Personal Titles Procedure

The following procedure was approved by Council in December 2011

Personal Titles Procedure

Cases for promotion to a Personal Chair or the award of the title Reader will be considered by the Sub-Committee for the Award of Titles. A Dean of School may recommend a member of staff for promotion to a Personal Chair or Readership at any time but should be mindful that the process of obtaining references can be lengthy.

1. Criteria

i. Promotion to a Personal Chair calls for an established record of academic distinction and leadership, including the ability to stimulate and inspire others. Normally a candidate should possess an international reputation in scholarship and research and should be continuing to produce significant work. (See Annex A for detailed criteria). Whilst it would be exceptional to confer a Personal Chair upon a candidate whose research record does not meet these criteria, promotion may also take account of the candidate's record of leadership in a wider sense through teaching and/or enterprise work.

ii The award of the title of Reader calls for a high standard of scholarship and a substantial record of ongoing research of international quality. (See also Annex A).

iii All candidates for promotion should also be able to demonstrate that they have a record of contributing to teaching that is scholarly and effective in enhancing student learning. Where appropriate the case should include appraisal by the candidate of their contribution to enterprise.

iv. All candidates should also be able to demonstrate that they have contributed to the collegiality of the School and the University by assuming administrative and management responsibilities. Normally, only those candidates with a positive assessment of their contribution will be considered for promotion.

2. Procedures

There are three routes by which a personal title case may be considered, although Routes 2 and 3 below will be used only in exceptional circumstances.

Route 1 ("Standard")

i. When a Dean of School wishes to recommend a member of staff for a personal title, they should first consult with senior colleagues in order to assess Criteria 1(iii) and (iv). After consultation, if the view of the Dean of School is that the candidate satisfies these criteria they should submit to the PVC (R) the following:

a purely factual CV
a publications list which must follow the standard format used in the Publications Database interpretative summaries of six selected publications. In the case of joint or multiple authorship of any of the candidate’s six selected papers or books, the nature and extent of the candidate’s contribution must be clearly described.
one copy of each of the six selected publications produced by the candidate
a list of no fewer than five external referees, at least four of whom should have a sound knowledge of the UK HE system and no more than two of whom should be nominated by the candidate. Referees nominated by the candidate should be clearly indicated as such. It is the Dean’s responsibility to ensure the quality and prominence of the referees and they should ensure that referees approached are of international repute (by reference to indicators such as the referee’s personal standing, the research quality of their department and the research quality of their institution).
a statement (no longer than one side of A4) prepared by the candidate in support of their case.

the case should include an appraisal by the candidate of their contributions to teaching and student learning and to enterprise activity
The case should also make reference to the candidate’s administrative and management responsibilities in the School and University

ii. Having reassured themselves that the case is not unduly premature or otherwise weak (taking informal soundings internally and externally as necessary), the Dean will consult with the PVC(R) to decide whether external referees (five) should be approached. If it is decided that the case should proceed no further, the Dean of School will advise the candidate at the earliest opportunity. In the event of disagreement the case will be referred to the Provost/Deputy Vice-Chancellor, for decision.

iii. If the case is to proceed, two copies of the six selected publications will be prepared by the candidate and submitted in electronic format unless agreed otherwise. (In the case of books, one copy only will be required). The Dean will send these to Human Resources together with single copies of the CV, the publications list, the interpretative summaries of the six selected publications, the one page statement and a completed referees’ pro forma (Annex B). The candidate should confirm to the Dean that the referees nominated have been approached and have confirmed their willingness to act.

iv. Human Resources will contact the external assessors, providing each with copies of the CV, the publications list, the interpretative summaries of the six selected publications, a copy of the six selected publications (advising as appropriate, of the availability of access to any books or other materials to be considered), and the one page statement from the candidate.

v. When the external assessors’ reports have been received by Human Resources they will be distributed to the Personal Titles Sub-Committee along with the candidate’s CV and one page statement.

vi. The Sub-Committee will review the referees’ reports and will seek additional information or clarification if necessary. The Sub-committee’s decision whether or not to award a title is final.

vii. The Sub-Committee will report its decisions to the Human Resources Committee and notify Senate and Council of all the titles that have been awarded.

viii. In cases where an individual wishes to be considered for the award of a personal title, but does not have the support of their Dean of School, they may apply to the PVC(R).

ix. The PVC(R) will discuss with the Provost. If the proposal is judged to be worthy of support five referees will be nominated and approached in the normal manner. If the proposal is judged to be unduly premature or weak it shall not proceed. Where a decision cannot be reached the Provost may decide that one or more external assessors should be approached for their views before a final decision is made.

x. A further personal title proposal in respect of the same individual will not be considered within twelve months of the Sub-Committee’s decision.

