Skip navigation

Procedure: Academic promotion

Purpose

To outline the procedures underpinning the University’s holistic recognition of academic staff achievements in research/creative activity, education, service and leadership.

Definitions

Achievements relative to opportunity: Assessing achievements relative to opportunity involves evaluating the quality and impact of the staff member’s achievements having regard to the applicant’s career stage and trajectory and taking into consideration the impact of relevant personal circumstances. This supports appropriate evaluation of achievements in relation to productivity, the ability to participate in certain types of activities, and the consistency of activities or output over the period of consideration. The relevant personal circumstances include, but are not limited to:

  • personal ill-health or injury;
  • relevant cultural expectations or circumstances;
  • a temporary or permanent disability;
  • family responsibilities (e.g. child rearing, elder care, illness of a partner/dependent);
  • family caring responsibilities (e.g. parental leave, primary carer’s leave, single parent, elder care, ill health or injury of a partner/dependant);
  • significant or traumatic events or circumstances such as a relationship breakdown, death in the family or domestic violence;
  • periods of part time work; and/or
  • any other relevant personal circumstances identified by the applicant.

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

Research-intensive applicant: is a candidate for promotion who is employed on a research-intensive contract of employment and who is appointed to undertake predominately research and research-related activities.

.

Procedure

Eligibility

  1. Application for academic promotion is available to academic staff who:
  • hold a full or part-time position, whether continuing or fixed term, who have been employed at the University continuously for at least 12 months;
  • have evidence to demonstrate that they have consistently exceeded College and University minimum standards at the present level of employment and at least meet minimum College and University standards at the level to which promotion is sought; and
  • in exceptional cases, academic staff with employment at the University of less than 12 months may submit a case for exemption to the relevant promotion committee Chair. This exemption should be obtained in advance of the promotion round opening. Both supervisor and Research School Director endorsement and College Dean acknowledgement are obtained prior to submitting an exemption case to the promotion committee Chair.

Preparation for academic promotion

  1. Applicants, supervisors, College Deans and promotion committee members are familiar with University policy, procedures, education, research and service indicators and approved proformas, and assessing achievement relative to opportunity guidelines for academic promotion and attend information sessions as appropriate.
  2. Applicants discuss their proposed application with their supervisor and their Research School Director or equivalent.
  3. Applicants discuss their proposed application for promotion to level E1 with their College Dean.

Submission of academic promotion application

  1. Applications for promotion are submitted by the published deadlines to the relevant promotion committee.
  2. Applications for promotion for academic staff not employed in a College are submitted to the promotion committee affiliated with their cognate discipline. This affiliation is at the School level.
  3. Applications for promotion are submitted on the current approved University proforma, comprising:
  1. Part 1: Staff member details, ORCID ID, weightings, statement relative to opportunity (where appropriate) and declaration;
  2. Part 2: Applicant’s case for promotion;
  3. Part 3: Details of referees nominated in consultation with the applicant’s supervisor, and with consideration given to the applicant’s nominated activity weighting, comprising:

Level applying for:

Requirement:

Level B

The need for referees is at the discretion of the College Dean.

Level C

Minimum of 2 referees, with a maximum of one referee internal to ANU, and at least one referee who has an international reputation.

Level D

Minimum of 3 referees, with a maximum of one referee internal to ANU, and at least 2 referees who have an international reputation.

Level E1

Minimum of 4 referees external to ANU, with at least 2 referees who have an international reputation.

Referees should be nominated in order of importance.

Maximum of 1 Internal ANU referees will be accepted for level E applications.

The applicant, in consultation with their supervisor, discloses and provide details of any conflicts of interest with their nominated referees. Applicants should ensure that the majority of their nominated referees are not conflicted.

The committee reserves the right to review referees to ensure international diversity, manage declared conflicts of interest and to ensure the holistic appraisal of the applicant’s achievements, and if required, will appoint additional or alternative referees. The applicant and their supervisor are notified if additional or alternative referees are required.

Referees are invited to provide a holistic assessment of the promotion case, and are forwarded the full promotion application, including Supervisor and Research School Director endorsement and College Dean acknowledgement (endorsement for Level E1 applications), but excluding the statement relative to opportunity.

The applicant may identify up to two referees and that they do not wish to be contacted.

  1. Part 4: Curriculum vitae that distinguishes achievements, performance and activities at the time of application and includes as a minimum the following.

