GUIDELINES FOR
RESEARCH STAFF
LINE MANAGERS
Human Resources September 2014
GUIDELINES FOR RESEARCH STAFF
LINE MANAGERS
Introduction
Line managers make a significant difference to people management practices in many
key areas where, although the processes may be designed by HR, they cannot be
delivered by HR. The line manager role, which for research staff is usually the Principal
Investigator (PI), is crucial in enabling HR policies and practices i.e. bringing them to
life in the workplace.
Improving performance is increasingly about influencing the choice employees make
about how well they decide to do their job. Line managers have the most influence
over this choice.
A lack of job satisfaction may be caused by many issues, such as pay, job design or
workplace bullying. Line managers cannot control all of these issues but they can do
a lot to trigger the ‘feel good’ factor that helps to motivate and engage staff. This ‘feel
good’ factor is strongly influenced by leaders who help employees see where they fit
into the broader organisational vision, and respect, develop and reward their staff. Line
managers can help to engage staff and encourage positive discretionary behaviour
by:
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bringing policies and procedures to life - this often means giving things like
appraisal meetings or team briefings the time and care they deserve;
making a connection with employees - line managers are best placed to talk to
employees, to listen to their concerns and to coach and counsel them;
leading by example - line managers should take a lead on important issues like
work-life balance and equality and diversity;
managing performance through praise for work well done and guiding and
coaching to improve performance that is not up to standard, including holding
that difficult conversation when it is needed.
Line managers are often crucial in making the difference between low-performing and
high-performing teams.
This guide provides a brief overview of the HR processes that will enable you to be an
effective line manager for research staff. The guide is not intended to replace the full
policies, procedures and guidelines and it is recommended that you familiarise
yourself with these more comprehensive documents, attend relevant training, and
seek advice from Human Resources where appropriate.
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CONTENTS:
Page
3
Contacts
5
Recruitment and Selection
8
Induction
10
Hours of work
11
Dealing with poor performance
14
Annual leave and time off work
15
Sickness absence management
17
Annual Review and promotion
18
Appraisal
19
Equal opportunities and diversity
20
Research Passports
21
Training & Development
22
Fixed term contracts
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Contacts:
There is a dedicated HR team for each Faculty, who will be able to respond to queries
and provide advice and guidance on routine and more complex issues.
Your contacts can be found here
For externally funded research staff, colleagues in Research & Enterprise Services
co-ordinate the grant application process and the recruitment of researchers.
For grant applications, new awards and post-award matters relating to research
projects contact your REN Project Officer here:
For recruitment of staff who will be paid for from externally funded research projects
please contact:
E: ren.recruitment@uea
T: 01603 597208
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Recruitment and Selection
This section provides a quick overview of the recruitment and selection process. Full
guidance, including information on the regulatory framework and general principles of
recruitment and selection, is provided in the Recruitment & Selection Guidelines
Key points:
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If you have not already done so, you will need to undergo UEA’s Recruitment
& Selection Training
Refresher training sessions should be undertaken on a biennial basis.
The recruitment process for externally funded posts is co-ordinated by REN.
There are different recruitment processes for named and unnamed posts.
The normal expectation is that appointments will be made at the bottom of the
salary scale.
The researcher cannot start work until their UKVI verification to work
documentation has been approved.
In accordance with UEA’s equal opportunities code of practice, the normal expectation
is that research posts will be advertised. However this isn’t necessary where research
funding applications identify particular individuals, typically because the named
researcher has specific expertise and/or already had considerable input into the
research area.
Named Appointments
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On receipt of award letter, REN will email you a copy of the final grant
application and will request relevant verification to work in UK documents for
the named researcher.
You will also be provided with a Post Details form to complete and return to
REN.
REN will forward this to HR for grading, HR will contact you with any queries
and will begin the application process for visa sponsorship, where this is
required.
Once grading has been confirmed, REN will cross-check the grading with the
AN1 and grant details and will complete audit checks.
REN will contact you to discuss and agree content of the Recommendation for
Appointment form (RFA) and obtain Head of School (HoS) authorisation, at
which point REN will issue AN2 (or Provisional AN2).
REN will send the authorised RFA to HR with the grant application, AN2 and
CV.
HR will issue a formal offer letter.
