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Academic Staff Promotion Procedure

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Section 1 - Purpose

(1) This Procedure describes the pre and post management and assessment of applications for academic promotion at Charles Sturt University (the University). Persons involved in the Academic Staff Promotion process will refer to this document to ensure that policy and procedure are followed and identify whom they should consult should issues arise.

Scope

(2) This Procedure applies to:

  1. academic staff of the the University who hold a fixed-term or continuing appointment in a full-time or fractional capacity at Level A, B, C, or D;
  2. the Academic Staff Promotion Committee appropriate to the applicant's Level; and
  3. employees involved in the administration of Academic Promotion applications and documentation.
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Section 2 - Glossary

(3) Nil.

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Section 3 - Policy

(4) Refer to the Academic Staff Promotions Policy.

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Section 4 - Procedures

Part A - Applications for Promotion

(5) Dates for each Academic Staff Promotion round will be advertised by the Division of Human Resources in March of each year.

(6) Applicants for promotion will advise the Secretary, Academic Staff Promotion Committees by the end of April of their intention to apply for promotion that year. The Secretary, Academic Staff Promotion Committees will provide a confidential list of names to the Deputy Vice-Chancellor (Research, Development and Industry) and the relevant Executive Dean.

(7) Applicants for promotion will contact the Division of Learning and Teaching Services by the end of May to compile a Comprehensive Report for Core Items.

(8) Applicants for promotion will submit their applications to their Head of School/supervisor for their comment by 1 August.

(9) All applications for promotion must be submitted to the Division of Human Resources by the end of August (as advertised). Late applications will not be accepted.

(10) All applicants will receive a formal acknowledgement letter from the Secretary, Academic Staff Promotion Committees within five days of the closing date, who will also advise of any outstanding referee reports which need to be followed up by the applicant.

(11) If the Vice-Chancellor decides to place a limit on the number of positions available at any or each academic level, then the number of promotion positions available will be publicised when inviting applications for promotion.

(12) The Division of Human Resources will collate applications, Comprehensive Reports and referee reports for all applicants and distribute applications to the relevant Promotion Committee members, which will then make recommendations in respect of each applicant.

Part B - Academic Staff Promotion Committees

(13) There are three Academic Staff Promotion Committees:

Faculty Academic Staff Promotion Committee

(14) This committee will meet face-to-face (where possible) to consider applications to Lecturer (Level B) during September of each year.

(15) Each Faculty Academic Staff Promotion Committee will have the following membership:

  1. Executive Dean - Presiding Officer;
  2. all Heads of School from within the Faculty;
  3. two employees at Level C or above, nominated from the academic staff of the Faculty (i.e. full-time or fractional appointments of 0.5 or above) by the Executive Dean; and
  4. one member of the professoriate external to the Faculty, nominated by the Executive Dean.

(16) A Head of School who is unable to serve will be represented by an officer appointed to act in that committee position.

(17) If, after constituting a Faculty Academic Staff Promotion Committee, the number of female or male members is fewer than 2 or 25% of the committee, whichever is greater, the Executive Dean will nominate additional female or male members at Level C or above, preferably from the Faculty.

(18) The recommendations of the Faculty Academic Staff Promotion Committee will be referred to the Executive Dean of Faculty for determination.

the University Academic Staff Promotion Committee

(19) This committee will meet face-to-face to assess and recommend applications for promotion to Senior Lecturer (Level C) during October of each year.

(20) The the University Academic Staff Promotion Committee will have the following membership:

  1. Deputy Vice-Chancellor (Academic) - Presiding Officer;
  2. Deputy Vice-Chancellor (Research, Development and Industry);
  3. all four Executive Deans;
  4. two employees at Level D or E, nominated by the Deputy Vice-Chancellor (Academic); and
  5. two persons external to the the University, nominated by the Deputy Vice-Chancellor (Academic).

(21) An Executive Dean who is unable to serve will be represented by an officer appointed to act in that committee position.

(22) If, after constituting the committee, the number of female or male members is fewer than four, the Deputy Vice-Chancellor (Academic) will nominate additional female or male members at Level E from within or external to the the University.

(23) The recommendations of the the University Academic Staff Promotion Committee will be referred to the Deputy Vice-Chancellor (Academic) for determination.