Curriculum vitae requirements

    Formal qualifications and any prizes, awards, honours and other esteem indicators.
    A list of the six best or most significant research publications/creative works and two of the best or most significant education achievements (research and education staff).
    Appointments, including consultancies.
    Research/creative activity outputs, including bibliographic details, year of publication, individual contribution by percentage; and evidence of impact.
    Research/creative activity funding, including title of grant, funding body, grant category, individual contribution and role in the grant, year, total grant value, any patents and evidence of impact.
    Higher Degree Research Student Supervision, including name of student, role, years of enrolment, completions and student achievements post-graduation (where appropriate).
    Education activities (where appropriate), including course or program development and review; courses taught, nature of teaching contribution and enrolments and evidence of impact.
    Public policy activities and evidence of impact.
    Service to the School/Department, College and University, the academic discipline, and the community, including names of committees and/or boards, year(s) of service and role.

  1. Applicants also attach a maximum of five pages of supporting evidence that demonstrate the quality, productivity and impact of their contributions to research/creative activity, education, service, leadership, public policy, commercialisation of research or contribution to public intellectual debate.
  1. The education, research and service indicators are available to applicants, in order to assist putting forward their case for promotion, including evidence of the outcomes and impact of the academic work.
  2. Applicants ensure that the application is complete and accurate, and one promotion application Checklist is available to applicants to prepare their application for promotion.

Application endorsement and acknowledgement

  1. For applications for promotion to levels B-D, the local promotion committee secretary coordinate supervisor and Research School Director endorsement and College Dean acknowledgement after the promotion application has been submitted by the applicant. The acknowledgement by the College Dean does not constitute endorsement or approval of the promotion application.
  2. For applications for promotion to level E1, the University promotion committee secretary coordinate supervisor, Research School Director and College Dean endorsement after the promotion application has been submitted by the applicant.

Applicant activity weightings

  1. Applicants allocate weightings to each of the categories of research, education and service, reflecting the average contribution over the period since last promotion or appointment to ANU, to a total of 100%, and meet the maximum and minimum requirements for each category below.

Contract Type

Research

Education

Service

Research and education

15% minimum

15% minimum

5% minimum

Research intensive

95% maximum

Not required to assign a weighting but may do so if relevant, with a maximum of 15%

5% minimum

  1. Applicants ensure that the allocation of weightings:
  • reflects their case for promotion, based on their average contribution since last promotion or appointment to ANU; and
  • is consistent with their current contract with the University and if applicable, the relevant research funding rules governing their contract.
  1. It is noted that weightings in the case for promotion may be different from those set in the annual Performance and Development Review.
  2. Contributions to Higher Degree Supervision are included in the research section of the application. Any contributions to Higher Degree Research coursework teaching are included in the education section of the application.

Determination of promotion: level B to E1

  1. Outcomes for promotion are determined on the basis of the holistic recognition of the quality, productivity and impact of staff achievements in research/creative activity, education and service, with reference to the education, research and service indicators, as demonstrated through various forms of evidence.
  2. Outcomes for promotion to level D and E1 are determined on the basis of the quality, productivity and impact of the applicant’s demonstrated and sustained collegial and collaborative leadership within the areas of research/creative activity, education (optional in research intensive applications) and service to the ANU and the wider community. For promotion to level D and E1, demonstrated leadership is a mandatory requirement at a level commensurate with the level of promotion being applied for.
  3. Promotion committees consider achievements at the time of application.
  4. At the discretion of the promotion committee chair, interviews may be required for applicants for promotion to levels B to D, and are compulsory for level E1 applicants. Where an interview is undertaken, it forms part of the holistic assessment of the promotion case. Applicants may request that their supervisor or alternate support person attend their interview to observe proceedings and to provide comment if so requested by the College Dean or promotion committee.
  5. Deans will meet with the University promotion committee to provide comment on E1 applications from their College.
  6. Promotion committees must receive the minimum number of references as below, in accordance with requirements in clause 7;
  • Level B – at the discretion of the College Dean;
  • Level C – no fewer than 2;
  • Level D – no fewer than 3; or
  • Level E1 – no fewer than 4.
  1. Additional information may be required before a decision can be made. The additional information required is obtained from the applicant; supervisor; College Dean; nominated or additional referees; or research and teaching data available from the University enterprise systems* or external databases. The applicant and their supervisor is notified if additional or alternate references are required. *Due to Kambri construction, SELT data for the period June 2017 to June 2019 will not be considered for applicants with class sizes above the 200 headcount threshold.
  2. For clinical applications, additional information is obtained from the ANU Medical School Appointments and Renewal Committee regarding clinical contributions and performance.
  3. The College Dean approves, or, the local promotion committee endorses and the relevant College Dean approves promotion to level B.
  4. The local promotion committee endorses, and the relevant committee chair approves promotion to levels C and D.
  5. The University promotion committee endorses, and the Vice-Chancellor approves promotion to level E1.