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Unnamed Appointments
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On receipt of award letter, REN will email you a Post Details form to complete
and return.
HR will use the Post Details form to grade the post and will contact you with
any queries.
Once grading has been confirmed, REN will cross-check the grading with the
AN1 and grant details, and will complete audit checks.
HR will draft the Further Particulars document and advert from the information
in the Post Details form so please make sure you provide sufficient and detailed
information.
REN will contact you to discuss and agree the content of Recruitment
Advertising Authorisation (RAF) form and will obtain HoS authorisation.
At the same time REN will issue the AN2 (or Provisional AN2) and will send the
authorised RAF, AN2 and Post Details form to HR.
HR will finalise the Further Particulars document and advert. RA posts will be
advertised for a minimum of four weeks in order to give the opportunity for a
Certificate of Sponsorship to be applied for, if the preferred applicant either
does not have existing entitlement to work in the UK or needs to apply for further
permission to work to take up the post.
REN will contact you to let you know what you need to do next e.g. booking an
interview room and arranging for any equipment required. You will also be
asked to complete the scoring criteria on Shortlisting Evidence form and return
this to REN, who will create a Blackboard site and upload applications onto it
as they are received.
REN will contact you on the day the advert closes, and will confirm the
shortlisting arrangements.
Once completed, you will need to send the shortlisting paperwork and Interview
Requirements form to REN, who will send you an interview schedule.
REN will send out invitation to interview letters, with request for references, and
will send out interview packs to interview panel members.
You will be responsible for conducting the interviews and ensuring copies are
taken of the verification to work in UK documents for all candidates.
You should send the completed interview paperwork (including scoring sheets
and verification documents) to REN and informally contact the successful
candidate.
Where you wish to offer a post at any salary point above the minimum this
should be discussed and agreed with the Human Resources Manager before
a verbal offer is made.
REN will contact you to discuss and agree the Recommendation for
Appointment (RFA) form, will complete audit checks and obtain Head of School
authorisation.
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REN will send the documentation to HR and a formal offer letter will be issued.
HR will contact you for further information if an application process for visa
sponsorship is required.
REN will send rejection letters to unsuccessful candidates and will check with
you to see if you wish to give feedback to unsuccessful applicants, where
requested.
UEA funded posts
For UEA funded posts please see the Recruitment and Selection - Short Guide along
with the full Recruitment & Selection Guidelines
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Induction
An induction period is meant to ensure that new members of staff settle into their roles
as quickly and effectively as possible. Tailor-made programmes have also been shown
to increase staff retention.
Key Points:
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All new appointments will require an induction, regardless of contract type or
length, full or part-time.
The School Research Staff co-ordinator will liaise with you to develop a general
induction programme for new appointments to the University.
A good induction programme helps the individual understand their role, the
department they work in and the university as a whole; familiarises them with the
physical environment, the culture and the university’s procedures and policies; and
makes sure they understand their legal responsibilities.
There is a strong risk that without an induction programme new staff will gain only a
limited understanding of the organisation and their role in it; they may also fail to grasp
what’s actually expected of them.
One of the difficulties many new starters face is that they quickly become overwhelmed
with information. There is so much they need to learn, it can be difficult to decide where
to start.
The School’s Research Staff Co-ordinator will work with you so that when the new
starter joins you will receive a checklist to help you design a local induction
programme. It may also be helpful if you can arrange for a new starter to ‘buddy up’
with a more experienced colleague to help him/her settle in and become familiar with
the environment and facilities.
A well-planned and executed induction should:
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make new members of staff feel welcome;
provide an introduction to the University, the Faculty, the School and the project
team;
give an insight into other people’s jobs;
provide essential background information to assist new members of staff with
their own work;
clarify job expectations and initial objectives.
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Your role is to ensure induction meets these requirements so that every new member
of staff has a strong start in their new job and feels part of their team as soon as
possible.
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Hours of work
The terms and conditions of appointment Terms & Conditions of Appointment
establish the hours of work for each category of staff.
Key points:
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For a full time researcher the notional weekly hours of work for research staff
are 37.5 spread over 5 days.
There are no fixed hours of work for researchers so you will need to agree an
appropriate pattern of work within this framework.
