• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Part A - Principles
• Part B - Eligibility
• Part C - Requirements for Promotion
• Part D - Criteria for Promotion
• Fields of Attainment
• Section 4 - Procedures
• Part E - Application Method
• Part F - Submission of Applications
• Part G - Referees
• Part H - Determination and Notification
• Part I - Promotions Committee
• Part J - Appeals
• Section 5 - Guidelines

Section 1 - Purpose and Context

(1) Nil.

Section 2 - Definitions

(2) Nil.

Section 3 - Policy Statement

(3) The University seeks to attract, retain and develop very high quality staff to put into effect its educational and research plans and achieve its goals. As part of this commitment it seeks to encourage by way of promotion those members of academic staff who show outstanding qualities in the performance of their functions.

(4) This policy applies to promotion to Associate Professor, Level D.

Part A - Principles

(5) The University regards its policy and procedures governing the appointment and promotion of its academic staff as an instrument for achieving its mission.

(6) In particular, the University values excellence and innovation in teaching, educational development, research, scholarship and the advancement of knowledge. It also acknowledges, in promotion, the contribution made by staff within the University and the wider community. A high level of commitment from the staff will be critical in achieving the University mission.

(7) The University accordingly has adopted the following principles, which will govern actions taken to promote academic staff:

1. the University is committed to equal employment opportunity and affirmative action in accordance with relevant legislation;
2. the University will foster the career development of all members of its staff;
3. the University will promote staff on merit relative to opportunity, based on the promotion criteria and the descriptors attached to those criteria, as outlined in this policy;
4. the University will establish a Promotions Committee to consider applications lodged by staff for promotion to Level D.

Part B - Eligibility

(8) Any full-time or part-time member of the academic staff of UWS with a continuing appointment may apply for promotion, provided that the staff member has served at least two academic years as an academic staff member at UWS prior to the date on which applications for promotion are invited. Any period of leave without pay or secondment to another institution cannot be included in the two-year period. Exemptions from the two-year rule will only be considered in exceptional circumstances and will be at the discretion of the Chair, Promotions Committee, to whom a case must be put prior to the close of applications.

(9) Academic staff employed on the basis of a fixed-term contract are also eligible to apply, but promotion of a person who is employed on a non-renewable contract does not vary the length of the contract.

(10) Academic staff who take a period of more than six months leave without pay are not normally eligible to apply for promotion in the calendar year (January - December) that the leave commences. Applicants wishing to do so will be required to make a case to the Chair, Promotions Committee.

(11) Academic staff whose employment is externally funded are not eligible to apply for promotion unless the funds include provision for an increase to support the promotion.

(12) Academic staff employed on a casual basis are not eligible to apply for promotion.

(13) An academic staff member may not normally apply for promotion in consecutive years. This provision may only be varied if the Chair, Promotions Committee considers a case to be exceptional.

(14) An applicant may make only one application in a promotion round at any level and applications will only be considered for the level applied for.

(15) Before a promotion can be confirmed, the applicant must have a current, signed workload agreement and have participated constructively and in good faith in the Academic Performance Planning and Review process.

Part C - Requirements for Promotion

(16) The minimum requirement for promotion is that applicants meet the general standard for the level sought for promotion as specified in Appendix 1 of this policy, and that they demonstrate superior achievement at their current level of appointment. In particular applicants must:

1. demonstrate satisfactory performance in all of the attainment fields listed in Clause 18 below; and
2. demonstrate an outstanding level of achievement in one attainment field and meritorious achievement in at least one other field.

(17) The exception to the above is when the applicant is a research only academic. In this case the benchmark for the requirement to demonstrate an outstanding level of achievement in research will be higher than the benchmark required for an academic holding a teaching and research position. If attainment in the field of teaching is part of the application then this might be demonstrated exclusively by reference to successful Higher Degree by Research or honours supervision.

Part D - Criteria for Promotion

Fields of Attainment

(18) When assessing candidates for promotion, the Promotions Committee will give regard to the specific fields of attainment that follow. Appendix 1 and the Expanded Descriptors (see the Associated Information page) outline each of the attainment fields.

1. Achievement in Research, including engaged research, and/or Scholarship and/or Research-based Professional Consultancy Activities.
2. Experience and Achievement in Teaching, including engaged teaching, and/or Curriculum Development and/or Educational Leadership and/or Educational Development and/or Learning Development.
3. Contribution to Institutional Leadership and/or Governance at UWS and/or the university sector and/or service to the relevant profession or academic discipline and/or service to the community.

