Staff Development Procedure - Academic Promotion for Candidates Levels C-E

Parent Policy

Staff Development Policy

Preamble

Promotion at Monash University is based on merit following a thorough and fair process which applies to this procedure and the Staff Development Procedure - Academic Promotion Committees Levels C-E. 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 who satisfy the promotion committee(s) that they meet the criteria for promotion are to be promoted irrespective of considerations such as the increased cost of staffing.

Unless a candidate has been offered a conditional promotion, all promotions will take effect from 1 January of the year following the promotion decision. All Professorial positions are subject to the statutes and regulations of the University, in particular statute 3.4.1 - The professors.

A candidate may withdraw an application at any time prior to its consideration by the faculty committee.

This procedure applies to staff who:

• are appointed to undertake research, education and service activities;
• have a current performance development plan which complies with the requirements of the Performance Development Process: Academic Staff; and
• are seeking promotion to senior lecturer, associate professor, reader or professor.

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.

This procedure should be read in conjunction with the Staff Development Procedure - Academic Promotion Committees Levels C-E.

Definitions

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. Applications supported by CAPA are submitted to the University associate professor promotion committee for resolution. CAPA is chaired by the Deputy Vice-Chancellor (Education).

SPAC: Special Professorial Appointments Committee. In accordance with the Staff Development Procedure - Academic Promotion Committees Levels C-E, SPAC is responsible for receiving and considering applications for academic promotion to professor from staff members not located in a faculty. Applications supported by SPAC are submitted to the University professorial promotion committee for resolution. SPAC is chaired by the Vice-Chancellor.

Conditional promotion: A conditional promotion means that the committee authorises the chairperson of the committee to approve the promotion if certain specific criteria are met before 1 May in the following year. A conditional promotion will come into effect on the date that the chairperson approves the promotion or 1 January in the year following the candidate’s application, whichever is the later.

Head of Unit: The academic head of unit/school/department/centre or director 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.

Procedural irregularity: refers to where the University has not followed a process that is articulated in this procedure or the Staff Development Procedure - Academic Promotion Committees Levels C-E.

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, prepare the documents, choose referees and ensure their availability. A candidate must satisfy the promotion committee that he or she has:

• been a sustained high performer at the present level of appointment; and
• the capacity to perform satisfactorily at the level to which promotion is sought.

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 from the same level of appointment or higher and who has not since been promoted pursuant to this procedure may apply for promotion and refer in her or his application to achievements at that level of appointment at the previous university.

Overview of academic promotion process

1. Academic promotion round opens

The promotion round normally opens in May and closes in June each year.

Approximately two months prior to the commencement of the academic promotion round each faculty and campus will hold information sessions for prospective candidates.

It is highly recommended that candidates:

• 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; and
• discuss their proposed application with their performance development supervisor and head of unit.

If it is determined that the application is to proceed, candidates are required to complete their applications in accordance with this procedure.
Candidates should be mindful of the need to consult early in the round with their:

• faculty promotion coordinator to be clear of any faculty-specific requirements or key dates;
• performance development supervisor and head of unit to negotiate timely completion of reports; and
• referees to determine their willingness to support the application.

2. Candidates complete application forms

The Academic Promotion Application Form Levels C-E is available from the academic promotion website. It comprises four sections, namely:

• part 1 - candidate details, weightings, referees and assessors, statement of ‘relevant circumstances’ and curriculum vitae;
• part 2 - the case for promotion - achievements in research, education and service;
• part 3 - sign-off (by performance development supervisor, head of unit, candidate); and
• part 4 - associate dean reports.

In addition, candidates may attach a maximum of five pages of supporting evidence.
Candidates applying for promotion must:

• complete all relevant sections in parts 1 - 4 of the application form; and
• ensure that the completed application form is signed and submitted with relevant attachments by the promotion round closing date.

The promotion committees will only accept applications that comply with the instructions on the application form. The committee may call for further information about the summarised material.