The Flexible Working Guidelines set out the right to request flexible working. Based
on good practice, the right aims to encourage both employees and employers to find
solutions that suit them both. Employees have a responsibility to think carefully about
their desired working pattern when considering making an application and the
University will follow the procedure identified in the guidelines to ensure that
applications are considered properly. Employees can use the Flexible Working
Application Form to make their request.
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Dealing with poor performance
People who work with clear expectations perform better and are much more
fulfilled in their work. Under-performance may take many different forms and it
is important to tackle issues straight away, before they become normalised.
Key points:
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You should tackle poor performance as soon as it arises. A simple
conversation is often all it takes.
Where poor performance is not dealt with it can affect the whole team,
as well as jeopardising the project’s objectives and timescales.
During the induction process you should clearly lay out what
expectations of performance you have for the new employee from day
one.
You should ensure that researchers have clearly articulated job
descriptions, and update these as necessary.
HR colleagues have a great deal of experience in managing underperformance and you can speak to them in confidence for advice and
guidance at any time.
Common performance issues and suggested approaches1:
1
Problem
Approach
Absenteeism – regular, short term
Check the Sickness Absence
Guidelines Where a trigger point has
been reached, meet to discuss. HR
can provide guidance before you
meet so you can be confident that you
are
managing
the
issue
appropriately,
given
the
circumstances.
Chartered Institute for Personnel & Development
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Absenteeism – long-term ill-health
Speak to HR if absence has, or is
likely to, exceed 4 weeks. HR can
organise an Occupational Health
referral, if appropriate, which will
provide more information and helpful
advice and guidance which can often
lead to an earlier return to work.
Behaviour
Where behaviour at work fails to meet
the professional standards required
e.g.
time
keeping,
attitude,
inappropriate language, not following
reasonable instructions etc. you
should meet privately to discuss the
behaviour and its impact, giving clear
examples so that the individual can
recognise your concerns. A brief
follow up letter or email to highlight
the key points is advised and will
allow you to follow up more effectively
if the problem does not resolve. HR
can provide guidance and/or draft
letters for you.
Breaking the rules
For minor infringements, use the
process described above, under
Behaviour. For more serious issues,
contact HR for advice on whether the
issue should be dealt with via the
formal disciplinary process. N.b. you
are not able to give a formal
disciplinary warning outside of this
formal process.
Excessive personal use
of computer equipment, Internet,
email, etc.
Personal use of email and the internet
is allowed within reason UEA
Conditions of Computer use Where
you feel it is excessive and impacting
on performance, use the process
described above for Behaviour. HR
can provide guidance.
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Falsifying documents
This is likely to be a very serious
conduct issue, so the disciplinary
procedure may apply. Contact HR as
soon as you become aware of the
issue.
Harassment and bullying
The University does not tolerate
harassment and bullying of any kind
so this may be a serious disciplinary
issue. Contact HR as soon as
possible.
Violence
This is most likely to be considered
gross misconduct and must be dealt
with through the formal disciplinary
process. Contact HR as soon as
possible.
Failure to meet work standards
Informal meetings to discuss and
agree standards followed by a written
record of agreements is the most
effective means of tackling this issue.
If this does not achieve the desired
improvements it may be necessary to
invoke
the
formal
Capability
Procedure Contact HR for advice.
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Annual leave and time off work
The terms and conditions of appointment Terms & Conditions of Appointment
establish the annual leave entitlements for each category of staff.
Key points:
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The University annual leave year runs from 1st October to 30th September.
The notional annual leave entitlement for Research staff is 30 days.
Holidays should normally be taken within University vacation periods, and
should be formally agreed in advance. Full salary is payable during holidays.
In addition to the eight statutory days holiday, staff at UEA also benefit from an
additional six customary days holiday, to be taken on specific dates at
Christmas and Easter. For future planning purposes it may be helpful to refer
to the framework for determining customary days
You may find it useful to familiarise yourself with the Guidance on the Management of
Annual Leave.
Part-time employees are entitled to pro-rata annual leave, as set out in the
Management Guidance on Part-time Employees – Calculation of Annual Leave. The
Annual Leave Entitlement Calculator and the Annual Leave Entitlement Calculator –
Guidance Notes will help you to calculate accurate annual leave entitlement for parttime staff.
