Policy and Procedures for Annual Review of Professorial and Alc Grade 6 Salaries

KEELE UNIVERSITY

POLICY AND PROCEDURES

ANNUAL REVIEW OF PROFESSORIAL AND MANAGERIAL AND SPECIALIST GRADE 10 SALARIES
POLICY AND PROCEDURES FOR ANNUAL REVIEW OF PROFESSORIAL AND MANAGERIAL AND SPECIALIST GRADE 10 SALARIES

1POLICY

All Professorial and Managerial and Specialist Grade 10 staff will be given the opportunity annually to request a review of salary. This opportunity is offered because these staff do not have an incremental scale. Any salary increases in addition to national agreements must be based on evidence of high quality performance, beyond that which the University would expect in any event from its most senior staff. Though an opportunity will be given to request a salary review on an annual basis, it would normally be expected that only a minority of senior staff would fulfil the criteria in any given year.

The process will begin in each year by a decision of the University Council to agree a maximum sum available for Professorial/Managerial and Specialist Grade 10 salary reviews. The Vice-Chancellor will then ask all relevant staff to make a written case, if they wish to be considered in that particular year. Cases will be considered by a panel chaired by the Vice Chancellor and comprising representatives from the University Executive Committee.

Professorial and Managerial and Specialist Grade 10 staff wishing to put themselves forward for an award should do in accordance with the format shown in Appendix 2. Line Managers wishing to nominate Professorial/Managerial and Specialist Grade 10 staff for an award should also follow the format shown in Appendix 2.

All cases will be considered on the merit of the submission based on the criterion detailed later in this document. Following the consideration of the cases, recommendations will be considered by the Remuneration Committee before the Committee makes final recommendations to Council.

2REVIEW CRITERIA

2.1Professors

Colleagues must be able to demonstrate a continuing high level of performance since their last review and/or discretionary award. The basis for the review of salary following their new submission will, however, be judged not only on a continuing high level of performance but on any achievements gained since their last review or promotion and these could be in any of the following areas:

(i)Distinction/international recognition in research, teaching or teaching methodology/scholarship and honorific conference appearances.

(ii)Academic leadership of a high order (in relation to research, teaching and/or administration).

(iii)Publications - not just number but quality (refereed).

(iv)Research grant awards (significant for the discipline).

(v)Other honours and activities which bring significant international high profile/distinction to the University.

(vi)Professional body honours e.g., fellowships.

(vii)The delivery of significant financial benefits to the University.

(viii)Temporary increase - job size e.g., taking a Pro Vice-Chancellor/Dean appointment. A temporary award may be made for the duration of the appointment.

Colleagues seeking a review of their present salary must be able to demonstrate significant achievement and exceptionality of performance by being able to meet one or more of the requirements above for their bid to receive consideration. They should also be able to demonstrate that any targets and objectives set at the previous review or appraisal have been achieved or are on stream to be achieved.

The criteria are not weighted.

2.2Managerial and Specialist Grade 10/Directors

Colleagues must be able to demonstrate a continuing high level of performance since their last review and/or discretionary award. The basis for the review of salary following their new submission will, however, be judged not only on a continuing high level of performance but on any achievements gained since their last review or promotion and these could be in any of the following areas:

(i)Achievement of great significance to the management and well being of the University e.g.,

a)development and implementation of policies/strategies which have very significant positive effects upon the University.

(ii)External recognition of performance subsequent to promotion/last review e.g.,

a)significant contribution to “best practice” in own discipline.

b)recognition as a “star player” by relevant professional bodies i.e., awarded companion status (or equivalent) of professional body/institute or a similar award, resultant honorific conference appearances.

(iii)Increase in size of job i.e., significant increase in responsibility and scope of control e.g., substantive or acting head of another service department (an equivalent increase for academics would be to take up the appointment as Dean, Pro Vice-Chancellor or similar).

If the increase in job size is temporary, the award made will be for the duration of the period of increased responsibilities.

