Policy

Probation and Confirmation of Continuing Appointment (Academic Staff) - Policy

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1. Purpose and Objectives

This Policy outlines the principles underpinning the probation and confirmation of continuing Academic appointments.

2. Definitions, Terms, Acronyms

Academic category – academic appointment type i.e. Teaching and Research, Teaching Focused, Research Focused or Clinical Academic.

Academic role - main academic functions such as teaching, scholarship of teaching and learning, research, creative work, clinical innovation, service and engagement.

Authorised Officer – the officer authorised to exercise the relevant HR power or function in accordance with the HR Authorisation Schedule. 

CaPC – Confirmation and Promotions Committee.

Committee – the relevant LCPC or CaPC, depending on which committee is operational within that faculty.

Continuing appointment - appointment to continuing full-time or part-time employment, subject to the successful completion of a probationary period and the permanency of which is qualified by resignation, redundancy or dismissal pursuant to the Enterprise Agreement.

Enterprise Agreement – The University of Queensland Enterprise Agreement 2018 - 2021.

Head - Head of School or equivalent level.

Institute Director – for the purposes of this document, the term Institute Director refers to Directors of the following Institutes only: Australian Institute of Bioengineering and Nanotechnology; Institute for Molecular Bioscience; Queensland Brain Institute and Sustainable Minerals Institute.

LCPC - Local Confirmation and Promotions Committee.

PCPC – Professorial Confirmation and Promotions Committee.

3. Policy Scope/Coverage

This policy applies to:

  • academic staff employed across the four academic staff categories - Teaching and Research, Teaching Focused, Research Focused or Clinical Academic - who have a continuing appointment with an associated probation period; and
  • these procedures apply within all faculties, whether the faculty is using a CaPC or LCPC.

Detailed information about mid-term review and final review application procedures, responsibilities of staff and officers of the University, and committee structures and roles is covered in the relevant procedures.

4. Policy Statement

In accepting an appointment, members of academic staff undertake to uphold and promote the aims of the University and adhere to the University’s Code of Conduct (PPL 1.50.1). The professional efforts of staff should be in line with the mix of duties appropriate to their academic category as agreed initially at appointment and then from time to time, with their supervisor.

When the University approves the appointment of a person to the academic staff, the Authorised Officer will inform the appointee in the Offer of Appointment letter of the terms and conditions of the appointment, including the date on which any probationary period of appointment will end, where applicable, and will draw attention to any specific expectations or requirements which the University may have of an individual appointee.

Probation and Confirmation rounds are conducted quarterly. Continuing Academic Level A staff may apply to be considered for confirmation at any time, subject to the approval of the Executive Dean/Institute Director on advice from the Head (or equivalent).

The 3 year probation term for continuing Academic appointments requires that Academic staff fall into one of four tranches which determine when their final review takes place depending on the staff member's commencement date with the University. A probationary period provides opportunities for the University to review the performance of the staff member and for the staff member to assess the University. It does not imply automatic confirmation of continuing appointment on completion.

Staff are expected to be effective in the particular category to which they are appointed or in which they subsequently work. They are expected to carry an appropriate share of the necessary administrative work of the University. The duties assigned to the appointee by the Head should reflect the balance appropriate to the academic category and level of appointment and should ensure that appointees have the opportunity to meet the criteria for confirmation of continuing appointment.

5. Confirmation of Continuing Appointment

5.1 On appointment

All appointees are expected to discuss the expectations of their appointment category and formulate and agree upon a staff development plan and set objectives with the Head on commencement of appointment. Staff members will be assessed for confirmation against the criteria for the category into which they are appointed. It is the joint responsibility of the Head and the staff member to consider the implications of changing a staff member’s appointment category while on probation and the requirements for final review.

For example confirmation for a Teaching & Research academic staff member would normally require evidence of teaching effectiveness.

If the staff member has a temporary variation of category as a Research Focused academic they may be encouraged to undertake teaching evaluations on limited teaching responsibilities such as guest lecturing, if appropriate.

5.2 Reviews

5.2.1 Continuing Academic appointments

The First Appraisal should take place three months after appointment and should primarily be a review of the objectives set at commencement and to ensure that appropriate support is in place.