Determination of out of round promotion: level B to E1

  1. An application for promotion to levels B through to E1 may be considered outside of the usual promotion round upon request of the relevant College Dean, normally for a staff member who has been offered an appointment at another institution.
  2. Assessment of out of round applications for promotion to level B do not require committee consideration, and may be approved by the relevant College Dean on the basis of the holistic recognition of the quality, productivity and impact of staff achievements in research/creative activity, education and service.
  3. Out of round applications are constituted by:
  1. a brief evidence-based case (two A4 pages maximum) recommending promotion on the basis of a holistic appraisal of the quality, productivity and impact of staff achievements in research/creative activity, education and service, with reference to the education, research and service indicators, as demonstrated through various forms of evidence, prepared by the staff member’s supervisor and supported by the College Dean;
  2. curriculum vitae; and
  3. documentary evidence of the offer of employment at another institution (where applicable).
  1. The promotion committee may require further information, including, but not limited to data that is available on the Statement of Academic Activity; research and teaching data from the University enterprise systems* or external databases; or written documents from discipline peers. The promotion committee might also require an applicant interview. *Due to Kambri construction, SELT data for the period June 2017 to June 2019 are not considered for applicants with class sizes above the 200 headcount threshold.
  2. For clinical applications, additional information is obtained from the ANU Medical School Appointments and Renewal Committee regarding clinical contributions and performance.
  3. The Provost, on the recommendation of the relevant College Dean, may consider and approve an accelerated out of round application, including cases that may not meet the standard eligibility criteria for promotion. In such cases, the Provost may call on input from the promotion committee.

Determination of promotion: level E2

  1. Eligibility and outcomes for promotion to level E2 are determined on the basis of an evidence-based, holistic recognition of the quality, productivity and impact of staff achievement and demonstrated collegial and collaborative leadership in research/creative activity, education (optional in research intensive applications) and service to the ANU and wider community, which is commensurate with level E1, as well as demonstrated pre-eminence in one or more of the areas highlighted below:
  • demonstrated pre-eminence in education, as evidenced for example, in distinguished national or international awards or fellowships or outstanding national or international leadership in education innovation or quality assurance as acknowledged by peers in the field (noting that the receipt of an award or Fellowship is not a guarantee of promotion); or
  • demonstrated pre-eminence in research or creative activity, as evidenced for example, in election to a distinguished learned academy or some equivalent form of recognition; distinguished national or international awards or fellowships or outstanding national or international leadership in research innovation, as acknowledged by peers in the field (noting that the receipt of an award or Fellowship or election to an Academy is not a guarantee of promotion); or
  • demonstrated pre-eminence in service to the University and wider community as evidenced. For example, in distinguished national or international awards or outstanding national or international leadership in governance, management, contribution to the discipline or to public commentary or policy, as acknowledged by peers in the field (noting that the receipt of an award or appointment to a leadership role is not a guarantee of promotion).
  1. The College Dean consults with the chair of the promotion committee in anticipation of a case being made for promotion to E2.
  2. The College Dean will submit a nomination to the promotion committee which will include:
  1. an evidence-based case recommending promotion on the basis of a holistic appraisal of the quality, productivity and impact of staff achievement and demonstrated leadership in research/creative activity, education (optional in research intensive applications) and service to the ANU and wider community, which is commensurate with level E1, as well as demonstrated pre-eminence in the nominated area(s);
  2. supervisor endorsement;
  3. current curriculum vitae,
  4. details of four referees external to ANU from persons of eminent international standing; any case for reduction in the number of referees is discussed with the chair of the promotion committee. Note that independent assessments of an applicant’s standing are critical; referees who have no conflict of interest are required. Referees will be asked to explicitly comment on achievements and standing above E1 level ; and
  5. maximum of five pages of supporting evidence that demonstrates the quality, productivity and impact of contribution to research/creative activity, education, service, leadership, public policy, commercialisation of research or contribution to public intellectual debate.
  1. The promotion committee will invite the relevant College Dean to attend an interview (if required) to apprise the committee of any additional information relating to the application.
  2. For clinical applications, additional information will be obtained from the ANU Medical School Appointments and Review Committee regarding clinical contributions and performance.
  3. The promotion committee will make a recommendation to the Vice-Chancellor, who will make a determination for promotion to Level E2.
  4. Professor E2 positions are remunerated in accordance with the Academic Staff Salary Scales in the Enterprise Agreement. Click here to view it.