Route 2 ("Fast-track")

i. In cases where a member of staff has been offered a chair or readership by another institution and the Provost accepts a recommendation from the Dean and PVC (R) that a route other than that set out in Section 2.1 would be in the University's interests, the following may be initiated.

ii. The candidate will be interviewed by a panel similar to that constituted for an equivalently graded established post, in accordance with Appointments Committee –Code of Practice (Academic and Related Staff), and references will be taken up from those nominated by the candidate. The panel, which shall be chaired by the Provost (Chair) or the Dean (Readership), shall have authority to offer such personal title as it sees fit and will report its decision to Senate and Council via the Human Resources Committee.

iii. The candidate will submit the following documentation to the panel:

a purely factual CV
a publications list which must follow the standard format used in the Publications Database
a statement (no longer than one side of A4) prepared by the candidate in support of their case
The case should include an appraisal by the candidate of their contribution to teaching and student learning
The case should also make reference to the candidate’s administrative and management responsibilities in the School and University

Route 3 ("University’s Interest")

In very limited circumstances, for example where a candidate has demonstrated exceptional leadership in a wider sense (see 1(i)) or where the Vice-Chancellor deems it necessary to provide leadership in a certain academic area, it may be in the University's interest to award a personal title. In these cases the procedure described in Section 2(ii) will be invoked. The PVC(T) or PVC(E) will be consulted as appropriate.

The candidate will submit the following documentation to the panel:

a purely factual CV
a publications list which must follow the standard format used in the Publications Database a statement (NO LONGER THAN THREE SIDES OF A4) prepared by the candidate in support of their case
the case should include an appraisal by the candidate of their contributions to teaching and student learning and to enterprise activity.
The case should also make reference to the candidate’s administrative and management responsibilities in the School and University
Where leadership in teaching is critical to the promotion case evidence should be provided of the candidate’s role in:

Leading colleagues by personal example
Facilitating and influencing networks of colleagues
Making a sustained contribution to enhancing the student learning experience
Influencing positively developments beyond the University, at national and international level, within the candidate’s own discipline or more generally

Annex A

Criteria in respect of submissions for Chair and Readership Candidature

1.For Chair and Reader:

That the candidate is addressing significant substantive subject matters in a specified field/discipline or a sub-area of that field/discipline.

That the candidate is able to articulate the substantive subject matters; and has been addressing them via a systematic, sustained, and progressive agenda and programme of research/scholarly inquiry over a period of years.

That the candidate's activity and its outcomes has made, or is making, a significant impact on or contribution to (1) the principles, practices, theories, knowledge-base, or understanding of the subject matters of the field/discipline or sub-area; and/or (2) the lay community's appreciation, knowledge, or understanding (which can be linked to the candidate's activities).

That the candidate's research agenda and programme are likely to be sustained, to continue, and to develop in significance and value.

1.1 For Chair:

That the quality of the contributions made by the candidate, or the quality of the outcomes of the candidate's academic record in research/scholarship can be substantiated as being of internationally established excellence (when 'international excellence' is defined as research which a Research Excellence Framework (REF) Panel would judge to be competitive with the best cognate research conducted world-wide).

That the quality of the candidate's activity and its impact on the field/discipline or sub-area establishes the candidate as an academic research leader in that field/discipline or sub-area.

That, where it can be appropriately applied, the candidate's performance should compare well against measures which can be specifically associated with being describable as a researcher/scholar of international quality, e.g.: research grant & contract income norms, publications, number of research candidates supervised in the candidates REF Unit of Assessment. It would be anticipated that these measures have been satisfied consistently over a period of time and will continue to be satisfied in the foreseeable future.

1.2 For Reader:

That the outcomes of the candidate's research/scholarly activity display a high and sustained standard of research competence; and that the candidate's research agenda and programme are of international significance.

2.Candidates are advised that their one-page statement and interpretative summary of work should take full account of the above criteria.

3.The title of Personal Chair may, exceptionally, be conferred upon a candidate whose academic research record does not meet the above criteria but whose national/international status, authority, and esteem may derive from work in a wider or different professional context. Such status, authority, and esteem may, for instance, be evidenced at the policy and strategic direction and management levels of the civil service, public sector, or international/national commercial/industrial organisations. Evidence in support of any such case will be sought from independent external assessors.

Annex A

Criteria in respect of submissions for Chair and Readership Candidature

For Chair and Reader:

That the candidate is addressing significant substantive subject matters in a specified field/discipline or a sub-area of that field/discipline.

That the candidate's research agenda and programme are likely to be sustained, to continue, and to develop in significance and value.

1. For Chair:

That the quality of the contributions made by the candidate, or the quality of the outcomes of the candidate's academic record in research/scholarship can be substantiated as being of internationally established excellence (when 'international excellence' is defined as research which would be judged through peer review as competitive with the best cognate research conducted world-wide. That the quality of the candidate's activity and its impact on the field/discipline or sub-area establishes the candidate as an academic research leader in that field/discipline or sub-area.

That, where it can be appropriately applied, the candidate's performance should compare well against measures which can be specifically associated with being describable as a researcher/scholar of international quality, eg: research grant & contract income norms, publications, number of research candidates successfully supervised. It would be anticipated that these measures have been satisfied consistently over a period of time and will continue to be satisfied in the foreseeable future.

2. For Reader:

Annex B

PERSONAL TITLES – LIST OF REFEREES

Candidate’s Name: …………………………………………………………………………..

Candidate’s School: …………………………………………………………………………….

Proposed title (ie Professor of …; Reader in …): ……………………………………………

Date: ………………………………………………………………………………………………

Name	Address	Nominated by Candidate? Yes/No	Referee contacted and willing to provide a written evaluation? Yes/No	International Repute and HEFCE research assessment