All staff, including those on probationary appointments, are then reviewed annually (see PPL 5.70.15) by the Head (or nominee) who may consult a relevant discipline leader.

The Second Appraisal in Year 2 will be a mid-term review in accordance with the applicable procedures.

For academic staff on a 3 year probation term the Third Appraisal in Year 3 will take place prior to the Final Review which will be concluded no later than 30 months after commencement of the probation period.

Staff who continue to be on a 5 year probationary appointment are reviewed by the relevant committee(s), or the relevant Executive Dean/Institute Director for Academic Level A staff, in the third year (mid-term review) and the first semester of the fifth year (final review) of their appointment.

Applications from staff who subsequently resign or whose employment is otherwise terminated will cease to be processed from the date of receipt of the resignation by the Head or notification from the Human Resources Division of the termination.

5.2.2 Annual Performance Appraisals

All staff with appointments exceeding 12 months are also reviewed annually (see PPL 5.70.15) by the Head (or nominee) who may consult a relevant discipline leader.

5.3 Criteria for confirmation of continuing appointment

The University confirmation of continuing appointment process is not constrained by a quota. Decisions are based on individual merit.

Academic staff are assessed on their performance of the duties pertaining to their category and level of appointment according to the criteria set out in PPL 5.70.17a Criteria for Academic Performance - Policy. Academic staff have the flexibility to accentuate aspects of their portfolio and build a case that reflects their strengths and achievements, using weightings, although all activities will be considered in any such application.

Academic staff should refer to the relevant procedures for further information on the submission to be made and the process to be followed.

It is the responsibility of the staff member at the time of any review to provide full information relating to his or her performance based on the academic criteria, and in relation to any specific expectations or requirements which the University may have stipulated in the Offer of Appointment.

6. Probation Period

6.1 Continuing Academic Appointments

A continuing appointment to the rank of Associate Lecturer (Level A) and above will be a probationary appointment for 3 years.

Level A

The Authorised Officer, or the Executive Dean/Institute Director for Academic Level A staff, may shorten or waive the probationary period having regard to prior experience or service.

The Executive Dean/Institute Director, on recommendation from the relevant Head (or equivalent), can confirm, not confirm, or in exceptional circumstances may extend, the probation of Academic Level A staff members for up to two years, following the final review.

Level B - D

The relevant Committee can confirm, not confirm, or in exceptional circumstances may extend, the probation of Academic Level B up to and including Academic Level D staff members, for up to two years following the Final Review.

Level E

The Professorial Confirmation and Promotions Committee (PCPC) considers applications for continuing appointment at Level E against the Criteria for Academic Performance and makes recommendations to the Vice-Chancellor.

All Academic Levels

In addition, where exceptional circumstances can be demonstrated, an extension of the probationary period for one or two years may be granted by the Committee Chair, the PCPC Chair, or the Executive Dean/Institute Director as appropriate, upon request from the staff member. This request requires written support from the relevant Head.

Staff on probation for continuing appointment, who apply for promotion and are successful, will also be considered by the Committee for staff members up to and including Level D and by the PCPC for Professorial Level staff, for early confirmation of continuing appointment (against the criteria for the category that they are employed in at the time of the promotion submission date) if they have been employed by the University for two years or more at the time of the promotion submission date.

This includes applicants who have held a fixed-term contract during their two years of employment at the University. Where an Academic Level A staff member on probation is successful in gaining a promotion to Level B, confirmation of probation will be considered by the Committee against the academic criteria of Level B.

7. Performance Relative to Opportunity

Consistent with Policy 1.70.06a Prevention of Discrimination and Harassment policy, and state and federal Acts, staff must not be treated less favourably due to their sex, relationship status, pregnancy, parental status, breastfeeding, age, race, impairment, religious belief or religious activity, political belief or activity, trade union activity, lawful sexual activity, gender identity, sexuality, family responsibilities, or association with, or relation to, a person identified on the basis of any of the above attributes.

Some of the attributes listed above may impact on a staff member’s capacity to work uninterrupted and/or on a full-time basis.