Determination of promotion: Distinguished Professor level E3

  1. Eligibility and outcomes for promotion to level E3 are determined in exceptional cases on the basis of the evidence-based, holistic recognition of the quality, productivity and impact of staff achievement and demonstrated collegial and collaborative leadership in research/creative activity, education (optional in research intensive applications) and service to the ANU and wider community, which is commensurate with level E2, as well as demonstrated international distinction in an area highlighted below:
  • demonstrated international distinction in education, on the basis of evidence such as prestigious international awards or equivalent peak awards; or
  • demonstrated international distinction in research or creative activity, on the basis of evidence such as prestigious international awards, multiple fellowships or equivalent peak awards in the cognate discipline. Examples include but are not limited to; election to the Fellowship of the Royal Society of London, Fellowship of the British Academy, Fellowship of the US National Academy of Sciences or US Academy of Engineering Fellowship (noting that the receipt of an award or election to a Fellowship or Academy is not a guarantee of promotion).
  1. The College Dean consults with the Vice-Chancellor and the chair of the promotion committee in anticipation of a case being made for promotion to level E3.
  2. The College Dean will submit a nomination for promotion to Distinguished Professor level E3 to the promotion committee, which will include:
  1. an evidence-based case recommending promotion on the basis of a holistic appraisal of the quality, productivity and impact of staff achievement and demonstrated leadership in research/creative activity, education (optional in research intensive applications) and service to the ANU and wider community, which is commensurate with level E2, as well as demonstrated pre-eminence in the nominated area;
  2. supervisor endorsement;
  3. current curriculum vitae;
  4. details of four referees external to ANU from persons of eminent international standing; any case for reduction in the number of referees are discussed with the chair of the promotion committee. Note that independent assessments of an applicant’s standing are critical; referees who have no conflict of interest are required. Referees are asked to explicitly comment on achievements and standing above E2 level; and
  5. maximum of five pages of supporting evidence that demonstrate the quality, productivity and impact their contributions to research/creative activity, education, service, leadership, public policy, commercialisation of research or contribution to public intellectual debate.
  1. The promotion committee will invite the relevant College Dean to attend an interview (if required) to apprise the committee of any additional information relating to the application.
  2. For clinical applications, additional information is obtained from the ANU Medical School Appointments and Review Committee regarding clinical contributions and performance.
  3. The promotion committee makes a recommendation to the Vice-Chancellor, who makes a determination for promotion to Distinguished Professor level E3.
  4. Distinguished Professor level E3 carries a remuneration of level E2 plus a superannuable loading of $25,000 per annum.

Constitution and activities of promotion committees

  1. Promotion committees:
  • have a balanced gender composition;
  • respect the confidentiality of promotion documentation and deliberation activities and communication of outcomes;
  • respect the request of applicants that particular referees not be contacted;
  • declare any conflict of interest, as soon as they become aware of it, and refer to the chair to implement any mitigation actions;
  • endorse for the College Dean, Provost or Vice-Chancellor a written description of the factors used to determine the outcomes of cases; and
  • have a quorum such that if the chair and the external member participate, and a gender balance is present, one member may be absent from any particular assessment.
  1. The membership of local and University promotion committees is published for the benefit of applicants.

Local promotions committees

  1. The local promotion committee endorses promotion applications to level B at the request of the College Dean, and all promotion applications to levels C and D, is constituted by:
  • College Dean (chair);
  • Associate or Deputy Dean;
  • four to seven academic staff members at level D or above from with the College or Colleges with expertise broadly representative of the disciplines in the College; and
  • at least two members external to the College; and
  • at least one member of the committee will have the appropriate skills in equity consideration or an additional member with these skills may be co-opted by the chair.
  1. The constitution of local promotions committees is approved by the Provost.
  2. Colleges may have more than one local promotion committee, with appropriate cross-representation.

