(1) This document sets out the application process and other requirements for Higher Education Academic Promotion, and must be read in conjunction with the Higher Education Academic Promotions Policy. (2) HESF: Standard 3.2 Staffing. (3) This Procedures applies to all Higher Education Academic staff employed at Victoria University on a full-time or part-time, fixed-term or continuing basis. (4) Measure of Research Activity (MORA) – Victoria University’s model for the measurement of individual academic research activity as prescribed in the Measuring Individual Research Activity Policy. (5) Scholarship of Learning and Teaching – Refers to evidence of activities concerned with gaining new or improved understanding, appreciation and insights into a field of knowledge and the linking of that enquiry to professional practice. (6) Higher Education Academic Promotions Policy. (7) These Procedures will be used with reference to the principle of equal opportunity. (8) The process will be undertaken with appropriate confidentiality and regard to issues of conflict of interest. (9) These Procedures will operate within the standards established in the Career Development and Promotion Guide and in a manner that is consistent with the Minimum Standards for Academic Levels. These will be addressed appropriately by each Promotion Panel. (10) Promotion will normally be restricted to the academic classification level immediately above an applicant's current academic classification. In exceptional circumstances the Vice-Chancellor may approve an applicant to be considered for promotion across multiple classification levels. (11) Evidence for promotion will be assessed over an academic staff member's entire career, however more significance will be placed on achievements/outputs and impacts in the period since last promotion or appointment to the current academic classification level (subject to claims for interrupted career). (12) To aid in the development of applications and in accord with the Higher Education Academic Promotions Policy, the University will provide applicants with information and assistance in a number of formats and through various media. (13) The Promotion Panel (see Part H) will (based on the Panel's combined experience) ensure that the University's practices in awarding promotion are consistent with Career Development and Promotion Guide for Academic Levels, the Academic Categories and the Minimum Standards for Academic Levels. (14) To be eligible to submit an application for promotion, Academic staff will be required to have successfully completed any probation period associated with their appointment, completed their VU Develop Plan (or equivalent) in the preceding year and normally: (15) Executive Deans may encourage an Academic to apply for promotion. Academics will be contacted by People & Culture and recommended to commence preparation in order to apply in the next promotion round. (16) Applicants who do not meet the eligibility requirements of clauses 14(a) and/or 14(b) and/or 14(c) must ask in writing for approval to submit an application from the Chair of the relevant Promotions Panel. The Chair of the Promotions Panel has the discretion to accept or reject applications that do not meet the eligibility requirements in clauses 14(a) and/or 14(b) and/or 14(c). (17) The Panel may also identify during the assessment of the application that an unsuccessful applicant be made exempt from the above clause 14(c) due to exceptional circumstances. If applicable, identified applicants will be outlined in the Panel Recommendations Report and approved by the Chair. Applicants will be notified in writing via their Promotion Application Outcome letter. (18) Applications for Promotion will be assessed through the following three Themes of Academic Activity and their constituent criteria (see clause 25), which include: (19) Higher Education Academics may nominate for promotion through one of three Academic Categories, which include: (20) In addition to the above, at the discretion of the Panel, an application may be reviewed against an alternative Academic Category where the Panel conclude threshold has been met under the alternative category and constituent criteria. (21) Promotion is based on: (22) In addition to the above, consideration is also given to the following: (23) Applicants for promotion must hold a relevant doctorate, or possess and demonstrate equivalent qualifications and experience. (24) Promotion Panels will, in the context of the level for which promotion is applied and the nominated Academic Category, consider the appropriateness of levels and types of formal qualifications and/or substantial progress towards such qualifications or, where relevant consider and determine the equivalence of alternative qualifications and/or experience held by applicants. (25) The panel will undertake a holistic assessment and evaluation of applications for promotion in accordance with the constituent criteria in the Themes of Academic Activity, as outlined in Career Development and Promotion Guide