Colleagues seeking a review of their present salary must be able to demonstrate significant achievement and exceptionality of performance by being able to meet one or more of the requirements above for their bid to receive consideration. They should also be able to demonstrate that targets and objectives set at the previous review have been achieved or are “on stream” to be achieved.

The criteria are not weighted.

3FORMS OF EVIDENCE

3.1Professorial

A short written statement (no more than 1,000 words) from individuals highlighting their outstanding achievements is required. This should be supported, as appropriate, by any of the following :

a)Written evidence of international recognition e.g., referees comments on recent publications, peer reviews etc.

b)Copies of research award notifications.

c)Reference to newspaper/journal articles reporting success at conferences and honorific conference appearances.

d)Notification of professional body honours e.g., fellowships awarded etc.

e)Documentary evidence of other honours bestowed e.g., OBE or similar.

f)Appropriate documentary evidence of bringing significant financial or other tangible benefits to the University.

g)Evidence of a temporary or permanent increase in job size.

h)Contribution to University strategy, research strategy and leadership, quality of RAE submission, teaching quality.

i)Improved academic results by students as a result of teaching and/or course improvements.

3.2Managerial and Specialist Grade 10

A short written statement (no more than 1,000 words) from the individual, highlighting the substance of recent outstanding achievements is required. This should be supported, as appropriate, by any of the following :

a)Written evidence of external recognition e.g., newspaper/journal articles/titles/awards conferred.

b)Documentary evidence of other honours bestowed e.g., OBE or similar.

c)Evidence of achievements which have brought significant financial or other tangible benefits to the University.

d)Evidence of significant increase (temporary or permanent) in job size.

e)Draw on the support of colleagues, academic and non academic, to substantiate the achievements indicated.

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4GENERAL PRINCIPLES AND PROCEDURES

(i)Approved increases will be effective from 1 October in the same year as the review.

(ii)The amount available for discretionary awards to Professorial and Managerial and Specialist Grade 10 staff will be agreed as part of the budgeting process. The University cannot guarantee a total amount (maximum or minimum) available for allocation to individuals. The amount available will be distributed on a percentage basis (see (iii) below) to all those individuals whose bid for a review of salary is successful.

(iii)The range of percentage awards available to individuals will be determined by the Remuneration Committee following recommendations to them by the Vice-Chancellor. This range will be notified to all relevant staff.

(iv)The Remuneration Committee will report the total sum awarded and the numbers of recipients by category (i.e., Professorial, Managerial and Specialist Grade 10) to Council.

(v)The Vice-Chancellor may also, if appropriate and the circumstances dictate, recommend either temporary increases to salary or “one off” bonus payments (non superannuable unless made in the last three years of employment prior to retirement).

(vi)An appeals mechanism will be available within the procedure (see Section 6).

(vii) The Remuneration Committee will audit a random sample of successful and unsuccessful bids each year. They will also monitor the general outcome of bids with a view to identifying any trends arising and making appropriate investigations into such trends. The Remuneration Committee will make an annual written report to Council on their auditing activities and this will include any outcomes and recommendations arising out of such activities.

5COMPARABILITY

5.1Inter-Bid Comparability

(i)On receipt of the bids, the Vice-Chancellor will establish a set of benchmarks against which the bids can be compared. The benchmarks will then be allocated a value in the awards range of the total amount available for distribution.

(ii)The benchmarks will be reviewed by the Remuneration Committee. The Equal Opportunities Commission will also be asked for their comments to ensure the criteria possess no factors which could give rise to direct or indirect discrimination against minority groups, or contain gender bias.

(iii)Once agreed by the Remuneration Committee, the benchmarks will be non negotiable.

Benchmarks from previous years will also be considered to ensure a fair and consistent approach to all bids is maintained over time.

(iv)Should a case be submitted which does not fall within the criteria outlined, the Remuneration Committee will agree whether it is an admissible new criteria.

(v)New review criteria will only be determined as valid where they are clearly able to support the demonstration of exceptional/outstanding performance and/or bring significant tangible benefits to the University.

(vi)Any agreed new criteria will be immediately notified to all staff to allow the submission of any bids which may relate to them.