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

1A Candidate details and weightings

Candidates must enter their work details including personnel number, classification level, current fraction and promotion level sought. Candidates should contact HR Enquiries via telephone (03) 9902 0400 if they need assistance in completing any of these details.

Candidates must allocate weightings to each of the categories of research, education and service within the parameters. The total weightings should add up to 100% and meet the minimum requirements for each category. Candidates must ensure that they have allocated a minimum weighting of:

• 20% for ‘research’ and 30% for ‘education’; or
• 30% for ‘research and 20% education’; and
• 10% for the category of ‘service’.

Candidates wishing to apply for promotion from senior lecturer to reader are required to allocate weightings of:

• 70% weighting to research, with a particular emphasis on research leadership;
• 20% for education; and
• 10% for service.

Senior lecturers or associate professors who are currently in a leadership role or have been in such a role within the University for a substantial period may apply under a special case for promotion to associate professor or professor respectively based on outstanding service. An application under this provision must make a case that justifies a weighting of:

• 60% for service with a significant emphasis on leadership in the candidate’s faculty or the University; and
• 40% for research and education combined, with a minimum of 10% for each, if it reflects the agreed performance development plan of the candidate.

All candidates should:

• consider the weighting of their case carefully and seek advice from their performance development supervisor and head of unit before finally determining the balance;
• chose weightings that strengthen their case in relation to achievements and reflect the assessments made annually as part of the Performance Development Process: Academic Staff;
• 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 promotion committees will focus on the quality and impact of achievement in the three areas of academic activity rather than the relative time spent on each.

1B Referees and assessors

Candidates should be careful when choosing referees and take into account the prospective referees’ seniority, standing, familiarity with the candidate’s work and capacity to make an objective evaluation. Candidates may wish to take advice from their performance development supervisor or head of unit.

Candidates applying for promotion to:

• senior lecturer (level C) must nominate four referees of national standing in the discipline;
• associate professor or reader (level D) must nominate two referees of at least national standing in the discipline; and
• professor (level E) must provide two referees of international standing. A referee is of international standing if he or she is recognised internationally for specialist knowledge and a reputation for research quality, irrespective of where the referee is actually based.

Prior to completing the referee section of the application form, candidates should:

• contact referees to ascertain their willingness to provide a confidential written report;
• provide referees with a copy of their application for promotion and a copy of this procedure; and
• establish that the referees will be available to provide a written report prior to the promotion committee meeting.

Candidates must include within their application the name, postal address, fax number and business or institution email address of all referees. In addition, candidates must comment on each referee’s qualification to provide a report and the reason why each has been nominated.

The head of unit will write a comment on each of the referees selected by the candidate in the relevant sections, part 1B of the application form.

The faculty promotion coordinator and/or a representative of the promotioncommittee will make all reasonable efforts to contact the referees listed. Referee reports will be provided in English, unless prior arrangements are made with the faculty promotion coordinator.

If a candidate who is unsuccessful one year applies for promotion again the following year, he or she may use the referee report from the previous application. In this situation, the faculty promotion coordinator will contact the referee to provide her or him with the opportunity to update the original report.

External assessors (only for candidates applying for promotion to levels D and E)

The head of unit must:

• nominate two external assessors for each candidate applying for promotion to levels D and E; and
• contact each assessor to determine her or his willingness and availability to provide an assessment of the candidate.

The faculty promotion coordinator will:

• be the contact point for any further communication with the assessor;
• provide assessors with a copy of the candidate’s application for promotion;
• inform the assessor of their role and ensure that they understand they have been nominated by the University (as distinct from the candidate);
• send an assessor’s report form to the assessor to complete; and
• ask the assessor for their considered opinion on whether the candidate has met the criteria for promotion.

External assessors will be asked to:

• provide an opinion drawn from their understanding of the achievements expected of an academic at level D or E (as appropriate) in their particular field; and
• comment on the application submitted (in its entirety) and make an assessment of the candidate's achievements in a specific area of activity in the particular circumstances of the case.

