(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 Promotion Policy. Refer to the Associated Information for an outline of the promotion process. (2) These procedures apply to all matters associated with the promotion of eligible higher education academic staff at Victoria University. (3) Nil (4) See Higher Education Academic Promotions Policy . (5) These procedures will be used with reference to the principle of equal opportunity. (6) The process will be undertaken with appropriate confidentiality and regard to issues of conflict of interest. (7) 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. (8) 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. (9) 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). (10) To aid in the development of applications and in accord with the Higher Education Academic Promotions Policy, the University (through People and Culture) will provide applicants with information and assistance in a number of formats and through various media. (11) The Promotion Panel (see Part G) 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. (12) 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 Staff Performance and Development Plan (SPDP) in the preceding year and normally: (13) Applicants who do not meet the eligibility requirements of clauses 12(a) and/or 12(b) and/or 12(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 12(a) and/or 12(b) and/or 12(c). (14) Applications for promotion will be assessed through the following three Themes of Academic Activity and their constituent criteria (see clause 20), which include: (15) Higher Education Academics may nominate for promotion through one of three Academic Categories, which include: (16) Promotion is based on: (17) In addition to the above, consideration is also given to the following: (18) Applicants for promotion must hold a relevant doctorate, or possess and demonstrate equivalent qualifications and experience. (19) 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. (20) Applications for promotion will be assessed against 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. (21) All applications must be submitted in electronic format to the Executive Director, People and Culture (or nominee), as outlined on the People and Culture website and following the requirements outlined in Part K of these procedures. (22) An application for promotion must: (23) Applications must be submitted electronically (see clause 21) in accordance with the formatting, submission and page limits specified in Part K of these Procedures and using the standard templates available from the Academic Promotions section of the People and Culture intranet site. (24) Should an application be non-compliant with the requirements at Part K, the application will be returned to the applicant prior to consideration by the Promotion Panel on the grounds of substantial non-compliance. Where an application is returned there will normally be no opportunity to re-submit the application in the current round. (25) It is the responsibility of the applicant to obtain a report from his/her supervisor. The applicant should make this request no less than two weeks prior to the closing date for applications. The applicant must supply the supervisor with a copy of the final application by the closing date. (26) If these steps are not completed within the required time frame, it will be at the supervisor'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. The supervisor must submit the report within ten (10) working days of the closing date. (27) The supervisor's Report must be submitted on the appropriate template available from the People and Culture intranet site. See the supervisor Report template available from the People and Culture intranet site for more detail. (28) Where the applicant's supervisor is applying for promotion to the same level in the same round or is unavailable to provide a supervisor's report due to absence or leave, the Deputy Vice-Chancellor and Provost (or delegate) will nominate a suitable person to provide a supervisor's report. (29) Applicants may provide up to a one-page response to the supervisor's report. (30) One copy of the supervisor's report, together with the applicant's response (where applicable), must be provided by the applicant to the same person the application was submitted to within 12 working days of the closing date. (31) A person providing the supervisor's report cannot be nominated as a referee. (32) All applicants for promotion must nominate two academic/professional referees, one of which must be external to the University. (33) An applicant will be asked to nominate an alternate referee should one of an applicant's original referees be a Promotion Panel member. (34) Applicants are responsible for ensuring nominated referees are willing and available to provide a report in a timely manner and must provide current referee contact details. (35) People and Culture will contact the referees by e-mail to request Referee Reports. Where practical, People and Culture will inform applicants of any outstanding reports. It will be the applicant's responsibility to follow up with referees. Where practical, applicants will be advised if a referee fails to submit a report. (36) Referees are requested 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. (37) Members of a Promotion Panel cannot normally provide Referee Reports for applicants to that Panel. (38) Referee Reports cannot be obtained from other applicants for the same level in the same promotion round. (39) 