The University is committed to providing an equal opportunity environment for its staff in its performance appraisal, continuing appointment and promotion processes through the principle of ‘performance relative to opportunity’. The quality of the staff member’s performance will be assessed against the standard for that level. In terms of expectations for activity and output, consideration will be given to the fraction at which they are employed, periods of absence and/or personal circumstances. Where information about a staff member’s personal circumstances is provided, that information will remain confidential to the assessing committees.

Custodians
Chief Human Resources Officer Dr Al Jury

Procedures

Probation and Confirmation of Continuing Appointment (Academic Staff) - Procedures

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1. Purpose and Objectives

The purpose of this procedure is to outline the probation and confirmation process for academic staff members.

2. Definitions, Terms, Acronyms

ABSC – Academic Board Standing Committee.

Academic category – academic appointment type i.e. Teaching and Research (T&R), Teaching Focused (TF), Research Focused (RF) or Clinical Academic (CA).

Academic role - main academic functions such as teaching, scholarship of teaching and learning, research, creative work, clinical innovation, service and engagement.

Authorised Officer – the officer authorised to exercise certain HR powers and functions as outlined in the HR Authorisation Schedule.

CaPC – Confirmation and Promotions Committee.

Committee Representative - the Level E staff member who serves on another Faculty’s Committee, as confirmed by the President of the Academic Board. 

The Committee – the relevant CaPC or LCPC, depending on which committee is operational within that faculty.

Director – Director of any University-level Centre or Faculty-level Centre (but not School-level Centre within the Faculty of Health and Behavioural Sciences).

Enterprise Agreement – The University of Queensland Enterprise Agreement 2018 – 2021.

Head – Head of School, or equivalent.

LCPC – Local Confirmation and Promotions Committee.

PCPC – Professorial Confirmation and Promotions Committee.

SECaT - Student Evaluations of Course and Teaching.

TEVALs - Teacher Evaluations.

3. Procedures Scope/Coverage

These procedures apply to:

  • academic staff across the four academic categories - Teaching and Research, Teaching Focused, Research Focused or Clinical Academic - who have a continuing appointment with an associated probation period; and
  • all faculties, whether the faculty is using a CaPC or LCPC.

4. Procedures Statement

Academic staff members are subject to probationary periods as outlined in the Enterprise Agreement; and principles as outlined in the Probation and Confirmation of Continuing Appointment (Academic Staff) Policy.

For an academic staff member to successfully complete their probationary period and be confirmed, they are required to demonstrate that they have met the required Academic standards for their level of appointment as outlined in the Criteria for Academic Performance Policy.

The Academic Categories Procedures and the Guidelines on Evidencing Academic Achievement provide a broad description of academic categories. The Guidelines also provide examples of evidence of academic activities, outcomes, quality and impact.

The University has robust processes in place to support probation and confirmation. The applicable processes are dependent on the employment type and the length of probation as contained in the staff member’s Letter of Offer.

5. Timelines

5.1 Continuing Academic Staff Members

The Faculties conduct probation and confirmation rounds quarterly.

Continuing Academic Level A staff may apply to be considered for confirmation at any time.

5.2 Fixed-term Academic Staff Members

Academic staff members on fixed-term contracts will undertake a final probationary review prior to the completion of their probationary period as contained in their Letter of Offer. For the avoidance of doubt, fixed-term staff members are not eligible for confirmation to a continuing appointment.

6. Academic Staff Probation

Upon commencement, academic staff members will meet with their supervisor to discuss their role, responsibilities and performance expectations and will develop a plan and set of objectives (Achievements and Objectives - Form B).

The plan should reflect the “mix of roles” for the particular Academic category. This initial meeting may also outline the support options available and any additional training that may be provided, where applicable. An initial review of the plan and objectives should occur three months after commencement.

The Achievements and Objectives Form B provides the basis for the staff member’s performance appraisal. Appraisals are conducted annually in accordance with the Academic Staff Appraisal Procedures.

Staff members who are subject to a probationary period, are required to undergo probation and confirmation processes as applicable to their employment type (fixed-term or continuing).