and in a manner consistent with the Minimum Standards for Academic Levels. (26) All applications must be submitted per the application submission instructions outlined in the Academic Promotions Application Form by the specified closing date. (27) An application for promotion must: (28) Applications must be submitted electronically to Promotions@vu.edu.au (see clause 26) in accordance with the formatting, submission and page limits specified in Part L of these Procedures and using the standard templates available from the Academic Promotions section of the People and Culture SharePoint page. (29) Should an application be non-compliant with the requirements at Part L, the application will be returned to the applicant prior to consideration by the Promotion Panel. (30) The Supervisor Report must be submitted on the appropriate template available on the People and Culture intranet site. (31) It is the responsibility of the applicant to obtain a Supervisor’s report from their Executive Dean (or nominee). The applicant should make this request and provide the Executive Dean(or nominee) with a copy of the final application no less than ten (10)working days prior to the closing date for applications. (32) If these steps are not completed within the required time frame, it will be at the Executive Dean's discretion as to whether the report can be completed by the required deadline, or whether the applicant will be delayed in lodging an application until the following year. (33) Where the applicant's supervisor is applying for promotion to the same level in the same round or is unavailable to provide a Supervisor Report due to absence or leave, the Senior Deputy Vice-Chancellor and Chief Academic Officer (or delegate) will nominate a suitable person to provide a Supervisor Report. (34) Applicants may provide up to a one-page response to the Supervisor's Report. (35) One copy of the Supervisor Report, together with the applicant's one-page response (where applicable) and the academic promotion application, must be sent to Promotions@vu.edu.au by the specified closing date. (36) A person providing the Supervisor Report cannot be nominated as a referee. (37) All applicants for promotion must nominate two academic/professional referees, one of which must be external to the University. (38) An applicant will be asked to nominate an alternate referee should one of an applicant's original referees be a Promotion Panel member. (39) Applicants are responsible for ensuring nominated referees are willing and available to provide a report in advance of submitting their application and must provide referees current contact details. (40) People and Culture will contact the referees by e-mail to request Referee Reports and will inform applicants of any outstanding reports it will be the applicant's responsibility to follow up with referees. (41) Referees are asked to submit Referee Reports within three weeks of the closing date of applications. See the Referees Report template and Instructions for further details regarding Referee Reports. (42) Members of a Promotion Panel cannot normally provide Referee Reports for applicants to that Panel. (43) Referee Reports cannot be obtained from other applicants for the same level in the same promotion round. (44) All Referee Reports are provided in the strictest confidence, and it is a condition of application that Referee Reports will not be released to applicants. (45) For Academic Level D and E, external assessors are mandatory. (46) Academic Level D or E applications require a minimum of one external assessment to enable an application to be considered by the Promotion Panel. Supervisors should provide at least two nominations of external assessors, after considering alternatives including at least two possible nominations suggested by the applicant. Up to any 3 external assessors, including authorised assessors determined by the Chair of the Panel, can be invited to assess an application. (47) Applicants may also nominate the discipline from which they prefer at least one assessor to be called and provide clear reasons for this request. The Chair of the Panel will make final determination as to which assessors are authorised to be approached for an assessor report. (48) In nominating assessors, supervisors will make every attempt to ensure that those persons are independent. As a guideline, for assessors to be considered 'independent of the applicant' they should not have: (49) Where appropriate, an assessor may be requested to assess more than one application per year. (50) Where applicants do not want the Promotion Panel to approach a particular assessor(s), they may name the person(s) on their Application form and briefly outline the reason for the request. (51) People and Culture will contact assessors, requesting an assessor report and providing the assessors with a copy of the promotion application excluding the supervisor’s report and any confidential aspects of the Application. (52) Assessor reports are provided in the strictest confidence, and it is a condition