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. (40) Normally the Panel would not obtain an independent external assessor for applicants to Academic Level B or C. However, an independent external assessor (from a field appropriate to the application) may be approached at the discretion of the Chair of the Panel, or, approached as a result of an appeal process. (41) In consultation with the relevant supervisor, the Chair of the Panel may nominate external assessors for applicant(s) at Academic Level B and C in field(s) appropriate to the application. This may be undertaken for instance in the case of an appeal process when there is a specific feature of an application on which the panel would benefit from expert external advice. (42) For Academic Level D and E, external assessors are mandatory. The Chair of the Panel will ratify nominations made by supervisors for external assessors for each applicant in fields appropriate to the application. (43) Academic Level D or E applications should provide 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 for ratification by the Chair of the Panel, after considering alternatives including at least two possible nominations suggested by the applicant. (44) 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. (45) 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: (46) Where appropriate, an assessor may be requested to assess more than one application per year. (47) 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. (48) 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. (49) 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. (50) See the 'External Assessor Report' template for further details regarding assessor reports. (51) Applications for promotion will be considered by Promotion Panels. (52) For all Promotion Panels the Executive Director, People and Culture or nominee will act as the Executive Officer. (53) All panels should have an observer from People and Culture. (54) Panel Membership will be dependent on the Academic Level for which promotion is being sought. (55) Applications for Levels B and C will be considered by a Promotion Panel that comprises six members, as follows: (56) Eligibility for membership of Panels considering applicants at Level B or C will be at Senior Lecturer (Level C) or above. (57) The University may appoint and convene more than one Panel to consider applications for promotion to Levels B and C. (58) Applications for Levels D and E will be considered by a Promotion Panel that comprises seven members, as follows: (59) Eligibility for Panel membership will be at Associate Professor (Level D) or above, with at least four Panel members at the rank of full Professor (Level E). (60) Normally, there will be only one Panel appointed and convened to consider applications for promotion to Levels D and E. (61) 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. (62) 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. (63) Members appointed to a panel will have a term of three years commencing January 1 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. (64) As far as possible, appointments will reflect a relevant balance of academic interests across the University. (65) 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. (66) 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. (67) Where a panel member is unavailable for one year of their three-year term they may be replaced for the term of the vacancy. (68) In instances where an academic member of staff cannot sit on a Promotion Panel, they must advise People and Culture as soon as possible. (69) Where an application is made by an Aboriginal or Torres Strait Islander staff member, the relevant Promotion Panel will be increased by the inclusion of an Indigenous academic. This person will be appointed by the Vice-Chancellor and may be a staff member of Victoria University or from another University. (70) An Aboriginal and Torres Strait Islander applicant may choose not to have Aboriginal or Torres Strait Islander representation on the Panel. (71) 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. (72) If the Panel requires clarification of aspects of the application prior to deliberations, areas of ambiguity should form the basis of questions to applicants, the College Dean and/or the Academic staff member nominated by the applicant. New information or concerns should not be introduced by the Panel after its deliberations have begun. (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 Staff Code of Conduct, 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 Staff Code of Conduct 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) Members of the University Promotion Panel shall be trained in the Higher Education Academic Promotion Policy, Procedures and other relevant documents. Members of the Panel are expected as part of their duties to undergo training which will normally cover the following: (79) (The following guidelines apply to the inclusion of Panel Observers at Promotion Panel meetings: (80) Promotion will be based on an applicant meeting or exceeding the threshold level required for the academic level in the nominated Academic Category, as outlined in Table 1 . (81) Definitions for 'Satisfactory', 'Meritorious' and 'Outstanding' for each of the Themes of Academic Activity can be found in Table 2 . (82) Applications are assessed by a Promotion Panel, based on the evidence provided in the application (see clause 22), 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. (83) 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 College Dean or other appropriate senior person with knowledge of a particular discipline or specialist area. (84) 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. (85) The Promotion Panel will assess applications against the Thresholds in Table 1 . 