(19) Evidence of the initiation, or undertaking, of successful entrepreneurial activities on behalf of the University is admissible to support a case for promotion. While such activities may not fall clearly into any one of the fields of attainment listed above, candidates should include any relevant evidence under the field to which it seems, in the light of the activity involved, most appropriate.

(20) The Office of Research Services Register of Research Activity should be utilised by all UWS researchers for registration of their outcomes and in cases where other sources are utilised in applications for promotion applicants should explain why alternative sources have been selected. The Promotions Committees may, at its discretion, seek validation of claims relating to research achievements from the Office of Research Services.

(21) Only consulting projects that have been approved, conducted and recorded in accordance with UWS policies are eligible to be considered in support of an application for promotion.

Section 4 - Procedures

Part E - Application Method

(22) The Vice-Chancellor will invite applications for promotion annually at least two months in advance of the closing date for applications. This invitation will include a timetable for completion of the promotion process.

(23) Works accepted for publication but not published before the closing date for applications may be included in the publications list if they are marked as such. Applicants are required to demonstrate the quality and significance of any such publications and evidence of acceptance by the journal or publisher will need to be provided to the Dean or Director for endorsement and submission to the Executive Officer, Promotions by the time the Promotions Committee meet.

(24) Where appropriate, the application should include citation data from the relevant citation index for each publication, excluding self-citations. It is acknowledged that citations will only be possible where they are routinely available.

(25) The applicant must provide evidence of information in the application (e.g. publications, research grants, consultancies etc.) to the Dean or Director, who must verify that the evidence has been sighted.

(26) Applicants must nominate up to five works in their publications list that they regard as the most significant and explain their significance.

(27) Applicants must clearly state the percentage of their contribution to publications, must include the number of pages in books, the page numbers of articles or chapters in books and must use the referencing system recognised as appropriate in their discipline. Publications in alternative media should include an explanation of their content and significance.

(28) Applications must be made on the template provided, which consists of a cover sheet (including personal details, academic qualifications and employment history), the written case for promotion, which should not exceed seven pages, and evidence of achievements, including details of qualifications, appointments, publications, grants, units and courses developed and taught, supervision of research students and major student projects, scholarly activities, committee membership, etc., in tabular form. Publications should be listed under the standard DIISRTE categories.

(29) Applicants are required to address all the requirements for promotion as outlined in Part C and D of the promotion policy, (i.e. all three fields of attainment), except where not applicable, in which case, the requirements of Clause 18 above will apply; paying particular attention to the relevant general standard and descriptors contained in Appendix 1 and the Expanded Descriptors document (see Associated Information).

(30) Although applicants may refer to achievements across the criteria, they must ensure that they do not duplicate their case in more than one criterion.

(31) Applicants should emphasise achievements, publications, etc., produced in the last five years or since their last promotion or since appointment to UWS, whichever is the shorter period of time, but should include a complete list of their achievements, publications etc. over the course of their career.

(32) Guidelines to assist in completing the application are also available. Applicants are strongly encouraged to use the guidelines and provide evidence of their claims when preparing their application for promotion.

(33) Applicants are required to specify for each promotion criterion whether their level of attainment is to be considered by the Promotions Committee as outstanding, meritorious or satisfactory. Definitions of these terms can be found in Appendix 1.

(34) Applicants are invited to provide a brief personal statement on any relevant personal considerations that will facilitate an assessment of their achievements relative to opportunity relevant to their application. Relevant personal circumstances or arrangements can include:

1. family responsibilities (for example primary carer for children, elder-care, illness of a partner or dependant);
2. a temporary or permanent disability;
3. relevant cultural expectations or circumstances;
4. periods of part-time work; and / or
5. absences due to ill-health or injury.

(35) Applicants may provide a one-page supplementary statement where relevant information which was not available at the date of the close of applications subsequently becomes available. Supplementary statements must be provided to the Executive Officer, Promotions no later than one month prior to the scheduled Promotions Committee meeting.

(36) All material cited in the application must be available to the Committee if requested.