For researchers on fixed term contracts, it is expected that annual leave will be taken
before the contract end date, so this should be factored into project planning. A Team
Leave Record is available to help you to track leave within your team. The Employee
Absence Record can be used to track various type of absence for individual members
of staff.
Maternity, Paternity and Adoption leave is also available, along with Parental Leave
Other helpful information can be found in the Time Off Work Guidelines
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Sickness Absence Management
This section provides a brief overview of sickness absence management for line
managers. The University has a clear and documented procedure for the formal
management of short-term and long-term sickness absence and full information can
be found in the University's Sickness Absence Guidelines Guidance on all matters
relating to sickness absence is available from the Human Resources Division.
Key points
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You are responsible for monitoring and reporting sickness absence, conducting
return to work meetings and for dealing with frequent short term absence.
You should make sure that your staff know how and when to report their
absence.
Reporting and recording sickness absence
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As early as possible on the first day of absence, staff members should contact
you to inform you when they became ill, the nature of their illness and the likely
date of return, and should keep you informed of progress.
For absences of seven days or less, employees should complete a Personal
Sickness Certificate
For absences of more than seven days employees must obtain from their GP
and provide you with a medical certificate (fit note).
It is your responsibility for ensuring sickness absence records are maintained
and passed to the appropriate departmental contact. Your School Manager can
confirm who this will be.
Payment during a period of sickness
Information on contractual sick pay can be found in the Terms & Conditions of
Appointment You may also wish to familiarise yourself with information on Statutory
Sick Pay (SSP).
Return to work
Within 48 hours of an employee returning to work, you should meet with them to
conduct a return to work interview, to ensure:
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the researcher is welcomed back to the workplace;
the researcher has an opportunity to discuss any issues affecting their health
and attendance;
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any necessary further actions or interventions are identified, such as support
mechanisms, occupational health referrals or follow-up meetings.
You may wish to use the Return to Work Interview Form
Sickness absence during annual leave
A member of staff who falls ill during a period of planned annual leave will normally be
required to provide a medical certificate/fit note. Where approved, the time off will be
treated as sick leave rather than annual leave and the balance of annual leave may
be taken after return to work, in accordance with the normal approval process.
Occupational Health referrals
HR, where appropriate, can refer employees to Occupational Health for guidance on:
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how health issues might be affecting an employee's ability to undertake their
role;
the likely duration of an absence, and recommendations of support and
assistance to facilitate a return to work;
whether reasonable adjustments can be put in place to support employees with
disabilities in accessing the workplace and undertaking their role.
Occupational Health referrals are organised through HR. There is no facility for self or
line manager referral.
Please contact HR if you are concerned about the health of a member of staff.
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Annual Review and promotion
In line with most universities, UEA operates an Annual Review process for research
staff, for the award of promotions, special increments, discretionary awards and exgratia payments.
Key Points:
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The Annual Review process is initiated by HR each year and a memorandum
will be sent explaining the steps to be taken and the timescales that apply.
Please ensure that you review the salary and grade of each member of your
team to ensure that it remains appropriate.
Salaries progress automatically by one increment until the top of the scale is
reached (subject to any restrictions by the funding body).
Special and discretionary increments of salary can be awarded for exceptional
performance, exceeding that normally expected in the role.
The Grade Criteria for the Promotion of Research Staff provides a basis for defining
levels of tasks and levels of responsibility appropriate to the five RA grades.
The process and timings for promotions committee are laid out in the Promotions
Committee timetable which is circulated each year by HR, providing details of the
awards available and the process for application.
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Appraisal
The Appraisal process enables a regular review of the performance, workload, training
needs and career aspirations of each member of staff. It aims to ensure each
individual and his /her line manager are able to communicate regarding the above
aspects, and agree the individual's tasks and responsibilities within their own role, and
in line with the needs of the organisation.
Key points:
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In accordance with the National Concordat to support the Career Development
of Researchers, all research staff in Higher Education should undergo a
Professional Development Review, which forms part of the appraisal process
at UEA.
The appraisal process allows both you and your researcher to review progress
over the last year, and to plan ahead for the next one.
Appraisal applies to all research staff, regardless of the type or length of
contract, or experience.
The appraisal has two main components:
1) a review of the research project and their performance. Are the strategic aims of the
project being met on schedule? Have the aims of the project changed? What are the
objectives for the next stage?
