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Code of Practice for the Employment of Research Staff
1.
Introduction
This Code of Practice constitutes the policy and good practice guidelines of
Loughborough University for research staff, principal investigators and
other staff involved in the management and supervision of research staff.
The Code is subject to monitoring and revision by Human Resources.
This latest revision of the Code has taken account of the provisions of the
Concordat to Support the Career Development of Researchers, an agreement
between the funders and employers of researchers in the UK, full details are
available at www.researchconcordat.ac.uk.
In summary, the Concordat consists of:

A set of key principles for the future support and management of research
careers and, under each principle, an explanation of how it may best be
embedded into institutional practice;

A clear statement of the signatories’ collective expectations for the support
and management of researchers;

A section emphasising the responsibility of researchers to take control of
their career and to further it through informed decisions.
The Concordat recognises that institutions have a responsibility to research
staff because of their important contribution to research performance whilst
often in a situation of insecurity or brief tenure which often results from
research funding arrangements.
Since the launch of the Concordat, the University has been considering and
undertaking implementation of the key principles, and any resulting changes to
current practices regarding research staff in the University are communicated
as appropriate. The University has published a Concordat Implementation
Plan, available at http://www.lboro.ac.uk/service/sd/rs/rs_resources_lboro.html,
and has been awarded the European Charter HR excellence in research
badge for its commitment to good practice in the employment of researchers
(http://ec.europa.eu/euraxess/index.cfm/rights/strategy4Researcher).
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2.
Equality and Diversity
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. All groups, including
research staff, are encouraged to join the University’s Equality and Diversity
Staff Groups and committees, and are covered by the University’s flexible
working policy.
The University is a member of the Athena SWAN Charter for Women in
science (http://www.athenaswan.org.uk/content/athena-swan), which
recognises commitment to advancing women’s careers in STEMM academia. It
supports the Athena SWAN principles and encourages Schools to seek
accreditation from Athena SWAN and other bodies that encourage equality and
diversity.
3.
Recruitment and Selection
University procedures are designed to ensure fairness and equity and to
ensure that all staff are appointed to the grade appropriate to the duties of the
post. It is also essential that those appointed meet the requirements of the
post. This includes an initial evaluation of the post by Human Resources to
confirm the grade, prior to recruitment.
Recruitment and selection should be carried out in accordance with the
University’s Good Recruitment Guide on the HR website at
http://www.lboro.ac.uk/admin/personnel/recruitment/grgindex.html.
All staff are eligible to apply for removal expenses and resettlement grant if
they are re-locating from a radius of over 20 miles away and if on a contract of
over two years. Full details and conditions of this grant are available at
http://www.lboro.ac.uk/admin/personnel/geninfo/relocate.html
4.
Line Management Responsibility
Research staff are responsible to their Dean of School, 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 is the immediate
supervisor, 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.
All staff are required to receive an appropriate induction at a University level,
in addition to a local induction. Inductors can access an induction checklist,
available on the New Staff website: http://www.lboro.ac.uk/staff/new/. All new
research staff are encouraged to attend the Introduction to Research
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workshop, bookable through Staff Development, and the University
Orientation day.
Supervisors will establish at the outset the objectives of the research project
and the procedure for monitoring the progress of the researcher. This will
normally be:
-
Informally on a regular basis
More formally through the University’s annual Performance
Development and Review (PDR) process.
Supervisors will keep researchers regularly informed about their performance
in carrying out specified duties and in meeting the designated objectives.
The supervisor should make clear at the outset what is expected in terms of:
-
Ethical standards
Laboratory procedure
Reasonable expectations of output
Authorship (see section 10).
Research staff should be encouraged and are expected to participate in
professional and personal development activities, which may include
attending conferences, participating in internal or external training workshops,
visiting or hosting collaborators, coaching and mentoring. Research staff
should be given reasonable time within the research project to participate in
professional development.
Deans of School, Heads of Department, or Heads of Centres/Institutes are
ultimately responsible for career development issues such as probationary
reviews, PDR, and training needs assessment, although day-to-day
responsibility is normally delegated to the supervisor.
5.
