 below or if there are any concerns in relation to an individual’s progress. 

This guidance should be read in conjunction with the Personnel Committee guidance on  

• best practice in relation to reviews of initial periods of office of Associate Professors (Personnel Circular PERS(19)08) Annexe A);  

• arrangements in cases in which there are concerns about the performance of the individual (PERS(19)08 Annexe A Appendix A); 

• reviewing the progress of Associate Professors whose initial period of office has been affected by family leave or sickness absence, etc. (PERS(19)08 Annexe B Appendix B). 

This guidance is intended to give more detailed assistance to those responsible for handling reviews and formal processes in instances where an individual is not meeting expected standards. 

Associate Professors are appointed for an initial period of office of 5 years.  Divisional boards are responsible for the initial appointment and reappointment of academic staff.  During the five-year period, Associate Professors are formally reviewed twice: an interim review after two years, and a final review after four years.  In most cases departments/faculties carry out the initial stages of these reviews. 

The Associate Professor’s college will have a shared interest in the Associate Professor’s progress during the IPO, including in respect of any concerns raised.  Therefore, the college should be kept informed at all stages of the IPO process.  Please speak with your HR Business Partner about the level of detail that can/should be shared at each stage, taking into account data protection obligations.  

Each division has set out criteria which their academic staff must meet in order to be reappointed to the retiring age.  Associate Professors should be given clear guidance on appointment of what constitutes adequate progress in teaching, research and administrative duties to warrant reappointment to the retiring age. Specific, time-bound objectives should be set from the beginning of the initial period of office.  

A subject mentor must be appointed who will meet regularly with the Associate Professor to offer support in relation to teaching, research and administration, providing a channel outside the formal assessment process for advice and guidance. A note on the role of the mentor is attached. The department/faculty should also consider what other support mechanisms should be put in place, taking into account the individual’s experience and particular needs e.g. whether it would be useful for them to attend any of the training provided by the Centre for Learning and Teaching or People and Organisational Development. 

If the Associate Professor is taking maternity, adoption, or shared parental leave, or an extended period of leave because of caring responsibilities, the head of department/faculty board chair and the Associate Professor should discuss whether it is in the best interests of the Associate Professor for a decision on reappointment to be made on the normal timescale, or whether the initial period of office should be extended. The preference of the individual will be of particular importance, although not decisive. If the Associate Professor has experienced ill-health during the IPO that may have affected their performance, the Occupational Health Service should be consulted and asked to comment specifically on the effects of any ill-health on the Associate Professor’s ability to meet the reappointment criteria.   

Consideration may also be given to extending the IPO if a significant period of absence due to ill health makes it unlikely that the Associate Professor will meet the criteria for reappointment within the normal timeframe. The preference of the individual will be taken into account. Occupational Health should be asked to comment on any reasonable adjustments which could be made to improve the Associate Professor’s ability to carry out their duties satisfactorily if an extension were to be granted.