2) a consideration of their wider personal development and career goals, and how their
employer can support them in achieving them.
How does it happen?
The appraisal process should happen annually, and is initiated by the Head of
School/Department. You should ensure appraisals take place for all your research
staff regardless of the contract length or whether the contract is for a fixed term, short
term temporary period, or open ended.
An initial appraisal meeting should take place within the first two months of
appointment. Subsequent appraisals will then be incorporated into the annual
appraisal timetable of the School.
You should normally begin the appraisal round during the Spring Semester, but this
should be flexible for those staff on shorter contracts. Contact your researcher(s) to
let them know that an appraisal meeting will be held, and give (or direct) them to the
Appraisal documentation.
Detailed Appraisal guidelines for research line managers are also available.
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Equal Opportunities and Diversity
The University of East Anglia is an equal opportunities employer and is committed to
the promotion of Equal Opportunities for all its staff.
Key points:
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No job applicant or employee will receive less favourable treatment on the
grounds of sex, marital status, gender reassignment, race, colour, nationality,
ethnic origin, disability, religion or belief, political belief, sexual orientation,
pregnancy or childbirth, membership of a trade union, part-time working or age.
The University is committed to a programme of action to make this policy fully effective
and you should complete the on-line equality & diversity training module Diversity in
the Workplace and familiarise yourself with the Codes of Practice and documents
available on the Equality & Diversity webpages.
UEA staff who feel they are experiencing harassment or bullying, or who have been
accused of it, or who have witnessed it, can talk in confidence to a UEA Harassment
Adviser, even if they are unclear whether it is harassment or not.
General harassment-related enquiries should be directed to Santha Forder,
Harassment Adviser Network Manager on (59)2936.
Visit the Harassment Advisor Network Website for further information, a list of
Harassment Advisers and useful links.
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Research Passports
The Research Passport is a streamlined system for issuing honorary research
contracts to researchers who have no contractual relationship with the NHS and who
need an honorary research contract (HRC) to carry out research in NHS organisations.
It provides a system for researchers to collect evidence of the necessary checks once
only to support their applications for HRCs at multiple NHS organisations.
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Training and development
Key points:
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Training and development opportunities are available to all staff, regardless of
length of contract.
The Centre for Staff Educational Development has a full programme of training and
development for all staff. There are dedicated pages specifically for Research, and
Enterprise and Engagement.
Careers Service at CareerCentral provides support, guidance and training for
researchers, to make the most of your career development.
ResNET is a contact, support and information network for all women working in
research at UEA, the Institute of Food Research, the John Innes Centre and the
Sainsbury laboratory.
Women Researchers Enterprise Forum (WREF) is sponsored by the Norwich
Business School, Careers & Employability, ResNet, Research and Business Services
& UEA Entrepreneurs.
Vitae is a national organisation championing the personal, professional and career
development of doctoral researchers and research staff in higher education institutions
and research institutes. They play a major role in the drive for high-level skills and
innovation and in the UK's goal to produce world class researchers and their vision is
for the UK to be world-class in supporting the personal, professional and career
development of researchers.
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Fixed term contracts
This is a brief overview of the use of fixed term contracts and what to do as the contract
end date approaches. Full information can be found in the University's Code of
Practice on Fixed Term Employees
Key points:
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Fixed term appointments should only be made where a clear and demonstrable
business need exists.
Due to the nature of research funding, the use of fixed term contracts is often
inevitable for research staff, however, the length of contract will have no impact
on the application of University policy and procedures.
As the end of a fixed term contract is likely to be considered a redundancy at
law, it is essential that, when requested to do, you meet with your researcher
even though this will often be before a decision on funding is known. It is
important to hold this meeting so that the researcher can be aware of the
position and the options that might be available to them if they do later find
themselves in a redundancy situation.
Code of Practice for Employment and Career Management of Research Staff provides
information and guidance on the roles and responsibilities of research managers
Bringing a fixed term contract to an end
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Approximately five months before the end of a fixed term contract, HR will
contact you to let you know that your researcher is coming to the end of their
fixed term contract.
Guidance notes will be provided and you will be asked to meet with your
researcher to let them know what is anticipated about further funding.
Once the meeting has taken place, both you and your researcher should sign
the form and return it to HR by the deadline given. This will enable HR to coordinate the next stages in the process.
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