(vii)The Vice-Chancellor reserves the right to seek views/advice in confidence about exceptionality of performance from sources she/he considers to be appropriate in helping to determine whether a case is made.

5.2Other Factors

(i)There are other issues which the Vice-Chancellor may have to consider before making recommendations to the Remuneration Committee and although rare one is the issue of retention.

(ii)The value of an individual to an institution may vary according to different disciplines. Factors such as average sector rates, premium rates and internal average salary may also need to be taken into consideration when a recommendation is made.

(iii)In determining what present salary/remuneration levels are, entitlements such as possession of preferential rental rates for accommodation on campus and similar will be taken into account.

6APPEALS PROCEDURE

6.1Principles

(i)The Vice-Chancellor will, following the meeting of the Remuneration Committee, write to all Professorial and Managerial and Specialist Grade 10 staff from whom she/he has received a submission for an annual review of salary. She/he will inform them of the Remuneration Committee’s recommendations to Council.

(ii)The recommendations will be taken to the next Calendared meeting of Council and colleagues wishing to appeal against the recommendations must do so in writing within 21 days of the date of the letter informing them of the recommendation.

(iii)Should the appeal outcome be known before the next Calendared Council meeting the outcome will be reported.

(iv)If the outcome is not known, the Council will be informed that an appeal is in progress.

(v)An Appeal Committee consisting of the Deputy Vice-Chancellor (or Pro Vice-Chancellor) and two lay members of Council (who are not members of the Remuneration Committee) will hear the appeal within 28 days of receipt of the written appeal notification.

(vi)A request by either the appellant or the Appeal Committee for an extension of time in which the appeal hearing be held, will not be unreasonably refused by the other party.

(vii)Appellants may, if they wish, be accompanied or represented by a friend who is a University employee or by a University employed AUT representative. The appellant should indicate whether they are to be merely accompanied or represented and name the individual concerned prior to the hearing.

(viii)The Appeal Committee’s remit is to determine whether or not the Remuneration Committee should re-examine the submission. The Appeal Committee cannot, however, overturn (or endorse) the Remuneration Committee’s recommendation to Council.

(ix)The appellant must indicate the grounds for their appeal.

6.2Grounds For Appeal

Appeals will only be allowed on the following grounds :

(i)Procedural irregularity

(ii)Where discrimination of some recognised form i.e., under any of the categories defined in the Equal Opportunities policy is to be alleged.

6.3Outcome

The Appeal Committee’s decision will be final, and communicated, in writing, to the individual concerned and the Remuneration Committee members within 48 hours of the decision being made.

Nothing in this appeals procedure will in any way detract from or impinge upon an individual’s statutory employment rights or those contained in the Charter and Statutes of the University.

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APPENDIX 1

Guidelines to Individuals Wishing to Make A Case For Review of Salary to The Vice-Chancellor

• Ensure you are familiar with and understand the Procedure and Guidelines contained within this document prior to making your submission. Please feel free to seek advice from a Human Resources Manager if you are unsure of any aspects of this procedure.

• Consider review criteria upon which to base your case and the Forms of Evidence you will be required to submit.

• Ensure appropriate documentation (See Appendix 2) to support your case accompanies your submission. If you believe there are additional forms of evidence and documentation available to support your case, submit them at the same time.

• Submit a written case for review using the appropriate Review Criteria as headings. Attach supporting documentation and send to the Vice-Chancellor within the time frames indicated.

• Be aware that the Vice-Chancellor may, if considered necessary, request additional evidence/documentation to support your case. This should be supplied within a time frame indicated. If one is not given, please make a written request for one.

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Revised August 2011

APPENDIX 2

Standard Format for Written Statement

NOTE :

You must attach supporting documents/evidence (as indicated under Forms of Evidence section) to your submission. Cases will not be considered without such supporting evidence of exceptional achievement/performance.

O:/remcom/2011/Professorial and Managerial and Specialist Grade 10 Annual Salary Review – 01082011

Revised August 2011