(37) To support their case for Experience and Achievement in Teaching, including engaged teaching, and/or Curriculum Development and/or Educational Leadership and/or Educational Development and/or Learning Development, applicants must provide student feedback results and commentary for all units taught in the last three years and a summary of action taken in response to the student feedback. Such statements should be submitted to the Executive Officer, Promotions at least one month prior to the scheduled Promotions Committee meeting.

Part F - Submission of Applications

(38) Applicants are required to submit an electronic version of the application to the Executive Officer, Promotions (email: promotions@uws.edu.au) by the closing date specified in the notice calling for applications. At the same time, applicants should also submit a copy of their application to their Dean or Director (if not located in a School) and Academic Supervisor. Applicants must provide evidence of their publications, research grants and consultancies etc. referred to in the application.

(39) All applications for promotion will be acknowledged by the Executive Officer, Promotions within one week of receipt of the application.

(40) The Executive Officer, Promotions will request a recommendation report from the relevant Dean or Director within seven working days of the closing date for applications. The Report is to be completed by the Dean or Director in consultation with the Academic Supervisor. The recommendation must be co-signed and submitted to the Executive Officer, Promotions on the required template within 21 calendar days of the request. The template contains provision for addition or qualification by the Academic Supervisor.

(41) Prior to submission of the recommendation report, the Dean or Director and Academic Supervisor are required to read the application in full. On completion of the recommendation report, the Dean or Director must give a copy of his or her recommendation report to the applicant at the same time as he or she submits the report to the Executive Officer, Promotions.

(42) If an applicant disagrees with any aspect of the Dean's or Director's recommendation report, he or she has a right of reply. The applicant must send a response (no more than one page) to the Executive Officer, Promotions within seven working days of the receipt of the copy of the Dean's or Director's report. Executive Officer, Promotions will send a copy of the response to the Dean or Director.

(43) Once the Promotions Committee has met, an applicant cannot normally withdraw his or her application except in the circumstances in Clause 44 below.

(44) An application for promotion is to be withdrawn if the applicant has accepted an offer of redundancy, a position in another institution, or has resigned from the University.

Part G - Referees

(45) Applicants are required to provide the names, addresses (email and postal) and facsimile numbers of three referees who may be consulted about the applicant's suitability in terms of the criteria for promotion. Applicants are normally expected to nominate two referees of international standing from within the applicant's field of expertise and one who would be an internal referee who holds a position of Associate Professor or above at the University.

(46) All referees' reports will be requested by the Executive Officer, Promotions immediately following receipt of applications. Applicants should try to avoid nominating members of the Promotions Committee as referees.

(47) While applicants may provide their nominated referees with relevant supporting documentation the University will make the formal request for written reports from the nominated referees and provide those referees with copies of the application for promotion.

(48) In addition the relevant Dean or Director, without reference to the applicant, should nominate a panel of experts in the discipline to act as independent assessors, of which the Deputy Vice-Chancellor, Academic and Research may select three. The identity of those nominated is to be treated with the utmost confidentiality. The independent assessors must be experts within the relevant discipline at full professorial level, or if this is not appropriate they should be readily identified as distinguished industry leaders. The selected assessors are to review the significant works nominated by the applicant, in addition to providing information on the standing of the applicant in the particular discipline. The applicant may inform the relevant Dean or Director the people whom he or she would not wish the University to approach and those electing to exercise this option will be required to provide a written case to justify any such request.

Part H - Determination and Notification

(49) The Promotions Committee will recommend an applicant to be promoted or not promoted.

(50) Applicants must not contact a member of the Promotions Committee to discuss their application, except to receive official feedback from the Chair after results have been notified.

(51) Recommendations of the Promotions Committee to the Vice-Chancellor to promote will be determined by a majority vote of at least seven in the Committee.

(52) Having considered the recommendations of the Promotions Committee, the Vice-Chancellor will determine which applicants are to be promoted.

(53) Each applicant will be notified in writing of the outcome of their application within 14 working days of the Vice-Chancellor's decision. For unsuccessful applicants, written notifications will indicate the Committee's assessment on each criterion.

(54) All successful applicants will be promoted with effect from 1 January of the year following application, unless the Vice-Chancellor determines an earlier date for all successful applicants.

(55) At the completion of the annual promotions process, the Vice-Chancellor will report to the Academic Senate about the following:

1. the number of applicants in the round;
2. the number of promotions approved (with breakdown by gender);
3. information on the timing of the promotions round;
4. the names (and positions held) of the members of the Promotions Committee;
5. names of successful applicants and their level of promotion; and
6. the number of appeals and outcomes.

