1. The University of York is one of the UK’s leading universities, a member of the Russell Group of research-intensive institutions and consistently ranked highly in league tables. It has an excellent research reputation established by our community of creative scholars. Many of our Departments and Centres are known internationally for their research activity. Research excellence defines York, and further strengthening and improving our research to be dynamic, inspirational and life-changing in its impact, is an absolute priority. Our vision is that York should provide a home for some of the best research in the world, and be regarded as one of the best places worldwide to do research. The University recognises that excellent research is firmly rooted within core intellectual disciplines and the abilities of individual researchers to contribute at the highest level.
2. The University is committed to ensuring that our teaching is inspired by excellent research. Achieving that aim requires an internationally excellent research environment. This statement sets out the University’s expectations about the research undertaken by its members in order to provide a clear framework for the management of research activity. It should be read in conjunction with the University of York Statement on Teaching Performance Expectations.
3. This Statement covers the following groups of staff, irrespective of the source of funding for their posts.
The performance of staff employed to undertake research (ie research staff on or below Grade 7 but not deemed independent) who do not fall within the scope of this policy will have performance expectations set as part of their performance review process, and will be expected to abide by the research and other relevant policies of the University.
6. The University expects academic staff to aspire to the highest levels of achievement in research, aligning with their current grade. This means undertaking research that is judged to be excellent in an international context, is influential within or across disciplines, and has the potential for wider impact. Such recognition will be apparent through indicators including regular publication in international peer reviewed journals or monographs with leading publishing houses; contribution to policy making at a high level; success in raising research funds; and invitations to give keynote presentations at international conferences. The University expects all academic staff referred to in section (3) to be research active, regularly producing sufficient world leading and international excellent research outputs eligible for inclusion in external research assessment processes and/or relevant in an industrial, commercial, policy or other practitioner context. However, in line with its Policy for research evaluation using quantitative data the University does not assess outputs on the basis of place of publication or journal impact factor.
7. The University expects that research undertaken will be effectively disseminated via channels and publication routes that are appropriate for the relevant research discipline or particular type of research project. This should include publishing via open access routes wherever possible and effective management of research data, in line with the University Policy on the Publication of Research.
8. Wherever possible, this should include ensuring that the research is communicated beyond the academic sphere, in order to engage with all relevant stakeholders including the government, non academic partner organisations and end users. The University expects staff to be proactive in ensuring that the cultural, societal and economic benefits of their research are fully realised, recognising that the work to achieve this might go beyond the traditional definitions of research. Engagement with stakeholders at the earliest stages of research project design should be pursued, whenever possible and appropriate, and coproduction of research projects is also strongly encouraged.
9. Effective dissemination also includes providing up to date information on research activities and research outputs via the University’s research information system, PURE, so that the University can report to its stakeholders on its total research endeavour.
10. In order to support research activity, the University expects all academic staff referred to in section (3) to engage creatively, continuously and proactively in seeking funding and making grant applications to support their research. This includes seeking funding for research studentships and research infrastructure.
11. The University expects academic staff to engage with the wider research activities of their Department and the University, within a national and/or international context as appropriate and to act in a collegial manner. This includes attracting and supervising research students and, wherever possible, developing links with other disciplines so as to sustain a vibrant and exciting interdisciplinary research culture.
12. Where members of staff as defined in section (3) supervise junior members of staff within larger research groups, they should provide advice and support in their role to ensure that supervisees’ research activities can yield outputs of high quality that will enhance their reputation and contribute to their career development. In addition, there will be an expectation of mentoring of new or more junior members of staff by more senior colleagues.
13. Where members of staff as defined in section (3) supervise research students, they should act as the project sponsor of the student's research project, providing the necessary advice and support to ensure the project is completed on time and to a high standard. In addition, they should provide guidance, support and encouragement for the student to develop their personal and professional skills in order to enhance their career prospects.