of application that assessor reports will not be released to applicants nor the identity of assessors disclosed. (53) Applications for promotion will be considered by Promotion Panels. (54) For all Promotion Panels the Chief Human Resources Officer, or nominee, will nominate a representative to act as the Executive Officer. (55) All panels should have an observer from People and Culture. (56) Panel Membership will be dependent on the Academic Level for which promotion is being sought. (57) Applications for Levels B and C will be considered by a Promotion Panel that comprises five members, as follows: (58) Eligibility for membership of Panels considering applicants at Level B or C will be at Senior Lecturer (Level C) or above. (59) Applications for Levels D and E will be considered by a Promotion Panel that comprises seven members, as follows: (60) Eligibility for Panel membership will normally be at Professor (Level E). (61) Normally, there will be only one Panel appointed and convened to consider applications for promotion to Levels D and E. (62) A University Promotion Panel will be deemed to be correctly comprised if five members are in attendance. Non-attending members will be encouraged to communicate their views, in writing, to the Panel through the Chair prior to the meeting of the Panel. (63) Where membership on the Panel may be compromised by illness, absence or conflict of interest, the Chair of the Panel, in consultation with the Vice-Chancellor and where appropriate the Chair of Academic Board, may nominate an appropriate replacement. (64) Members appointed to a panel will have a term of three years commencing 1 January of each year. If a Panel member becomes unavailable for a promotion round during their three-year term, a substitute member will be sourced from their category of membership provided reasonable notice is given. (65) As far as possible, appointments will reflect a relevant balance of academic interests across the University. (66) Membership of the University Promotion Panels will be selected with due regard for the University's principles on gender balance. Each Promotion Panel shall not have more than 70% representation of one gender. (67) Promotion Panel members shall be eligible for re-appointment. Normally, no member shall be appointed for more than two consecutive terms. This clause does not apply to the Chair of the Promotion Panel. (68) Where a panel member is unavailable for one year of their three-year term they may be replaced for the term of the vacancy. (69) In instances where an academic member of staff cannot sit on a Promotion Panel, they must advise the Chair of the Promotions Panel. (70) Where an application is made by an (71) An (72) All Promotion Panels will ensure that proceedings are conducted in a manner consistent with the principles of procedural fairness. Promotion Panels should discuss each written application in detail, with reference to the relevant criteria, and determine if any aspects of the application require clarification. (73) At the conclusion of the Promotion Panel's deliberations, the Panel Chair will give opportunity for Panel members and observers to raise concerns of equity, fairness or process. These comments will be recorded by the Chair and forwarded to People and Culture as part of the formal periodic Policy and Procedures review process. (74) Staff involved with Promotion Panels who may have a conflict of interest as defined in Australian Research Council(ARC) Guidelines and the University's Appropriate Workplace Behaviour Policy, or bias against an applicant, whether it be actual or perceived, are required to advise the Chair of the Panel immediately. (75) A member who has a conflict of interest will not participate in deliberations of the Panel for the particular application. (76) Australian Research Council (ARC) guidelines and University Appropriate Workplace Behaviour Policy regarding conflict of interest should be used as a reference in assessing whether a conflict of interest exists. (77) The following procedures should be followed: (78) The Panel notes should record that a conflict of interest was disclosed. Normally there will be no requirement to record the details of the conflict. (79) Members of the University Promotion Panel shall be trained in the Higher Education Academic Promotions Policy, Procedures and other relevant documents. The training will be provided by the Senior Deputy Vice-Chancellor and Chief Academic Officer, or nominee. Members of the Panel are expected as part of their duties to undergo training which will normally cover the following: (80) In addition to the above, Panel members are also expected to have completed Unconscious Bias Training prior to attending the Panel Meeting. Where Panel Members have not completed or are unable to provide evidence of completing Unconscious Bias Training, the University will provide training in the method deemed most appropriate by People & Culture. (81) The following guidelines apply to the inclusion of Panel Observers at Promotion Panel meetings: (82) The