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. (86) 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. (87) In relation to determinations for Academic Levels D and E, College Deans will meet collectively with the Deputy Vice-Chancellor and Provost (or delegate) to review assessments before recommendations are made to the Vice-Chancellor. (88) The Vice-Chancellor has the sole discretion to grant or deny a promotion. (89) 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 his/her determination. (90) All applicants shall be advised in writing of the outcome of their application in a standard pro-forma. (91) Applicants who were not recommended for promotion will be made an offer of verbal feedback. (92) 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 Promotion Policy and these Procedures. (93) Requests for appeal cannot be based on an applicant's disagreement with the Promotion Panel's decision or views regarding the merit of his/her application. (94) An appellant must lodge a written notification of appeal with the Executive Director, People and Culture no later than one calendar month after the date on which the applicant received official notice of his/her unsuccessful application. (95) Appellants must use the 'Promotion Appeal Template' and indicate each alleged breach of the policy and procedures. (96) All supporting written evidence must accompany the appeal notice. (97) Any such appeal will be based on the application as submitted. No additional information other than the grounds for appeal may be submitted. (98) It is the responsibility of the Executive Director, People and Culture 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 his/her written notification of appeal. (99) The Executive Director, People and Culture or nominee will provide Appeals Panel members with copies of all relevant documentation. (100) The Appeals Panel may interview the appellant, the Chair of the Promotion Panel, and any other person(s) it considers appropriate. (101) After considering the appeal, the Appeals Panel may reject the appeal or uphold the appeal. (102) In the event that the appeal is upheld: (103) In the event that the appeal is rejected, the appellant will be provided in writing with the reasons why the appeal was rejected, but the appellant will have no further right of appeal against the decisions of the Promotion Panel or Appeals Panel. (104) Membership of the Appeals Panels will comprise: (105) The Chair of an Appeals Panel and at least one other voting member will constitute an Appeals Panel quorum. (106) 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. (107) Applicants must submit their application by the date advised in the Higher Education Academic 'Promotion Key Dates' document for the relevant /appropriate application round ensuring all requirements of the Higher Education Academic Promotion Policy and Procedure have been complied with. (108) 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. (109) Applicants are strongly encouraged to approach their supervisor and senior people such as Deans, Deputy Deans, Heads of Discipline Group or equivalent for general advice and engage a mentor/advisor to assist in the promotion process. (110) Mentor/advisor training will be offered to academic supervisors and mentors/advisors to assist them in the guidance of their fellow staff members through academic promotion applications. The Program will cover, but will not be limited to, the following issues: (111) Applicants may provide the appropriate number of copies (see Section 6 of these Procedures) of an update(s) on significant developments to People and Culture no later than 5.00pm eight business days prior to the meeting of the University Promotion Panel. (112) 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. (113) Format for Promotions ApplicationsHigher Education Academic Promotions Procedure
Section 1 - Purpose / Objectives
Section 2 - Scope / Application
Section 3 - Definitions
Section 4 - Policy Statement
Section 5 - Procedures
Part A - General
Part B - Eligibility
Part C - Themes of Academic Activity and Academic Categories
Part D - Basis for promotion
Qualifications and/or relevant experience
Academic achievement criteria
Part E - The Application
Submitting an application
Items to be submitted
Format of applications
Part F - Supervisor, Referee and Independent External Assessor Reports
Supervisor reports
Referee reports
Independent external assessor
Part G - University Promotions Panels
Panel membership
For Academic Levels B and C
For Academic Levels D and E
Panel constitution conditions
Indigenous applicants
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 H - Application Assessment
Promotion thresholds
Panel Assessment
Panel Report to the Vice-Chancellor
Granting or denying a Promotion
Part I - After Panel Assessment and Reporting
Advice and feedback to applicants
Appeals
Grounds for appeal
Form of appeal
Appeals panel consideration
Appeals panel membership
Part J - Other information
Application rounds and deadlines
General Advice and Support
Guidelines for and training of mentors and advisors
Update on significant developments
Part K - Applications
Section 6 - Guidelines
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