University Professorial Promotion Committee

(24) This committee will meet face-to-face to assess and recommend applications for promotion to Associate Professor (Level D) and Professor (Level E) during October of each year.

(25) The University Professorial Promotion Committee will have the following membership:

  1. Vice-Chancellor (Presiding Officer);
  2. Deputy Vice-Chancellor (Academic);
  3. Deputy Vice-Chancellor (Research, Development and Industry);
  4. All four Executive Deans;
  5. up to three persons external to the the University nominated by the Vice-Chancellor; and
  6. two employees at Level E, nominated by the Vice-Chancellor.

(26) An Executive Dean who is unable to serve will be represented by an officer appointed to act in that committee position.

(27) If, after constituting the committee, the number of female or male members is fewer than four, the Vice-Chancellor will nominate additional female or male members at Level E from within or external to the the University.

(28) The recommendations of the University Professorial Promotion Committee will be referred to the Vice-Chancellor for approval. In making a determination, the Vice-Chancellor will not be bound by the recommendations of the University Professorial Promotion Committee.

(29) The Vice-Chancellor will report to the University Council about the approved professorial appointments.

Part C - Committee Procedure

(30) An employee of the Division of Human Resources will act as Secretary to the the University Academic Staff Promotion Committee and the University Professorial Promotion Committee.

(31) The Manager, Diversity and Equity will be entitled to attend the committee meetings as an observer.

(32) The Presiding Officer of each Academic Staff Promotion Committee is responsible for ensuring that the committee:

  1. meets face-to-face;
  2. is properly constituted, including compliance with gender requirements, in accordance with Part B of this Procedure; and
  3. consistently applies fair and proper procedures to the consideration of each application.

(33) At the commencement of the meeting, the Presiding Officer will:

  1. brief the committee on its role, processes and confidentiality of proceedings;
  2. discuss with the committee the standards, expectations and qualifications for the appropriate academic level to ensure that the committee operates with a shared understanding; and
  3. confirm the committee's understanding of Equal Employment Opportunity principles in relation to promotion, as set out below:
    1. Equal Employment Opportunity (EEO) means that employment policies and practices must be based on the principle of merit. Therefore, applications for promotion must be considered on the basis of the applicant's merit, unbiased by personal opinion or prejudice.

(34) Anti-discrimination legislation must be followed. The New South Wales and Commonwealth Acts, as listed below, cover discrimination in employment, education and other areas on the grounds of sex (including sexual harassment and pregnancy), race (including colour, ethnicity, descent, ethno-religious identity, national identity and background), marital status, disability, homosexuality, age, transgender status, and carers' responsibilities (employment):

  1. Racial Discrimination Act 1975 (Cth);
  2. Sex Discrimination Act 1984 (Cth);
  3. Disability Discrimination Act 1992 (Cth);
  4. Equal Opportunity for Women in the Workplace Act 1999 (Cth);
  5. Age Discrimination Act 2004 (Cth); and
  6. Anti-Discrimination Act 1977 (NSW).

Part D - Assessment of Applications

(35) All decisions must be based on the merits of the application against the relevant standards, expectations and qualifications as set out in the Standards, Expectations and Qualifications Policy - Academic Staff.

(36) During the committee discussions, matters of opinion should be substantiated and any comments or questions should relate specifically to the established standards, expectations and qualifications. Each applicant should be considered fairly in relation to the degree to which he/she meets these standards, expectations and qualifications.

(37) The promotions committees will review referees' reports for all applicants seeking promotion to Levels C, D and E, and may seek to obtain referee reports for applicants seeking promotion to Level B where, in the view of a University Promotion Committee, such reports may assist in determining the merits of an applicant.

(38) As well as the referees nominated by the applicants, the promotion committees may seek the opinions of additional referees within the applicant's particular discipline.

(39) For promotion to Level D and E, the University Professorial Promotion Committee will normally be provided with reports from leading scholars in the applicant's field in addition to the reports of the applicant's nominated referees. After receiving the nominated referee reports, the Executive Dean will nominate and contact up to two additional leading scholars at professorial level in the applicant's field whom the the University will invite to comment on the standing of the applicant's achievements. The Executive Dean may send a copy of the application to these additional scholars, excluding the confidential referee reports.

(40) A Faculty Academic Staff Promotion Committee or the University Academic Staff Promotion Committee may delegate some members of the committee to meet with an applicant in order to seek clarification of matters in the application.