panel will undertake a holistic assessment and evaluation of applications for promotion in accordance to the academic level in the nominated Academic Category, as outlined in Table 1. (83) Definitions for ‘Satisfactory’, ‘Meritorious’ and ‘Outstanding’ for each of the Themes of Academic Activity can be found in Table 2. (84) Applications are assessed by a Promotion Panel, based on the evidence provided in the application (see clause 27), including where appropriate applicant interviews, and will not take account of information that is known to the Promotion Panel, but which is not referred to and supported with evidence contained in the application. (85) As a condition of their application, applicants for level D or E will be invited to attend an interview on the date advised in the ‘Higher Education Academic Promotion Key Dates’ document. (86) Interviews will be held face to face or, in any other appropriate method at the Chair’s discretion. The interview panel composition will be available on the ‘Higher Education Academic Promotion - University Promotion Panels’ document. (87) It is the responsibility of the applicant to remain available to attend on the specified date as the interview forms part of the Promotion Panel’s assessment of the overall application. (88) If an applicant is unable to attend the scheduled interview, and an alternative time cannot be agreed upon, the Promotions Panel reserve the right to assess an application without an interview where evidence of exceptional circumstances have been provided or where this cannot be demonstrated, withdraw the application due to non-compliance. (89) Disciplinary differences will be taken into account and, where possible, the Promotion Panel will use ‘disciplinary norms’ when assessing applications. If there are matters that require clarification, additional information may be sought by the Promotion Panel from the Executive Dean or other appropriate senior person with knowledge of a particular discipline or specialist area. (90) The Promotions Panel will consider claims for interrupted career over the period claimed and give specific consideration to the impact of this interruption on activity, impact and output. (91) The Promotion Panel will assess applications against the Thresholds in Table 1 by undertaking a holistic approach to the application being assessed. Where a decision to recommend promotion is tied, further discussion by the Promotions Panel will be held until a majority decision is reached or, if after a reasonable period of further discussion no majority decision is reached, the Chair of the Promotion Panel will have the deciding vote. (92) A Promotion Panel report will be submitted to the Vice-Chancellor by the Chair of the Promotion Panel. The Promotion Panel report will record the main points of their deliberations on matters related to equity in their reports. In the case of Panels for Academic Levels B and C, Panel Chairs will meet to assure parity in panel processes prior to final recommendations to the Vice-Chancellor. (93) The Vice-Chancellor has the sole discretion to grant or deny a promotion. (94) The Vice-Chancellor will consider the recommendations of the Promotion Panel and has the discretion to request any other documentation from the Promotion Panel, or applicant, in making their determination. (95) All applicants shall be advised in writing of the outcome of their application in a standard pro-forma. (96) Applicants who were not recommended for promotion will be made an offer of verbal feedback. (97) Applicants may appeal against promotion decisions on the grounds that the Promotion Panel has not followed correct procedure, that is, failed to comply with the provisions in the Higher Education Academic Promotions Policy and these Procedures. (98) Request for appeal cannot be based on an applicant’s disagreement with the Promotion Panel’s decision or views regarding the merit of their application. (99) An appellant must lodge a written notification of appeal with the Chief Human Resources Officer, or nominee, via the Promotions@vu.edu.au no later than one calendar month after the date on which the applicant received official notice of their unsuccessful application. (100) Appellants must use the ‘Promotion Appeal Template’ and indicate each alleged breach of the Higher Education Academic Promotions Policy and these Procedures. (101) All supporting written evidence must accompany the appeal notice. (102) Any such appeal will be based on the application as submitted. No additional information other than the grounds for appeal may be submitted. (103) It is the responsibility of the Chief Human Resources Officer or nominee, to arrange the Appeals Panel meeting date and to notify the appellant and Appeals Panel of the date in writing. Normally, the meeting will be scheduled to occur no longer than one month after the appellant has submitted their written notification of appeal. (104) The Chief Human Resources Officer or nominee will provide Appeals Panel members with copies of all relevant documentation. (105) The