Probation
The length of probation will be set by the Chair of the Appointment panel for a
period of between one and twelve calendar months. In setting the period of
probation, the Chair is required to take account of the relevant experience of
the individual and the opportunity to demonstrate competence in the role.
Probation periods should only be extended where there are mitigating
circumstances, such as serious illness, maternity leave, where external events
have prevented important duties being covered, or where concerns with
performance, or other factors, are identified and it is felt that these would
improve with further time.
In circumstances where a probationer is not contracted to work for a full
calendar year, the length of the probation period shall be expressed as working
time rather than calendar months.
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Full details of non-academic probation are available on the HR website at
http://www.lboro.ac.uk/admin/personnel/nonacademicstaffprobation.html
It is the responsibility of the Dean of School, Head of Department, Dean of
School, 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 Dean of School, Head of Department, or Head of
Centre/Institute will be requested to report to Human Resources on each
probationer’s 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 by Human Resources for the duration of its full term.
If it seems to a Dean of School, 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, or to extend the probationary period, the probationer
will be informed in writing of the reasons by 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.
6.
Conditions of Employment
All research staff are employed on the basis of formal written and agreed
contracts of employment drawn up and issued by Human Resources. Such
contracts must always be issued prior to 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.
Appropriate conditions of service will be issued with the offer of employment.
These are important documents which set out the obligations and entitlements
of the employee and should be read before employment commences and
referred to as appropriate. Full details can be seen at
http://www.lboro.ac.uk/admin/personnel/conditions.html
Any salary increases awarded as part of national salary negotiations will be
paid simultaneously with other staff covered by any national agreements.
Research staff are encouraged to apply for a position at a senior level, if a
vacancy arises. All vacancies are advertised on the University vacancy bulletin.
All staff, including research staff are entitled to be considered for an award of
an accelerated increment and/or for contribution pay under the University’s
normal annual Reward Review Process.
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Research staff are eligible to apply for conference and travel expenses from
appropriate funds, and should discuss suitable opportunities with their
supervisor.
The same rights will apply for research staff for time off for union duties as
those for academic and related staff.
7.
Continuity of Employment
Researchers are primarily chosen for their ability to advance research at the
University. The University in turn is committed to providing a stable working
environment, as far as possible, for them. University policy is therefore to
encourage the renewal and extension of contracts where possible to retain
staff. Due to the uncertain nature of external research funding, 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 would normally be renewed save in
exceptional circumstances which should be discussed well in advance of the
expiry date with the relevant Human Resources Adviser.
Any individual who is re-employed on a research contract or series of contracts
will progress automatically up the appropriate scale up to the contribution
threshold on an annual basis, save in the most exceptional circumstances.
All research staff will be kept fully up-to-date as far as possible by the grantholder and/or Dean of School, Head of Department, or Head of Centre/Institute
on the state of their existing funding and the likelihood of any extension. The
School, Department or Centre/Institute should where possible, and if
appropriate, plan and apply for funds to allow for the extension of contracts for
continuous service purposes. Information regarding the end of the contract will
be given by the School, Department or Centre/Institute and confirmed by
Human Resources as far in advance as possible to allow individual research
staff members the opportunity to seek alternative employment. Research Staff
coming to the end of a contract will able to meet with a HR advisor to discuss
opportunities including potential redeployment.
The University is committed reducing the use of fixed term contracts, and
where possible makes use of open ended contracts for employment of
researchers.
The Concordat requires that career guidance is available to research staff,
whether or not they intend to remain in research. See section 14 for further
information about this.
The University consults with the Loughborough University and College Union
(LUCU) on the non-renewal of fixed-term contracts in accordance with current
statutory provisions.
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8.
Costing of Research Grant Applications
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 USS should be routinely
provided for in grant applications.
Research jobs requiring previous research experience and/or a PhD
qualification are likely to be evaluated as Research Grade 6 and would be
entitled Research Associate. Those requiring no previous experience or where
independent working is not considered essential to the job may well be graded
Research Grade 5 (Research Assistant). In a small number of cases a
research job requiring extensive experience, project and people management
responsibilities may be evaluated at Research Grade 7 (Senior Research
Associate). Other titles which are more suited to a School’s or Department's
discipline or mode of activity may also be considered, in discussion with
Human Resources.