6.1 Fixed-term Academic Staff Members

Fixed-term academic staff members are required to undertake a probationary period in accordance with the Enterprise Agreement.

Generally, the supervisor will hold a mid-point probationary review meeting with the staff member half way through the probationary period (dependent on the length of probation) as a means of discussing the progression of the staff member, providing performance feedback, and discussing any additional training, support and/or guidance required.

A final probationary review meeting will occur between the Head/Director and/or supervisor and the staff member prior to the completion of the probationary period. During the final probationary review meeting, the Head/Director and/or supervisor will provide feedback to the staff member regarding their overall performance during the probationary period, and will outline whether the performance of the staff member meets the requirements of the position. The staff member’s probation will then be confirmed or, in the event the Head/Director and/or supervisor is of the view that the staff member did not meet the requirements of the probationary period, a recommendation will be made to the Authorised Officer to terminate the staff member’s employment.

The employment of a probationary staff member may be terminated in accordance with the provisions of the Enterprise Agreement. The Authorised Officer should seek advice from Human Resources when consideration is being given to terminating employment during probation.

6.2 Continuing Academic Staff Members

Continuing academic staff members are required to undergo two major reviews during their three year probationary period:

  • the Mid-term Review as outlined in section 8, in the second year of appointment; and
  • the Final Review as outlined in section 9, in the third year of appointment.

7. Probation Waiver or Extension Request

7.1 Probation waiver

Probation may be waived in accordance with the Probation and Confirmation of Continuing Appointment (Academic Staff) Policy.

7.2 Probation extension

In exceptional circumstances, a period of probation may be extended by up to two years by the Committee or Executive Dean as an outcome of a final review, or at the request of a staff member, prior to final review.  Only one extension is permitted.

Where a staff member is seeking a probation extension based on exceptional circumstances, the staff member must apply in writing to the relevant Head/Director prior to the final review and must ensure that the exceptional circumstances, and the duration of the probation extension sought, are clearly articulated. The Head/Director will then consider the submission and provide a written recommendation regarding the extension request for consideration and decision by the Executive Dean.

Where a probationary period has been extended, the applicant will be required to undergo a final review, in accordance with section 9, during the final year of probation.

8. Mid-term Review

Mid-term Reviews are conducted quarterly and the Executive Dean (or nominee) for Level A to D, or the President, Academic Board (or nominee) for Level E, will notify staff members when they are to be considered in an upcoming round.

8.1. Academic Level A to D Staff Members

8.1.1 Submission documentation

Staff members are required to submit the following items by the due date:

  1. Form A – Academic Portfolio of Achievement.
  2. Complete set of Teacher evaluations since appointment (course evaluations are also encouraged). University approved teacher evaluations (TEVALs/SECaT) must be submitted for all courses to which a substantial teaching contribution is made. Course evaluations are also encouraged, particularly where the applicant is the Course Coordinator.
  3. Form B - Achievements and Objectives.
  4. Form D – Head/Director’s Assessment and Recommendation (completed and signed).

8.1.2 Meeting with Head/Director and/or Supervisor

A meeting is conducted between the Head/Director and/or the supervisor and the staff member to discuss the staff member’s progress to date.

This is undertaken as part of the Appraisal meeting.  This meeting is an opportunity to consider areas for improvement and what additional work may be necessary prior to the final review.

After this meeting, the Head/Director, and the supervisor where applicable, will document the discussion on Form D. Where the Head/Director is not the supervisor, Form D should be provided to the Head/Director for comment.

For Academic Level A staff members, the submission documentation, including the Head/Director’s report, will then be forwarded to the Executive Dean for consideration and assessment prior to feedback being provided to the applicant.

For Academic Level B to D staff members, the Portfolio and the Head/Director’s report will be provided to a designated member of the Committee, usually the Committee Representative (but not the Head/Director of the staff member when a CaPC is in use), for consideration and drafting of feedback to the applicant. This draft and other associated documentation will then be provided to the Committee who will undertake a review and then finalise the written feedback to the applicant.

If adverse feedback is provided, the staff member may request a meeting with the Head/Director (and Executive Dean if appropriate), to discuss the feedback.