Appeals Panel may interview the appellant, the Chair of the Promotion Panel, and any other person(s) it considers appropriate. (106) After considering the appeal, the Appeals Panel may reject the appeal or uphold the appeal. (107) In the event that the appeal is upheld: (108) In the event that the appeal is rejected, the appellant will be provided with written confirmation of the reasons for the rejection. The appellant will have no further right of appeal against the decisions of the Promotion Panel or Appeals Panel. (109) Membership of the Appeals Panels will comprise: (110) The Chair of an Appeals Panel and at least one other voting member will constitute an Appeals Panel quorum. Membership of the University Promotion Panels will be selected with due regard for the University’s principles on gender balance. Each Promotion Panel shall not have more than 70% representation of one gender. (111) Applicants are required to advise their supervisor of their intention to apply for promotion by the date advised in the ‘Higher Education Academic Promotion Key Dates’ document (available from People and Culture SharePoint page). (112) Applicants must submit their application by the date advised in the Higher Education Academic 'Promotion Key Dates' (available from People and Culture SharePoint page) document ensuring all requirements of the Higher Education Academic Promotions Policy and Procedures have been complied with. (113) All deadlines and required formats and page limitations prescribed in the Higher Education Academic Promotions Policy and Procedures will be strictly enforced unless a specific exemption is granted in writing by the Chair of the Panel or nominee. (114) Applicants are strongly encouraged to approach their supervisor and senior people such as Executive Deans, Deputy Deans, Heads of Discipline Group or equivalent for general advice and engage a mentor/advisor to assist in the promotion process. (115) Applicants may provide the appropriate number of copies (see Section 6 these Procedures) of an update(s) on significant developments to Promotions@vu.edu.au no later than 5.00pm, eight (8) business days prior to the meeting of the University Promotion Panel. (116) Updates must be of a significant nature and apply to events that have occurred since the application was first lodged. This update must be limited to one A4 page.Higher Education Academic Promotions Procedure
Section 1 - Summary
Section 2 - HESF/ASQA/ESOS Alignment
Section 3 - Scope
Section 4 - Definitions
Section 5 - Policy/Regulation
Section 6 - Procedures
Part A - Summary of Roles and Responsibilities
Roles
Responsibilities
Applicant
Ensure their applications for promotion is submitted before the closing date.
Supervisor
Complete the Supervisor Report for their College/Department and provide regular and constructive feedback to staff on their performance.
State that the applicant has demonstrated a level of achievement and performance that is appropriate to their existing Academic Level.
Referee
Complete the Referee Report before the closing date.
Assessor
Complete the Assessor Report before the closing date.
People and Culture
Provide guidance and advice relating to the Promotions and Appeals process.
Ensure that the Procedure is promoted and implemented to reference other relevant University policies.
Chief Human Resources Officer or nominee
Arrange and coordinate the Appeals Panel meeting
Senior Deputy Vice-Chancellor and Chief Academic Officer
Chair or nominate a delegate to Chair the panel for Levels B & C or Levels D & E and nominate members for the panel.
Vice-Chancellor
Nominate members for the panel for Levels B & C and Levels D & E and approve recommendation made by the Academic Promotions Panel.
Part B - General
Part C - Eligibility
Part D - Themes of Academic Activity and Academic Categories
Part E - Basis for Promotion
Qualifications and/or relevant experience
Academic achievement criteria
Part F - The Application
Submitting an application
Items to be submitted
Format of applications
Part G - Supervisor, Referee and Independent External Assessor Reports
Supervisor reports
Referee reports
Independent external assessor
Part H - University Promotions Panels
Panel membership
For Academic Levels B and C
For Academic Levels D and E
Panel constitution conditions
Panels and procedural fairness
Panels and conflict of interest
Disclosure of conflict of interest
Guidance and training for promotion panel members
Guidelines for panel observers
Part I - Application Assessment
Promotion thresholds
Panel assessment
Panel report to the Vice-Chancellor
Granting or denying a promotion
Part J - After Panel Assessment and Reporting
Advice and feedback to applicants
Appeals
Grounds for appeal
Form of appeal
Appeals panel consideration
Appeal panel membership
Part K - Other Information
Application rounds and deadlines
General advice and support
Update on significant developments
Part L - Applications
View Document
This is the current version of this document. To view historic versions, click on the 'Historic Versions' tab above.