Staff Development Procedure - Academic Promotion for Candidates Level B (under review)

Parent Policy

Staff Development policy

Preamble

Promotion at Monash University is based on merit following a thorough and fair process. The University is committed to the principle of equal opportunity in promotion and recognises that staff contribute to its vision and goals in diverse ways. The achievements of candidates for promotion are assessed relative to the particular circumstances of their career progression and the opportunities which have been available to them.

Candidates whom the dean resolves meet the criteria for promotion to lecturer are to be promoted irrespective of considerations such as the increased cost of staffing.

The process for promotion to lecturer is administered exclusively within the faculty or, where the staff member is not located in a faculty, the application will be considered by CAPA. The process does not involve a promotion committee and may occur outside the normal promotion round for other levels.

This procedure applies to staff who:

• are appointed to undertake research, education and service activities (including those appointed to undertake education-focused roles);
• have a current performance development plan which complies with the requirements of the Performance Development Process: Academic Staff; and
• are seeking promotion to lecturer.

Academic staff appointed to undertake primarily research and research-related activities (‘research-only’ staff) should refer to the Staff Development Procedure - Research-Only Academic Staff - Advancement to a Higher Research Level

Definitions

Academic performance standards: faculty or discipline-specific performance standards for all academic staff against which academic performance will be measured, particularly for the purpose of probation, promotion and performance management. The standards are qualitative, quantitative or a mixture of both across the three key areas of academic activity - research, education and service. They include identified ‘minimum’ performance standards, below which the staff member would be managed for unsatisfactory performance, and ‘faculty expectation’ standards, above which the staff member may be eligible for promotion in accordance with the requirements of this procedure.

Achievement(s) relative to opportunity: is an evaluative framework in which the overall quality and impact of achievements is given more weight than the quantity, rate or breadth of particular achievements. Assessing achievements relative to opportunity involves giving consideration to circumstances, arrangements, career histories and overall time available to the staff member. This in turn allows appropriate evaluation of achievements in relation to:

• the quantum or rate of productivity,
• the opportunity to participate in certain types of activities, and
• the consistency of activities or output over the period of consideration.

Achievement relative to opportunity is a positive acknowledgement of what a staff member can and has achieved given the opportunities available and is not about providing “special consideration” or expecting lesser standards of performance.

CAPA: Committee for Academic Promotions and Appointments Levels B-D (CAPA). In accordance with the Staff Development Procedure - Academic Promotion Committees Levels C-E, CAPA is responsible for receiving and considering applications for academic promotion to lecturer, senior lecturer or associate professor from staff members not located in a faculty. CAPA is chaired by the Deputy Vice-Chancellor (Education).

Education- focused candidate: A candidate for promotion who is an education-focused academic (ie. his or her primary role is to provide a high standard of learning and teaching, educational design and delivery and educational leadership).

Faculty or Divisional Cluster: refers to a cluster of Faculties and/or administrative Divisions that is serviced by a particular HR Service Hub. The Faculty or Divisional Clusters at the University are (1) Central Portfolios & PVC Gippsland, (2) Research & Information Services, (3) Social Sciences & Creative Arts, (4) Engineering & Sciences, (5) Arts, Education & Law and (6) Biomedical Sciences.

Faculty promotion coordinator: is a HR Business Partner within the relevant HR Service Hub (or nominee).

Head of Unit: head of an academic or organisational work unit, for example Head of School, Head of Department or where applicable, a person acting as his or her nominee. If there are no heads of unit within the faculty, a deputy dean or equivalent may be delegated the head of unit's responsibilities for the academic promotion process.

HR Business Partner: is a member of the Monash HR community who operates as a strategic partner responsible for providing a range of human resources services for an assigned Faculty or administrative Division. HR Business Partners are located within a HR Service Hub.

HR Service Hub: is the centre for human resources services and activities within a Faculty or Divisional Cluster.

Procedural irregularity: refers to where the University has not followed a process that is articulated in this procedure.

Eligibility for promotion

A successful application for promotion requires candidates to plan ahead as it takes time to assemble the case for promotion and supporting evidence and prepare the documents. A candidate must satisfy the dean that he or she has:

• been a sustained high performer at the present level of appointment, at or above the ‘faculty expectation’ level of academic performance for the candidate’s current level according to the academic performance standards; and
• the capacity to perform satisfactorily at the level to which promotion is sought, at least at the ‘minimum’ level of academic performance for that level according to the academic performance standards.

It may take several years to develop a track record of research, education and service which demonstrates that the above criteria are met. For this reason, candidates who are at the top salary step at the time of their application are more likely to be successful.

A candidate who moved to Monash may refer in her or his application to achievements at the previous university or universities. The dean should take these achievements into account when considering whether the candidate has met both of the criteria.

Overview of academic promotion process

1. Preparing for academic promotion

In approximately March, information sessions will be held for prospective candidates.