8.2 Academic Level E Staff Members

8.2.1 Submission documentation

Staff members are required to submit the completed Form A – Academic Portfolio of Achievement by the due date.

8.2.2 Meeting with Head/Director and/or supervisor

The mid-term review for Academic Level E staff members will include input from the Executive Dean. This will be facilitated through a review of the documentation rather than attending an appraisal interview. If the Executive Dean has serious concerns regarding progress of the staff member, which differs from the view held by the supervisor, the Executive Dean will consult with the Head/Director.

The Head/Director will subsequently meet with the staff member to outline the concerns and provide direction. The Head/Director will provide a copy of Form D to the staff member after the Executive Dean has signed it.

9. Final Review

Academic Level A final review applications will be considered by the Executive Dean, on recommendation from the relevant Head/Director and may be considered at any time.

Final Reviews for Academic Level B to E staff members are conducted quarterly and the Executive Dean (or nominee) for Level B to D, or the President, Academic Board (or nominee) for Level E, will notify staff members when they are to be considered in an upcoming round.

Academic Level B to D applicants will be considered by the Committee. Academic Level E applicants will be considered by the PCPC.

The outcome may be confirmation of continuing appointment, an extension of probation of one or two years (where applicable), or a decision not to confirm.

Where the applicant is also applying for promotion, a separate submission for promotion must be made through the online promotion system. Both submissions should clearly state that the candidate is applying for both confirmation and promotion.

9.1 Final Review Submission Documentation

Final Review applicants are required to submit the following items via email by the due date:

  1. Cover Letter (with weightings)
  2. Form A – Academic Portfolio of Achievement
  3. Complete set of at least the three most recent semesters of Teacher evaluations (course evaluations are also encouraged)
  4. Form B – Achievements and Objectives

The relevant Head/Director is required to submit the following items:

  1. Form D – Head’s/Director’s Assessment and Recommendation
  2. Form E – Head's/Director’s Nomination of Referees

Further information regarding these submission items is given below:

9.1.1 Cover letter

The covering letter should be no more than 600 words and should identify the purpose of the submission and summarise the staff member’s key achievements. It should concisely outline career goals and explain any special considerations for the application (e.g. disciplinary constraints in obtaining postgraduate students) including any special considerations in relation to ‘performance relative to opportunity’. The letter must indicate the weightings that are being placed on each academic role.

9.1.2 Weightings

Applicants for Final Review can accentuate different parts of their Academic portfolios and allocate weightings to their various academic roles to highlight their relative strengths. Weightings reflect the applicant’s judgement about their overall contribution, based in particular on their assessment of the quality, quantity and impact of their work.

The full portfolio should be used to record contributions. For a Teaching Focused academic, contributions to disciplinary research complement both the Teaching portfolio (as currency in the discipline) and Scholarship of Teaching and Learning portfolio (as further evidence of scholarship). For a Teaching & Research academic contributions to Scholarship of Teaching and Learning complement mainly the teaching portfolio (as evidence for leadership, quality, impact and quantity) and, to a lesser extent, the research portfolio (as further scholarship contributions).

The weightings must add up to 100. The following are the upper and lower weighting boundaries for each academic category:

 

Teaching

Scholarship of Teaching and Learning

Research

Service

Academic Category

Lower (%)

Upper (%)

Lower (%)

Upper (%)

Lower (%)

Upper (%)

Lower (%)

Upper (%)

T&R

30

50

 

 

30

50

10

30

TF [8]

40

70

20

50

 

 

10

30

RF

0

20

 

 

60

90

10

20

CA [9]

10

60

 

 

20

70

20

50

Applicants should refer to the Academic Categories Procedures and the Guidelines on Evidencing Academic Achievement which provide a broad description of academic categories. The Guidelines also provide examples of evidence of academic activities, outcomes, quality and impact.

9.1.3 Academic Portfolio of Achievement

The following items are to be submitted, as required:

Folio Item

Required Action

1 – Curriculum Vitae

All sections are to be completed.

2 – Teaching

All sections are to be completed (TF , T&R and CA appointments). RF academics are to complete the section on Higher Degree by Research supervision and others as applicable.