Part E - Interviews and Presentations

(41) Applicants for promotion to Lecturer (Level B) and Senior Lecturer (Level C) will not be required to meet with the promotion committees. However, they will be asked to provide a contact phone number as part of their application and to be available at the time the committee meets should the committee require clarification of aspects of their application.

(42) The University Professorial Promotion Committee will invite applicants to make a presentation to the committee at a scheduled time during the meeting. Presentations are to be of no more than 20 minutes' duration and address the applicant's prospective contribution to their field and the the University. Following the presentation, the committee will discuss the presentation with the applicant for a further 10 minutes. Applicants are asked to use standard fonts in their PowerPoint presentations.

Part F - Committee Recommendations and Promotion

(43) All Academic Staff Promotion Committees will:

  1. discuss each candidate's application and make a recommendation for or against promotion on the approved form to the Presiding Officer of the University Promotion Committee;
  2. ensure clear records are kept from the committee's discussions in order to provide feedback to both successful and unsuccessful applicants;
  3. the Executive Dean of Faculty will set a tentative date to provide constructive feedback to all applicants; and
  4. agree to maintain confidentiality regarding the committee's proceedings.

(44) Note: All documentation used in Academic Staff Promotion Committees will be collected by the Secretary, Academic Staff Promotion Committees at the end of the committee meetings and retained in accordance with legislative requirements.

(45) The relevant Presiding Officers will make known their determinations within ten working days of receiving the recommendations of the University Promotion Committee.

(46) The Secretary, Academic Staff Promotion Committees will phone each applicant and provide notification in writing of the outcome of their application within five working days of receipt of determinations from the Presiding Officer.

Part G - Effective Date of Promotion

(47) Academic promotion will take effect from the first pay period commencing on 1 March of the following year. This includes change to a successful applicant's title to Lecturer (Level B), Senior Lecturer (Level C), Associate Professor (Level D) and Professor (Level E).

Part H - Feedback

(48) The Executive Dean of Faculty and Head of School/supervisor are responsible for collectively providing formal constructive feedback, within five working days, to each unsuccessful applicant for promotion to Academic Levels B and C about their application.

(49) The Executive Dean of Faculty and Deputy Vice-Chancellor (Academic) are responsible for collectively providing formal constructive feedback, within five working days, to each successful and unsuccessful applicant for promotion to Academic Levels D and E about their application.

(50) All feedback provided to applicants will focus on the information collected by the Executive Dean of Faculty during the committee's deliberations.

(51) Unsuccessful applicants will be advised of:

  1. strengths against the standards, expectations and qualifications set out in the Standards, Expectations and Qualifications Policy - Academic Staff; and
  2. areas in need of improvement and suggestions for future development and if the Executive Dean recommends they apply for promotion the following year.

Part I - Appeals

(52) An employee may only appeal on the grounds that a breach of fair and proper procedures was committed, which materially and adversely affected a decision about promotion. An appeal cannot be lodged against a decision relating to the academic merit of the employee's application for promotion.

(53) "Fair and proper procedures" means that:

  1. the appellant's application for promotion was made available to all members of the University Promotion Committee;
  2. all members of the University Promotion Committee were given the opportunity to comment on, and contribute to, the assessment of the appellant's application for promotion; and
  3. the appellant's application for promotion was considered against the criteria in the Standards, Expectations and Qualifications Policy - Academic Staff.

(54) It is not grounds for appeal that a University Promotion Committee did not:

  1. keep a record of its discussions or interview the appellant. It is sufficient that a University Promotion Committee kept a record of the meeting, including its membership, the vote taken (if any) and its recommendations;
  2. include a member from the appellant's discipline; or
  3. examine documentation and material presented by the appellant, additional to that required in the "Academic Staff Promotion: Guidelines for Applicants".

Appeal Submission

(55) An unsuccessful applicant has ten working days from the date of receipt of formal notification in writing within which to lodge an appeal in writing to the University Secretary.

(56) In lodging an appeal, the employee must provide prima facie evidence to substantiate the ground(s) on which the appeal is made.

(57) Where, in the opinion of the University Secretary, such evidence has not been provided, the appeal shall not proceed and the employee shall be promptly advised of this in writing.

(58) Where, in the opinion of the University Secretary, such evidence has been provided, the University Secretary will hear and determine the appeal within ten working days of receipt of the appellant's evidence.