14. The University recognises that the quantity and the nature of the research endeavour will vary across disciplines. As a result, Departments will produce written statements, made available to all staff, on the expected performance norms within that discipline and differentiated by staff grade.
18. It is recognised that the nature of research endeavour and the volume of activity that is expected varies by discipline. As such, Departments will produce a statement on the research expectations for their staff, which will be used in conjunction with this policy and will give specific expectations relating to the performance of staff within the discipline.
19. Members of the academic and senior research staff should expect their Heads of Department and Departmental Research Committee to give clear feedback on the research quality of their work in relation to external measures. They should also expect clear and supportive guidance on the expected standard and level of outputs to be published within the relevant discipline(s), and on income generation.
20. Staff should expect to receive advice and support in relation to their research through the management mechanisms established by the University (mentoring, performance review, etc.) as well as through processes reflecting academic norms that are set up within Departments. These mechanisms are intended to ensure that staff understand best practice in developing a research programme, are receiving appropriate support from colleagues, and have access to training and other career development opportunities.
21. Staff should expect their Department to articulate, through a research strategy, the departmental context for research, research priorities, and policies for the allocation of resources such as workloads, research leave and other forms of research support. These policies and procedures should follow the principles of fairness, transparency, supportiveness and collegiality.
22. Where staff believe that they are not achieving their full research potential through lack of such support, it is their responsibility to raise this with their Head of Department, or with the relevant Dean in the case of Heads of Department.
Issue |
Interventions and Responsibilities |
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First Response | Second Response | Third Response | |
Review mitigating contextual factors (eg lack of funding in specific area, significant change in research environment for specific discipline, factors affecting the individual, etc.).
Inform researcher as appropriate given the preceding check, collect and reflect response.
Responsibilities:
Researcher concerned, Head of Research Group (if applicable), Chair of DRC, HoD as appropriate.
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Informal management resolution with researcher. Management- imposed actions development and monitoring. (See Section 3 of the University’s Capability Procedure or Section 3 of the University’s Disciplinary Procedure as appropriate)1
Responsibilities:
Researcher concerned, Chair of DRC, HoD.
At discretion of Chair of DRC, also RSPO and Dean
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Formal management of unacceptable performance. (See Section 4 of the University’s Capability Procedure or Section 4 of the University’s Disciplinary Procedures as appropriate). Responsibilities: |
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Overall Research |
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Has not met departmental research expectations across a range of research, research management activities and/or impact or KE activities, including administrative processes and deadlines. |
Issue to be raised in |
If issue continues Chair of DRC to raise issue with HoD to identify whether other areas of academic delivery are not being met. |
HoD to raise as |
Outputs | |||
Has not published at a rate
[Not met Open Access policy] |
Issue to be raised in |
If issue continues with failure to meet publishing plan, Chair of DRC to discuss what specific measures need to be put in place.
Chair of DRC to raise issue with HoD to identify whether other areas of academic delivery are not being met.
|
HoD to raise as |
Research Students | |||
Does not meet departmental expectation on recruitment.
Current student requires change in supervisory arrangement for non-academic reasons
Current student requires an extension to their progression or submission deadline due to a procedural irregularity
|
Issue to be raised in |
If issue |
HoD to raise as |
Professional Conduct | |||
Breach of confidentiality or
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Chair of DRC to |
Chair of DRC to |
HoD to raise as |
Research Funding | |||
Has not submitted grant in Not currently holding a grant,
|
Issue to be raised in |
Chair of DRC to |
HoD to raise as |
Internal Research |
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Failure to recognise that
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Where there is |
If issues |
HoD to raise as |
Financial management |
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Evidence of financial
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Chair of DRC to
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If issues
|
HoD to raise as
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Misconduct | |||
Evidence of financial
|
If the issue is
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1 Note: where a member of staff is on probation, then issues of underperformance should be dealt with within the framework of the University’s Probation Policy and Procedure.
Contents
Access individual departments' Research Performance Expectations (University of York staff only)
Related information
- Research strategy
- Research policies and code of practice
- Ethics committee