A candidate may object to the choice of one or both of the assessors by notifying the dean, as chairperson of the faculty committee, within seven days of counter-signing the letter. The dean will then require the head of unit to provide the names of one or more replacement assessors within seven days. The head of unit may discuss the proposed replacements with the candidate but the candidate may make no further objections to the selection.

1C Relevant circumstances

Candidates should ensure that their application for promotion clearly specifies any relevant circumstances that may have impacted on any of the three areas of academic activity. 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;
• conditions of employment including access to authorised leave;
• limited access to University resources and facilities;
• issues relating to geographical distance, including the impact of travel requirements;
• a lack of opportunity to consult and collaborate with academic colleagues;
• working in a developing area with limited established research, education or supervision opportunities;
• a lack of access to government research funds; and/or
• limited opportunities to supervise higher degree by research students.

Candidates who would like a promotion committee to take into account relevant circumstances should:

• provide a separate brief statement in the relevant section of the promotion application form; and
• place particular emphasis on 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 circumstances

1D 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 comprehensive information about his or her activities in three academic areas of activity - research, education and service. The case for promotion must provide evidence of the quality and impact of the achievements claimed and may include:

• a list of research outputs;
• research funding;
• assessment of competitive grants;
• research supervision of higher degree by research (HDR) and honours students;
• other significant research achievements;
• summary of teaching evaluations* (MonQuest evaluation results should be used where possible and comprise a representative spread of evaluations since the candidate’s last promotion pursuant to this procedure);
• summary of unit evaluations*, where there has been a significant contribution to the unit by the candidate and the candidate is able to indicate their individual contribution to the unit’s preparation and delivery;
• outline of education and unit improvement and innovation;
• a copy of the performance development plan, signed by the performance development supervisor and candidate (optional); and
• other supporting evidence (maximum five pages).

* 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 a representative spread of evaluations from that level of appointment at the previous university.
Candidates must:

• record research, education and service achievements in the cells and tables provided in Part 2 of the Academic Promotion Application Form Levels C-E;
• list publications in chronological order (starting with the most recent), numbered and cited appropriately, including all authors and journal page numbers, where applicable;
• 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;
• list their achievements and publications since their initial appointment to Monash University or since their most recent successful application for promotion at Monash University; and
• avoid unnecessary duplication but draw out particular facets or dimensions of their achievements under the relevant headings, for example as research supervision may also be regarded as a form of education, candidates may elect to include achievements in research supervision in either the research or education category but not in both.

Candidates may include achievements that pre-date their appointment or promotion if they are still having a significant impact (for example a publication in a top journal that continues to be cited frequently).

Refer to Examples of Supporting Evidence For Candidates Applying For Promotion: Levels C-E.

The candidate’s performance development supervisor must write a report on the achievements recorded in each area of research, education and service, including a comment on the allocation of weighting given to each area.

If the performance development supervisor and head of unit is the same person, a statement to this effect should be included in the performance development supervisor’s report.

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

Part 3 - Sign off

The candidate’s performance development supervisor and head of unit must each indicate whether they feel 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 faculty promotion committee.

The candidate must countersign this section of the application form to indicate that he or she has read the contents of the performance development supervisor’s report and head of unit’s comments.

Part 4 - Associate dean reports

All applications for promotion require the inclusion of the associate deans’ reports before they are submitted to a faculty promotion committee. Candidates are required to submit their application to the faculty promotion coordinator by the promotion round closing date.
Candidates must check with their faculty promotions coordinator to find out if they are required to complete a summary table for the associate deans of research and teaching prior to submitting their applications.

Candidates who are not located in a faculty should contact the Human Resources Division prior to submitting their application for assistance in obtaining the associate deans’ reports.

Associate deans responsible for research and teaching in a faculty must provide a report on each candidate’s case for promotion that includes:

• an overview and assessment of the candidate's achievements in the relevant areas of academic activity; and
• faculty and University metrics or promotion case studies, where available.