3 – Scholarship of Teaching and Learning

TF applicants are to complete all sections.

4 – Research and Creative Work

All sections are to be completed for T&R, RF and CA staff.

5 – Grants, Contracts and Bibliography

All sections are to be completed.

6 – Service and Engagement

All sections are to be completed.

7 – Professional Development and Other Activities

Sections are to be completed as applicable.

8 – Special Studies Program

Not applicable.

9 – Nomination of Referees for Final Review for Continuing Appointment

To be completed as applicable to the type of appointment.

9.1.4 Teacher Evaluation Forms

University approved teacher evaluation forms (TEVALs/SECaTs) must be submitted for all courses to which a substantial teaching contribution has been made during at least the three most recent semesters. Course evaluations are also encouraged, particularly where the applicant is the Course Coordinator.

Staff members can access their SECaTs back to the year 2010 here. The Institute for Teaching and Learning Innovation can also supply evaluations for the period 2000 to 2010 upon request.

9.1.5 Achievements and Objectives (Form B)

The applicant must submit a copy of the latest Achievements and Objectives Form (Form B) from the last annual review. It is noted that an annual review must be conducted prior to the submission for Final Review.

9.1.6 Head of School/Director of Centre recommendation

Academic Level A Applicants

The Head/Director will consider the application and provide a recommendation to the relevant Executive Dean regarding the applicant’s submission (through Form D).

The Head’s/Director’s consideration will include consultation with other senior staff members of the Faculty/Institute/School and Discipline.

The Head/Director will meet and discuss their recommendation with the applicant prior to forwarding the application, including the Head’s/Director’s recommendation (Form D) and the Head's/Director’s Nomination of Referees (Form E), to the Executive Dean for consideration and decision.

Academic Level B to D Applicants

The Head/Director is required to submit a formal recommendation to the Committee regarding Academic Level B to D final review applicants, either Recommending, Marginally Recommending or Not Recommending confirmation.

The Head/Director must consult with other senior staff members within the School/Centre regarding the applicant’s progress and the case for confirmation (where the Head/Director is not the direct supervisor of the applicant, the direct supervisor must be one of those consulted).

The Head/Director will hold a formal meeting with the applicant to discuss their final review application and to advise the applicant of the Head’s/Director’s formal recommendation and rationale.

This advice must be provided to the applicant by the Head/Director in sufficient detail so that the applicant is fully aware of the basis of the recommendation made, and has the opportunity to address any areas of weakness identified by the Head/Director at interview. At the completion of the meeting between the Head/Director and the applicant, Form D – the Head’s/Director’s Assessment and Recommendation must be completed and signed by both parties.

In the event the Head/Director is not the direct supervisor, the Head/Director must consult with the supervisor and advise the supervisor of their final recommendation. The supervisor must also sign Form D – the Head’s/Director’s Assessment and Recommendation.

Academic Level E Applicants

Form D – Head’s/Director’s Assessment and Recommendation will be provided to both the applicant and to the faculty HR Manager/Consultant by the Head/Director. Heads/Directors are required to provide copies of their recommendations (Form D) to applicants.

On sighting a copy of Form D the applicant may make a response, directing any such letter to cap@uq.edu.au for Committee consideration.

The Head/Director will also nominate referees on Form E - Nomination of Referees for Final Review for Continuing Appointment and Promotion, which the Head/Director sends directly to cap@uq.edu.au.

The Executive Dean will complete a report for Level E applicants (copied to applicants) who have the opportunity of making a response for PCPC consideration. The PCPC has the discretion to invite the Executive Dean to attend the Committee meetings for further clarification.

9.1.7 Referee Nominations (Applicant and Head/Director)

Both the applicant and the Head/Director are required to submit referee nominations. The Committee, or Executive Dean for Level A applicants, may contact additional referees at their discretion. It is at the discretion of the PCPC as to whether referee reports are requested for consideration of Level E confirmation.