Determination of the Appeal

(59) The University Secretary's terms of reference are to determine:

  1. whether a University Promotion Committee committed a breach in respect to the ground(s) for appeal specified in clause 53; and
  2. if a breach was committed by a University Promotion Committee, whether that breach may have significantly and detrimentally affected a decision on the appellant's application for promotion.

(60) The University Secretary is not empowered to review or decide the academic merit of an appellant's application for promotion.

(61) The University Secretary may seek additional information relevant to its terms of reference, but shall not take into account additional or new material supplementing the original application for promotion.

(62) After considering an appeal against the procedures of a University Promotion Committee, the University Secretary shall either reject or uphold the appeal. His/her decision shall be final and not subject to review or change.

(63) The University Secretary shall provide the Vice-Chancellor and the appellant with a report setting out his/her decision and reasons for the decision.

Reconsideration of an Application

(64) Where the University Secretary upholds an appeal, the Vice-Chancellor shall reconvene the relevant University Promotion Committee to reconsider the appellant's application for promotion within ten working days of his/her receipt of the University Secretary's report.

(65) Following reconsideration of the appellant's application for promotion by the reconvened committee, the Presiding Officer shall submit a report to the Vice-Chancellor, setting out the Committee's recommendation and the reason(s) for the recommendation.

(66) A decision of the Vice-Chancellor, on the recommendation of the reconvened committee, shall be final and the University Secretary shall promptly advise the applicant in writing of the Vice-Chancellor's decision concerning the appeal.

Part J - Extraordinary University Promotion Committees

(67) To assist the the University in achieving its key objectives, and to retain high quality academic staff who are continuing to make an outstanding and exceptional contribution to the the University's mission, nothing in this Procedure shall prevent the establishment of an ad hoc Extraordinary University Promotion Committee outside the normal annual round of promotions to make a recommendation on the promotion of an academic staff member.

(68) Written submissions to establish an Extraordinary University Promotion Committee may be made to the Vice-Chancellor by the Deputy Vice-Chancellor (Academic) on the advice of the relevant Executive Dean or Centre Director. Following consideration of such a submission, the Vice-Chancellor may decide to establish an Extraordinary University Promotion Committee.

(69) The membership of an Extraordinary University Promotion Committee established to consider a submission to promote an employee to Level B or Level C will comprise:

  1. Deputy Vice-Chancellor (Academic) - Presiding Officer;
  2. Deputy Vice-Chancellor (Research, Development and Industry);
  3. one of the Level E employees, nominated by the Deputy Vice-Chancellor (Academic) in the immediately preceding annual round of promotions. The appointment of this member will be at the discretion of the Deputy Vice-Chancellor (Academic); and
  4. up to three members of the professoriate nominated by the Deputy Vice-Chancellor (Academic) who are external to the relevant Faculty and who have previously served as a member of a University Promotion Committee.

(70) The membership of an Extraordinary University Promotion Committee established to consider a submission to promote an employee to Level D or E will comprise:

  1. Vice-Chancellor - Presiding Officer;
  2. Deputy Vice-Chancellor (Academic);
  3. Deputy Vice-Chancellor (Research, Development and Industry);
  4. one of the Level E employees, nominated by the Vice-Chancellor in the immediately preceding annual round of promotions. The appointment of this member will be at the discretion of the Vice-Chancellor; and
  5. up to three persons external to the the University, nominated by the Vice-Chancellor.

(71) Every effort shall be made to achieve gender balance and diversity of membership on Extraordinary University Promotion Committee. As a minimum, an Extraordinary University Promotion Committee will normally have in its membership at least one male and one female.

(72) The Executive Dean of the applicant's Faculty will be invited to address the committee about the submission.

(73) An employee of the Division of Human Resources will act as Secretary to Extraordinary University Promotion Committee.

(74) The material to be considered by Extraordinary University Promotion Committee, and the procedures of those committees, will be similar to the material considered and procedures adopted by the other applicable University Promotion Committee established under the provisions of this Procedure.

(75) The Presiding Officers may approve the recommendations of the Extraordinary University Promotion Committee and, where applicable, report such decisions to the University Council. The Presiding Officers shall not be bound by the recommendations of an Extraordinary University Promotion Committee.

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Section 5 - Guidelines

(76) Refer to the Academic Staff Promotion Guidelines.