The associate deans will complete the report after the academic promotion round has closed.

All candidates will have the opportunity to sight these reports before they are submitted with their application to the faculty promotion committee.

3. Academic promotion round closes

All promotion candidates must send their completed and signed application form and attachments to the faculty promotion coordinatorby close of business on the promotion round closing date.

Alternatively, candidates who are not faculty based must send their applications for promotion to:

• senior lecturer, associate professor or reader to the Deputy Vice-Chancellor (Education); and
• professor to the Vice-Chancellor.

Applications must be received by the close of business, on the round closing date.

Refer to the List of Faculty Promotion Coordinatorsfor contact details.

4. Applications reviewed by promotion committees

All applications for promotion from faculty-based candidates are assessed within the candidate’s faculty by a committee chaired by the dean or acting dean.

Applications for promotion to senior lecturer, associate professor or reader from candidates who are not faculty-based are assessed by the Committee for Academic Promotions and Appointments Levels B-D (CAPA) chaired by the Deputy Vice-Chancellor (Education).

Applications for promotion to professor from candidates who are not faculty-based are assessed by the Special Professorial Appointments Committee (SPAC) chaired by the Vice-Chancellor.

The Committees have the power to co-opt additional staff members to the committee with expertise in the discipline area of the applicant to provide additional context.

Candidates - New information

Candidates should be aware that the only new information which may be received by the promotion committees will be that which became available subsequent to the lodgement of their application.  The nature of the new information is either to:

• clarify or update information alluded to in their application, for example the success of a grant application listed as ‘pending’; or
• provide new information about a fact or event that significantly strengthens their case for promotion, for example the receipt of an award or admission to a learned body or academy.

Candidates have an obligation to correct any information that may mislead the promotion committee if left uncorrected, for example a manuscript submitted to a publisher or journal that has been rejected.

Interviews for promotion to professor

Candidates applying for promotion to professor are required to participate in an interview with the faculty professorial promotion committee. The purpose of the interview is to clarify information contained in the candidate’s application or statement of relevant circumstances and to allow candidates to present and defend their case for promotion. Candidates unable to attend an interview in person will be provided with an opportunity to be interviewed by the faculty promotion committee via an audio-conferencing or video-conferencing facility.

Faculty committees

The faculty promotion committees (or CAPA or SPAC) will meet to consider the promotion applications.

Applications for promotion to senior lecturer are decided by the faculty senior lecturer promotion committee.

Applications for promotion to associate professor, reader and professor are recommended by the respective faculty promotion committee to the University associate professor and professorial promotion committees.
The faculty promotion committee will decide on a listing in merit order of those candidates recommended for consideration by the University associate professor and professorial promotion committees. The listings do not bind the University committees and are confidential. The listings are not provided at any stage to candidates, whether successful or unsuccessful.

University committees

The chairperson of the faculty committee, CAPA or SPAC will provide the University associate professor/reader and professorial committee with a separate covering report addressing the candidate’s case in the areas of research, education and service. The covering report will draw on the discussions of the committee, including the contributions of the external representatives. The chairperson will discuss the report with the candidate and provide the candidate with a copy.

In addition, the chairperson will send the respective University committees:

• the completed application form with the head of unit’s report, performance development supervisor’s report, associate deans of research and teaching reports, referee reports and assessor reports; 
• a report which ranks the candidates in terms of who has the best case for promotion; and
• a list of those candidates not being supported for promotion and the reasons why the faculty committee, CAPA or SPAC does not support the candidates.

The University associate professor and professorial committees meet to consider the information provided by the faculty committee, CAPA or SPAC.

The dean may be interviewed by the University associate professor or professorial promotion committees, at the committee’s request, and may act as an advocate for the candidates from his or her faculty. The dean should be familiar with all background material relating to a candidate’s case and be prepared to discuss it with the University promotion committee.

The external member of the faculty committee must be in attendance if the dean is interviewed, to offer his or her perspective on the strengths and weaknesses of each candidate’s case. The external member may not adopt the role of candidate advocate.