Nomination of Referees must satisfy the criteria outlined in the following table:

Teaching Referees

All Teaching and Research, Teaching Focused and Clinical Academic applicants and their Heads/Directors must nominate one referee each to report on the applicant’s teaching ability. Referees should have first-hand knowledge of the applicant’s teaching, should cover as many aspects of the applicant’s teaching as possible and can be an applicant’s former student, colleague or former colleague.

Scholarship of Teaching and Learning Referees

Teaching Focused applicants applying for Level B Final Review and their Heads/Directors must nominate one Scholarship of Teaching and Learning referee each (preference should be given to independent, external referees, who are leaders in the field). Teaching Focused academic applicants applying for Final Review at Levels C - E and their Heads/Directors must nominate two Scholarship of Teaching and Learning referees each (one each of the referees is a reserve). Independent, external referees, who are leaders in the field must be chosen. Nominated referees must be able to comment on the applicant’s contribution to pedagogy and innovative teaching practice and their impact on the enhancement of learning in their discipline.

Research and Creative Work Referees

Teaching and Research, Research Focused and Clinical Academic applicants applying for Level B Final Review and their Heads/Directors must nominate one Research/Creative Work referee each. Preference should be given to independent, external referees, who are leaders in the field. T&R, RF and CA applicants applying for final review at Levels C - E and their Heads/Directors must nominate two Research/Creative Work referees each (one each of the referees is a reserve). Independent, external referees, who are leaders in the field must be chosen.

Service and Engagement Referee

Clinical Academics must nominate one service/engagement referee. Preference should be given to an independent, external referee who can comment on the applicant’s professional and community roles.

9.1.8 Applicant referee nominations

Applicants should ascertain their referees’ willingness to provide a report prior to nomination.

Applicants may also nominate in their Cover Letter referees they would prefer the Committee not to contact.

9.1.8.1 Referee Nomination Form

Applicants provide email, phone and address details of referees via Folio 9. It is the responsibility of the applicant to ensure that the correct referee details are provided.

The Head/Director completes Form E - Head's/Director’s Nomination of Referees for Continuing Appointment and Promotion. It should be noted whether consultation with an applicant has occurred when selecting referees (indicating with an asterisk on the form). The Head/Director must ensure that they do not nominate referees that have already been nominated by the applicant.

9.1.8.2 Conflict of Interest - referees

Applicants must not nominate referees who have a close personal relationship, financial interest or other conflict of interest with the applicant (e.g. a mentor, close collaborator, relative or close friend). Committee members should not be nominated as referees.

9.1.8.3 Adverse referee comments

Applicants will have the opportunity to respond to any adverse referee comments.

9.2 Consideration and Decision Process

9.2.1 Academic Level A Applicants

The Final Review submission will be considered and determined by the Executive Dean, on recommendation from the Head/Director.

9.2.2 Academic Level B to D Applicants

Brief Update

The applicant may submit a brief ‘update’ up to one week prior to interview on any new and substantial achievements since submission of the application (e.g. a one to two page dot point summary of new achievements with new teaching evaluation summary sheets appended).

Interview Process

All candidates will be invited for interview by the Committee. The interview process provides an opportunity for applicants to present their case for confirmation and enables the Committee to seek clarification on any aspects of the application and ask questions.

The interview will also provide an opportunity for applicants to further discuss the Head’s/Director’s recommendation, and any other relevant matters as required.

During the Committee’s deliberations, members of the Committee (other than the relevant Head/Director when a CaPC is in use) will be tasked with leading discussion on the applicant’s case for satisfying the confirmation criteria regarding Teaching, Research/Scholarship of Teaching and Learning, and Service and Engagement elements as applicable. Where a CaPC is in use, prior to and during committee deliberations, the relevant Head/Director is able to clarify points of fact, and only make other comments that are consistent with their written report.

9.2.3 Academic Level E applicants

All Academic Level E applicants will be considered by the PCPC.

9.3 Outcome and Date of Effect

Continuing Academic Staff will be confirmed, not confirmed, or in exceptional circumstances probation may be extended.

Staff members will be advised of the outcome of their Final Review by the Executive Dean or Chair of the relevant Committee.

Consideration will be given to the required notice periods as outlined in the Enterprise Agreement.