Advice regarding an appropriate grade at an early stage from Human
Resources may assist in ensuring that grant applications are costed at the
appropriate salary level.
Principal Investigators are encouraged to include the time and funding for the
development of researchers as integral to a grant, where possible. Some
research councils, for example the Engineering and Physical Sciences
Research Council, now expect Investigators to participate in activities that seek
to engage the public with their research. Funding for public engagement
activities connected with a project may be included.
Specifically, 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. Alternative arrangements may be provided by
other funding bodies.
9.
Preparation of funding applications and holding of grants
The University actively encourages the involvement of research staff in the
preparation of research proposals and where possible and appropriate to act
as grant holders, recognising that in the majority of cases research staff are not
permitted to be Principal Investigators. Exceptions may include Research
Fellowships and Travel Grants. 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 Dean of School, 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
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and guidelines concerning the management of grant monies and employment
of contract staff as would apply to any other grant holder.
Some research councils, for example the Engineering and Physical Sciences
Research Council, now permit current researchers who have contributed to a
new proposal to be acknowledged as a Researcher Co-Investigator. Full
details may be obtained from the Research Office or from the relevant
research council website.
10.
Publication and Intellectual Property Rights
It is essential that individual researchers are accorded the status appropriate to
their contribution to any published work arising from any project. This includes
proper recognition for authorship in accordance with accepted academic
practice governing contributions to specific pieces of work. Guidelines about
authorship are often published by academic journals, and it is recommended
that these are referred to prior to publication.
Agreements concerning obligations and entitlements applying to intellectual
property rights for research staff are specified in the Conditions of Service and
are equivalent to those of Academic and Related Staff. Types of IP include
patents, copyright, design rights, performing rights and know-how. The
copyright and/or database rights in all work produced by a member of staff in
the course of their employment belong to the University but there are
exceptions including such rights in research outputs. In the case of
commercialisation of inventions, the University pays half of income after costs
for distribution among inventors. For full details, see the conditions of service
http://www.lboro.ac.uk/admin/personnel/conditions.html
11.
University Governance
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
for election to University and School/Departmental Committees. Research
staff are eligible to vote as appropriate to their job family. All research staff are
members of General Assembly and are eligible for election or co-option to
Council. Research staff can attend and take full part in School/Department
staff meetings and in School/Department decision-making processes.
12.
Access to Facilities
Research staff should have access to the necessary facilities for the
performance of their duties. Research staff will have equal access to all nonacademic facilities such as sport and leisure facilities offered by the University.
13.
Teaching Opportunities
Where agreement with the funding body permits a researcher to engage in
teaching, the duties must be subject to full consultation between the Dean of
School, Head of Department, or Head of Centre/Institute, grant holder(s) and
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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. Requirements should be
discussed with the Teaching Centre. All staff employed in teaching must be
assessed on Teaching Quality, and Deans of School or Heads of Department
must be satisfied that their standards of teaching are acceptable.
14.
Career Development
Research staff have access to appropriate career development facilities. A
systematic training programme is seen as part of career development and
involves the individual researcher, Principal/Co- Investigator/supervisor and the
University in identifying appropriate training opportunities. Careers advice and
information via the University’s Careers and Employability Centre is available
and the Research Staff and Student Development Officer, based in the
Graduate School and Research Office, may also be able to provide some
guidance. Research staff have the facility to register for higher degrees in the
University. Many research funders, including the EPSRC, require that grant
holders ensure that research staff and students develop research, vocational
and entrepreneurial skills that are matched to the demands of their future
career paths.
The University will provide advice and support to research staff whose
contracts are ending including notification of vacancies of research posts at
Loughborough University in the Vacancies Bulletin on the University’s home
page). This information is normally updated on a weekly basis.
Researchers can also join the Loughborough University Research Staff
Association, which provides a community and mutual support for researchers
including opportunities for personal and career development.
There is also support on a national level through the UK Research Staff
Association and Vitae, the national researcher development organisation, is an
additional source of information and support for researchers at all levels and
for employers and supervisors of researchers. It is the UK organisation
championing the personal, professional and career development of doctoral
researchers and research staff in higher education institutions and research
institutes. See the website at www.vitae.ac.uk for further details.
15.
Health and Safety in Research
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.
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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.
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