Refer to the Staff Development Procedure - Academic Promotion Committees: Levels C-E for further information about the promotion committees and applicant assessment process.

5. Candidates notified of outcome

Promotion to senior lecturer

The chair of the faculty committee, CAPA or SPAC will inform candidates in writing of the decision of the faculty senior lecturer promotion committee within seven days of the final sitting day of the committee.

Copies of the letters are provided to the performance development supervisor and 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 in addition to the performance development supervisor and head of unit.

Promotion to associate professor, reader or professor

The chairperson of the faculty associate professor and professorial promotion committees, CAPA or SPAC will:

• discuss the recommendations of the faculty committee with the successful candidates individually; and
• advise them if revisions are recommended before the application is forwarded to the University associate professor or professorial promotion committee. The focus of these revisions is to provide clarification of information already provided in the application.

The chair of the faculty committee, CAPA or SPAC will inform candidates in writing of the decision of the faculty associate professor and professorial promotion committees within seven days of the final sitting day of the committee. Copies of the letters are provided to the performance development supervisor and head of unit. In cases where the candidate is from a campus with a pro vice-chancellor, a copy is also provided to the pro vice-chancellor.

The chairperson of the University associate professor and professorial promotion committee will inform candidates in writing of the outcome of their applications within seven days of the committee’s last sitting day.

Copies of the letters are provided to the dean and faculty promotion coordinator. In cases where the candidate is from a campus with a pro vice-chancellor, a copy is also provided to the pro vice-chancellor.

Unsuccessful candidates

Candidates not recommended for promotion will be provided with written advice outlining the areas that need strengthening before a future application is lodged. The chairperson of the committee or a representative appointed by the chairperson is encouraged to meet with the candidates individually to discuss this further. It is suggested that candidates use this advice, in consultation with their performance development supervisor, when revising their performance development plans.

Conditional promotion

The faculty senior lecturer promotion committee and University promotion committee may make a conditional promotion decision where the committee believes that the candidate’s case for promotion is ‘borderline’ but that some specified achievements by the candidate before the next promotion round would lead to a clear case for promotion.

The committee must:

• precisely define the conditions to be met;
• communicate these clearly in writing to the candidate; and
• base the conditions on the appropriate metrics for the level of promotion (senior lecturer, associate professor/reader, professor).

If the candidate does not meet the specified promotion conditions before 1 May in the following year, and wishes to reapply for promotion, the candidate will be required to submit a new application for promotion.

If the candidate succeeds in meeting the specified conditions before 1 May in the following year, a written recommendation must be submitted to the chairperson of the committee that the candidate be promoted. The written recommendation must come from the:

• head of unit of a candidate applying for promotion to senior lecturer; or
• dean for candidates applying for promotion to associate professor/reader or professor.

The decision of the chairperson of the promotion committee is final and there is no appeal process.

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 chairperson of the committee, the dean, or both 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

Vice-Chancellor: as the chairperson of the University professorial promotion committee and SPAC, the Vice-Chancellor is responsible for ensuring that the committee members carry out a fair, confidential and objective assessment of applications for promotion.

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 University associate professor promotion committee and CAPA, 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 Development Supervisor: the candidate’s performance development 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.

Associate Deans: the associate deans responsible for teaching and research in a faculty are required to provide a report on the candidate’s case for promotion in the relevant area of academic activity.

Related procedures

• Staff Development Procedure - Academic Promotion for Candidates Level B
• 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
• Conduct and Compliance Procedure - Paid Outside Work

Related documents

• Academic promotions website
• Supporting Materials: Suggestions for preparing relevant circumstances
• Centre for Higher Education Quality
• Centre for the Advancement of Learning and Teaching
• Examples Of Supporting Evidence For Candidates Applying For Promotion: Levels C-E
• List of Faculty Promotion Coordinators

Forms

• Academic Promotion Application Form: Levels C-E
Performance Development Plan