The University may elect to provide payment in lieu of notice (in whole or in part) in accordance with the provisions of the Enterprise Agreement.

9.4 Feedback

Academic Level A to D staff who are unsuccessful, or whose probation is extended, are afforded the opportunity to meet with the Executive Dean and relevant Head/Director to receive feedback on their Final Review application.

For Level E, the Provost will provide an opportunity for those applicants who are not confirmed in their continuing appointment or who receive an extension of probation, to meet and receive feedback. Applicants’ Heads/Directors may be invited to feedback meetings.

10. Appeals

A continuing academic staff member who is unsuccessful in their final review application may appeal the decision on procedural grounds. Prior to appealing, it is expected that unsuccessful applicants will seek feedback on their application.

The appeal:

  • must be lodged in writing with the Director, Human Resources, within 21 days of the date of issue of notification; and
  • must be based on procedural grounds.

An initial assessment that an application for appeal is validly made will be conducted by the Director, Human Resources, before an appeal proceeds to the Authorised Officer for consideration. For an appeal to be successful, the Authorised Officer must be satisfied that the procedural error had substantial and significant impact on the decision. The decision of the Authorised Officer is final.

Every effort will be made to hear and determine an appeal prior to the cessation of a fixed-term contract (where applicable). Fixed-term contracts will not however be extended by virtue of an appeals process.

11. Confidentiality

All staff involved in the probation and confirmation process will respect the confidentiality of the applicants and the deliberations of the Committee members.

Custodians
Chief Human Resources Officer Dr Al Jury

Forms

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Assessment and Recommendation for Continuing Appointment and Promotion (Form D) - Form

Assessment and Recommendation for Continuing Appointment and Promotion (Form D) - Form

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Description: 

This form must be completed by the Head of organisational unit after an appraisal with the academic staff member where the staff member is undertaking mid-term review or final review for continuing appointment or applying for promotion. 

Custodians
Chief Human Resources Officer Dr Al Jury
Executive Dean/Institute Director Report

Executive Dean/Institute Director Report

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Custodians
Chief Human Resources Officer Dr Al Jury
Form A - Academic Portfolio of Achievement

Form A - Academic Portfolio of Achievement

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Custodians
Chief Human Resources Officer Dr Al Jury
Form B - Achievements and Objectives

Form B - Achievements and Objectives

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Custodians
Chief Human Resources Officer Dr Al Jury
Form C - Appraisal Summary Report and Record of Assessment

Form C - Appraisal Summary Report and Record of Assessment

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Custodians
Chief Human Resources Officer Dr Al Jury
Form D - Assessment and Recommendation for Continuing Appointment and Promotion (Professorial)

Form D - Assessment and Recommendation for Continuing Appointment and Promotion (Professorial)

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Custodians
Chief Human Resources Officer Dr Al Jury
Head/Director Assessment and Recommendation Form H - Form

Head/Director Assessment and Recommendation Form H - Form

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Description: 

This form must be used in accordance with the Probation and Confirmation of Continuing Academic Staff Appointment (Faculty of Health and Behavioural Sciences) Procedures and Promotion of Academic Staff (Faculty of Health and Behavioural Sciences) Procedures.

Custodians
Chief Human Resources Officer Dr Al Jury
Head/Director Nomination of Referees - Professorial (Level E)

Head/Director Nomination of Referees - Professorial (Level E)

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Description: 

This form is to be used for probation only (not promotion).

 

Please refer to PPL 5.41.05b Probation and Confirmation of Continuing Appointment (Academic Staff) - Procedure for further details.

Custodians
Chief Human Resources Officer Dr Al Jury
Nomination of Referees for Continuing Appointment and Promotion (Form E) - Form

Nomination of Referees for Continuing Appointment and Promotion (Form E) - Form

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Description: 

This form must be completed by the Head of Organisational Unit (Head of School or equivalent) for academic staff applying for Final Review for Continuing Appointment and Promotion (levels A – D).

Custodians
Chief Human Resources Officer Dr Al Jury
Custodians
Chief Human Resources Officer Dr Al Jury
Custodians
Chief Human Resources Officer Dr Al Jury