It is highly recommended that candidates:

• intending to apply for promotion, should flag this intention at least one year ahead with their performance supervisor and record it in their performance development plan;
• check the Academic Promotions website for promotion round dates;
• attend the information sessions in the year prior to applying and in the year that their application will be submitted;
• discuss their proposed application with their performance supervisor and head of unit; and
• confirm their intention to apply prior to the opening round with their performance supervisor, head of unit and faculty promotion coordinator.

After discussion with the performance supervisor and head of unit, candidates who decide to proceed with the application for promotion are required to complete their applications in accordance with this procedure.

2. Candidates complete application forms

The Academic Promotion Application Form Level B is available from the academic promotion website. It comprises three sections, namely:

• part 1 - candidate details, weightings, statement of ‘relevant personal circumstances’, and curriculum vitae;
• part 2 - the case for promotion - achievements in research, education and service; and
• part 3 - sign off (by head of unit, performance supervisor and candidate).

Candidates applying for promotion to lecturer must:

• complete all relevant sections in parts 1 - 3 of the application form;
• attach full sets of any summarised teaching evaluations (if applicable)
• ensure that the completed application form is signed..

Part 1 - Candidate details and weightings, statement of ‘relevant personal circumstances’ and curriculum vitae.

IA Candidate details and weightings

Candidates must enter their work details including personnel number, classification level and current fraction. Candidates should contact their faculty promotion coordinator if they need assistance in completing any of these details.

Candidates (except education-focused candidates) must ensure that they have allocated a minimum weighting of:

• 30% each for the categories of ‘research’ and ‘education’; and
• 10% for the category of ‘service’.

However, the dean can choose to reduce the minimum weightings if it better reflects the agreed performance development plan of the candidate. The dean may reduce the weightings as follows:

• 20% each for the categories of ‘research’ and ‘education’; and
• 10% for the category of ‘service’.

Education-focused candidates are required to allocate weightings of:

• a maximum of 85% for education, with a particular emphasis on educational design and delivery and educational leadership;
• a minimum of 5% for research; and
• a set 10% for service.

Education-focused candidates are encouraged to consult the Academic Promotion Guidelines for Education-focused Candidates Levels B - E for specific information relating to their application.

All candidates should:

• consider the weighting of their case carefully and seek advice from their performance supervisor and head of unit before finally determining the balance;
• choose weightings that strengthen their case in relation to achievements and reflect the assessments made annually as part of the Performance Development Process: Academic Staff and also the faculty’s expectations as set out in the academic performance standards for the level to which promotion is sought;
• ensure that they provide a thorough description and supporting evidence of the relevant achievements in all areas of academic activity regardless of the weighting attached;
• make the final decision regarding the allocation of weightings; and
• be aware that the dean will focus on the quality and impact of achievement in the three areas of academic activity rather than the relative time spent on each.

IB Relevant personal circumstances

Candidates should ensure that their application for promotion clearly specifies any relevant personal circumstances that will facilitate an assessment of his or her achievements relative to opportunity. The dean will evaluate relevant circumstances based on what the candidate has achieved given the opportunities available whilst ensuring that the indicators of quality and impact of achievements have been demonstrated. Candidates are not required to describe specific details about sensitive issues such as a medical illness. If it is important for specific details to be shared, a short and private discussion with the dean will suffice. Relevant circumstances may include:

• family responsibilities (for example child rearing, elder-care, illness of a partner or dependant);
• a temporary or permanent disability;
• relevant cultural expectations or circumstances;
• periods of part-time working; and/or
• absences due to ill-health or injury

Candidates who would like the dean to take into account relevant personal circumstances should:

• indicate which relevant personal circumstance applies in the relevant section of the promotion application form; and
• emphasise the impact that these circumstances have had on their ability to achieve during the time period that is being considered in the application i.e. since the last promotion or appointment.

For further information, refer to Supporting Materials: Suggestions for preparing relevant personal circumstances [word]

IC Curriculum Vitae

Candidates must provide a summary of their curriculum vitae in no more than three pages in length using the template provided.

Part 2 - The case for promotion - achievements in research, education and service

A candidate’s case for promotion must include evidence of his or her achievements in the three academic areas of activity - research, education and service. The case for promotion must explain the quality and impact of the achievements claimed and must reference the academic performance standards both at the candidate’s current level (expected to be at or above “faculty expectation” level) and the level to which promotion is sought (expected to be at least at the minimum level). The candidate’s case for promotion may include:

• a list of research outputs;
• research funding;
• research supervision;
• summary of teaching evaluations (MonQueST results); and
• summary of unit evaluations.

Candidates who provide summarised MonQuest and unit evaluations must provide the faculty promotion coordinator with a full set of the relevant MonQuest and unit evaluations at the time of submitting the application.

Candidates who moved to Monash from the same level of appointment or higher, and who have not since been promoted pursuant to this procedure may include evidence of achievements from that level of appointment at the previous university or universities.

Candidates must:

• record research, education and service achievements in the cells and tables provided in Part 2 of the Academic Promotion Application Form Level B;
• list research outputs in chronological order (starting with the most recent), numbered and cited appropriately, including all authors and journal page numbers, where applicable highlighting the top five research outputs;
• provide clear evidence of their contribution to the publication when they are not the single author, for example by indicating their contribution with a percentage figure; and
• list their achievements and publications since their initial appointment to Monash University.