Part I - Promotions Committee

(56) The composition of the Promotions Committee will have regard to gender balance, in accordance with University policy, and disciplinary balance. While the Committees should be broadly-based, there is no requirement that all disciplines are represented. The Director, Equity and Diversity may provide advice on the composition of the Committee.

(57) Membership of the Promotions Committee will comprise at least:

1. Deputy Vice-Chancellor, Academic and Research (Chair),
2. the Chair, Academic Senate,
3. Pro Vice-Chancellor (Education) Pro Vice-Chancellor (Research) and Pro Vice-Chancellor (Engagement and International),
4. three members of the academic staff at Level D or above appointed by the Vice-Chancellor,
5. one external member at Level D or above appointed by the Vice-Chancellor.

(58) The Director, Equity and Diversity will be invited to be in attendance, as a non-voting observer. If the Director has any concerns regarding procedural matters in a Committee session, it is expected that he or she will normally raise them with the Chair of the Committee either during the session or, in a written report, immediately afterwards.

(59) Members of the academic staff who are appointed to the Promotions Committee will normally serve as members for a period of two years and are eligible for re-appointment or re-election.

(60) All members are expected to be present for meetings of the Promotions Committee. The Vice-Chancellor will nominate an appropriate replacement if a committee member is unable to attend, or continue to serve once the consideration of applications has commenced (e.g., owing to illness or other unforeseen and unavoidable circumstances).

(61) The Executive Officer, Promotions will ensure that Committee members have received appropriate orientation in the procedures and practices of the promotions process.

(62) The Promotions Committee will provide a written report to the Vice-Chancellor, clearly recommending for promotion applicants who are successful in meeting the promotion criteria and identifying applicants who do not meet the criteria.

Part J - Appeals

(63) Unsuccessful applicants for promotion who believe that they have been treated unfairly owing to a defect in the process followed during the promotion round, and who consider that defect has materially affected the decision of the University Promotions Committee, may lodge a formal appeal. The grounds of any such appeal are limited to:

1. failure by the Promotions Committees to comply with the procedural requirements of the Policy; and/or
2. a failure to observe the requirements of procedural fairness during Committee processes.

(64) Any such appeal must be submitted in writing to the Executive Director, People and Culture within 20 working days of receiving the notification referred to in Clause 55 above, specifying the procedural grounds on which the appeal is made.

(65) Appeals must refer to the Promotions process and cannot be based on advice received after notification of the result.

(66) A Promotions Appeals Committee will be established on a triennial basis to consider appeals from all levels, including Level E (Professorial).

(67) The Promotions Appeals Committee will consist of three members, approved by the Vice-Chancellor, being:

1. an independent Chairperson, with appropriate knowledge of procedural fairness and administrative justice, nominated by the Vice-Chancellor;
2. a staff member nominated by the Vice-Chancellor; and
3. a staff member nominated by the Academic Senate.

(68) In the case of the staff members in Clause 68, the nominees will be UWS staff members, classified as full-time (being half-time or greater), who have accepted and entered upon duty in a position with duration of one year or more.

(69) Each appellant is to be notified of the membership of the Committee and be given the opportunity to present a case for the consideration of the Vice-Chancellor, where there is any perceived conflict of interest.

(70) The Executive Director, People and Culture will appoint a secretary to assist the Committee.

(71) The Promotions Appeals Committee may accept written and oral statements from the appellant, the relevant Chairs of the Promotions Committees and any other person relevant to the conduct of the Promotions process. The Chair, Promotions Committees may be required to present an oral statement to the Promotions Appeals Committee. The Chair, Promotions Committees shall not receive or consider the Report of any Appeals Committee unless the appeal is upheld. All proceedings of the Promotions Appeals Committee shall be conducted in the strictest confidence.

(72) The Promotions Appeals Committee will then advise the Vice-Chancellor via a formal written report of their recommendation to uphold or reject the appeal. The appellant will be notified of the decision of the Vice-Chancellor to uphold or reject the appeal.

(73) If the Vice-Chancellor decides that an appeal should be allowed, the appellant is entitled to have the application reconsidered only by the Committees that considered the original application. In such cases, the relevant Promotions Committees will be provided a copy of the Promotions Appeals Committee's report.

Section 5 - Guidelines

(74) Refer to the documents on the Associated Information page.