University promotion committee

  1. The University promotion committee that endorses promotion applications to level E1 is constituted by:
  • Chair: the Provost, or a Deputy Vice-Chancellor as nominated by the Provost;
  • a Deputy Vice-Chancellor that is not the chair, or Pro Vice-Chancellor;
  • Chair of the Academic Board;
  • four ANU Professors, broadly representative of the discipline groupings across the University; and
  • a Professor, Deputy or Pro Vice-Chancellor that is external to the University; and
  • at least one member of the committee has the appropriate skills in equity consideration or an additional member with these skills may be co-opted by the chair.
  1. The constitution of the University promotion committee is approved by the Vice- Chancellor.

Out of round promotion committee: level B to E1

  1. The promotion committee that endorses out of round promotion applications to levels B to E1 is constituted by:
  • a Deputy Vice-Chancellor (chair);
  • a Deputy Vice-Chancellor that is not the chair or Pro Vice-Chancellor;
  • one College Dean.
  1. The constitution of the level B to E1 out of round promotion committee is approved by the Provost.

Level E2 and E3 promotion committee

  1. The promotion committee that endorses promotion applications to levels E2 and E3 is constituted by:
  • Chair: the Provost, or a Deputy Vice-Chancellor who has been nominated by the Provost;
  • a Deputy Vice-Chancellor that is not the chair, or Pro Vice-Chancellor;
  • a Pro Vice-Chancellor; and
  • Director, Human Resources.
  1. The constitution of the level E2 and E3 promotion committee is approved by the Vice-Chancellor.

Communication of outcomes

  1. Applicants receive written notification of the outcome from the chair of the relevant committee.
  2. Copies of the notification are provided to the applicant’s supervisor and College Dean.
  3. The Vice-Chancellor will publically congratulate applicants who have been successful in obtaining promotion in the previous year, with details of the successful applicants published online.
  4. Verbal feedback is offered to unsuccessful candidates by the chair of the relevant promotion committee. That feedback will focus on factors determined by the committee as being key to the outcome and advice on future activities that might be undertaken to strengthen the case.
  5. Unsuccessful applicants will not apply for promotion in the following calendar year unless given written permission by the chair of the relevant promotion committee to do so.

Appeals

  1. Applicants who are unsuccessful may lodge an appeal on the basis that there has been a procedural irregularity resulting in material disadvantage.
  2. Appeals are made in writing to the Provost (or Vice-Chancellor for Level E applicants) within twenty working days of written notification of outcome. Written appeals are submitted to the Director, Human Resources.
  3. The Provost or Vice-Chancellor considers appeals and seek advice as to whether or not there has been a breach of procedure including, but not limited to; reference to the chair and/or the original decision-making committee, and on the basis of that advice:
  1. confirm the original committee’s determination to deny promotion;
  2. uphold the appeal and approve promotion;
  3. refer the matter to an appeal committee; or
  4. refer the matter to the local promotions committee.
  1. The appeal committee comprises at least three chairs from local promotion committees or the University promotion committee, with at least one male and one female, all drawn from past or present committees.
  2. The appeal committee will recommend to the Provost or the Vice-Chancellor either that the original determination be upheld, or that the appeal is upheld and that promotion should be granted.
  3. Appellants receive written notification of the outcome of their appeal.
  4. Copies of the notification are provided to the applicant’s Supervisor and College Dean.
  5. The effective date of promotion arising from an upheld appeal is consistent with the timetable for the annual round in which the application was originally received.

Information

Printable version (PDF)
Title Academic promotion
Document Type Procedure
Document Number ANUP_000624
Version 40
Purpose To outline the procedures underpinning the University’s holistic recognition of academic staff achievements in research/creative activity, education, service and leadership.
Audience Staff-Academic, Staff-Academic-Research
Category Administrative
Topic/ SubTopic Staff - Staff & Career Development
 
Effective Date 10 Apr 2019
Review Date 9 Apr 2022
 
Responsible Officer Director, Human Resources
Approved By: Deputy Vice-Chancellor (Research and Innovation)
Contact Area Human Resources Division
Authority ANU Enterprise Agreement 2017 – 2021