The performance supervisor’s comments in the application must:

• refer to the staff member’s performance as documented in her or his performance development plan,
• provide evidence that the staff member has met the criteria for promotion, and
• comment on whether the staff member has been a sustained high performer at or above the faculty expectation standard for their level of appointment and the capacity to perform satisfactorily at the level to which promotion is sought at least at the minimum level of academic performance according to the performance standards.

The dean will use this information to assess whether the candidate has met the criteria for promotion, taking into account the weighting allocated by the candidate.

Part 3 - Sign Off

The performance supervisor and head of unit must indicate whether they agree that:

• the research, education and service weightings chosen by the candidate are appropriate; and
• there is a prima facie case for the application to be considered by the dean.

The effective date of the promotion will normally be the date the application is approved by the dean.

The candidate must countersign this section of the application form to indicate that he or she has read the contents of the performance supervisor's comments and head of unit's comments. Only when the candidate has countersigned the comments can the complete application be submitted to the faculty promotion coordinator for the dean's consideration.

3. Candidates submit application forms to the faculty promotion coordinator

The candidate will submit the application to the faculty promotion coordinator.
The faculty promotion coordinator will check that the application is complete. Only applications that comply with the instructions in the procedure and on the application form will be submitted to the dean for approval.
Once satisfied that the form is complete, and any required attachments are included, the faculty promotion coordinator will:

• acknowledge receipt of the complete application;
• advise the candidate that the application is being submitted to the dean for consideration;
• advise the candidate of the date by which they will be notified of the outcome; and
• advise the candidate that the timeframe may be extended should the dean require any further information from the candidate during the review process.

The faculty promotion coordinator will send the following to the dean and relevant Associate Deans:

• the application and any relevant attachments;
• a copy of the procedures; and
• a copy of the email acknowledgement sent to the candidate along with required timeframes for the dean's decision to be advised to the candidate.

4. The dean reviews the application

The dean will:

• assess the application and determine whether the candidate has met the criteria for promotion and
• consult with the associate deans responsible for education and research regarding the candidate's case for promotion.

The dean will inform the outcome in writing within fourteen days of receipt of the application.

Should the dean require any further information or clarification from the candidate, the faculty promotion coordinator will facilitate this process.

5. Candidates notified of outcome

Candidates will be notified in writing of the outcome of their application within 14 days of receipt of the application by the dean.
The following parties will receive a copy of the outcome letter:

• performance supervisor,
• head of unit
• in cases where the candidate is from a campus with a pro vice-chancellor, a copy is provided to the pro vice-chancellor.

Unsuccessful applicants will be provided with written advice outlining the areas that need strengthening before a future application is lodged. It is suggested that the staff member uses this advice, in consultation with the performance supervisor and head of unit, to guide the development of their performance development plan.

The faculty promotion coordinator will keep a record of the application and will ensure that a copy of the application, together with the dean's letter to the staff member, is provided to the relevant HR Service Hub for staffing action.

Rehearing

Candidates not recommended for promotion may lodge an application for a rehearing on the basis that there has been a procedural irregularity resulting in material disadvantage. Candidates should seek the advice of the dean before lodging an application for a rehearing.

For further information on the rehearing process refer to the Staff Development Procedure - Academic Promotion Rehearing Process Levels B-E.

Responsibility

Deputy Vice-Chancellor (Education): responsible for educational activities and projects within the University including the oversight of the academic promotion process. As the chairperson of, the Deputy-Vice-Chancellor (Education) is responsible for ensuring that the committee members carry out a fair, confidential and objective assessment of applications for promotion.

Dean: as the chairperson of the faculty promotion committee, the dean is responsible for ensuring that committee members carry out a fair, confidential and objective assessment of applications for promotion.

Head of Unit and Performance Supervisor: the candidate’s performance supervisor and head of unit are required to each provide a report that forms part of the academic promotion application form. If there are no heads of unit within the faculty, a deputy dean or equivalent may be delegated the head of unit’s responsibilities for the academic promotion process.

Related procedures

• Staff Development Procedure - Academic Promotion Procedures for Candidates Levels C-E
• Staff Development Procedure - Academic Promotion Committees Levels C-E
• Staff Development Procedure - Academic Promotion Rehearing Process Levels B-E
• Staff Development Procedure - Performance Development Process: Academic Staff
• Staff Development Procedure - Research-Only Academic Staff - Advancement to a Higher Research Level
• Recruitment, Selection and Appointment Procedure - Same-level appointment of existing staff to an Education-focused academic role
• Recruitment, Selection and Appointment Procedure - Recruitment of staff to an Education-focused academic role

Related documents

• Academic performance standards
• Academic promotions website
• Supporting Materials: Suggestions for preparing relevant circumstances [word]
• Academic Promotion Guidelines for Education-focused Candidates Levels B - E
• Academic Promotion Guidelines For Committees: Education-Focused Candidate Applications Levels B-E
• Monash Quality Unit

Forms

• Academic Promotion Application Form: Level B [word] [pdf]