Academic Staff Probationary Review Policies & Procedures

To achieve its goal of excellence in teaching and research the University places particular importance on the process it follows at the time of initial appointment of academic staff and, subsequently, when confirmation of appointment is considered, especially in relation to tenurable positions. Rigorous review processes, comparable to those used in academic promotion, are followed prior to confirmation of appointment.

Probationary Appointments

1.1 Unless otherwise prescribed in the contract of employment, all academic staff appointments are subject to a period of probation prior to confirmation of appointment or tenure. For continuous appointments at Level A the period of probation shall be five years and at Levels B-E, three years; confirmation of appointment and award of tenure are undertaken in a single process. For fixed-term appointments of three or more years, confirmation for the first term of appointment is undertaken after one year of service. For fixed-term contracts of less than three years there is no probation period.

While the nominal times of probation periods are expressed in years of service, the timing of reviews is linked to completed semesters of service by the staff member. These requirements are presented in Schedule A of this document.

1.2 The Vice Chancellor may shorten, waive or extend the probationary period having regard to prior experience or service, or the performance of the staff member, or on the advice of the Lecturer Promotions Committee or the Professorial Promotions Committee, which ever is relevant. (See 5.1).

1.3 The timing of the beginning of a probationary review may, on the recommendation of the Faculty Dean or Head of Division, be varied by the Committee to take account of special circumstances, which may apply to a staff member.

1.4 Where a tenured staff member is appointed to another continuous position within the University, the appointment to the new position shall be made with immediate tenure.

Where a staff member is appointed to another continuous position within the University before the completion of her/his probationary period, the new position shall carry a probationary period equal to that remaining on the original appointment.

Where a staff member whose appointment on a fixed-term contract has been confirmed and is then appointed to another fixed-term contract within the University, the appointment to the new position shall be without probation.

1.5 If a staff member in a continuous position, during the period of probation, successfully applies for promotion to a higher academic level, her/his tenure shall automatically be confirmed.

Requirements at Appointment and During Probationary Period

2.1 The selection committee for each Academic appointment will provide with its appointment recommendation to the Deputy Vice Chancellor (Academic), a statement of probationary objectives expected to be achieved prior to confirmation of appointment. This statement shall be consistent with the generic probationary objectives in the Academic Staff Selection Procedures (Academic Council Res. 134/96) which are set out in Schedule B.

The Chair of the selection committee, with the agreement of the Chair of the Lecturer Promotions Committee or the Professorial Promotions Committee (as relevant), shall document any amendments made to the generic probationary objectives and formally advise the staff member and his/her performance development officer.

2.2 At the time of taking up duties, the staff member and her/his performance development officer shall be provided with a copy of the Academic Staff Probationary Review Policy and Procedures and the statement referred to in sub-clause 2.1. If during the period of probation a staff member is asked to fulfil duties which are significantly different from duties normally undertaken by academic staff at their level of appointment, or as specified at the time of appointment, then these changes shall be documented and taken into account when considering confirmation of appointment.

2.3 The annual academic performance development procedure shall be rigorously followed for staff on probation, with particular attention being given to meeting the probationary objectives established at the time of appointment. Satisfactory performance judged on this basis is a condition for continuation of employment through the probationary period. Performance development reports shall be discussed with the staff member and appropriate opportunities for development offered.

2.4 The University will provide opportunities for academic staff new to university employment to participate in programmes designed to provide information and instruction on teaching, research and administrative responsibilities. The Division is responsible for allocating time for the staff member to attend the University's tertiary teaching course, and providing local induction and the resources needed for staff members to fulfill their duties. Satisfactory completion of the University's tertiary teaching course or equivalent (e.g. Dip.Ed.) is required prior to making application for tenure at Levels A, B, C and D.

Application Procedure

3.1 Applications for probationary review will normally be considered twice in each calendar year; closing dates are 28 February and 31 August. One month before these dates, Human Resources will advise the staff member and the Faculty Dean or Head of Division that the review process may begin (see also section 1.3).

3.2 Applications are to be made on a standard form. The application process and review are comparable to promotion procedures in style, information required and the provision of evidence. Applications must address the extent to which any probationary objectives set at appointment have been achieved. Ten copies of the application are required. Applications are to be submitted to the office of the Faculty Dean or Head of Division by the due date.

Divisional Review

4.1 On receipt of an application, the Faculty Dean or Head of Division will initiate a review of the staff member to be undertaken in consultation with a senior academic in the applicant’s discipline. The Faculty Dean or Head of Division and senior academic will write a report on the applicant’s teaching, research activity and outcomes, service to the University, relevant professional work, and the extent to which any probationary objectives set at appointment have been achieved. This review will be finished by 31 March (for the application round closing 28 February) or 30 September (for the application round closing 31 August).

4.2 At the completion of the review, the Faculty Dean or Head of Division shall give the applicant a copy of the review report. The applicant shall be given the opportunity to provide the Committee with a written response to the report. A copy of the review report and any written response by the applicant will be placed on her/his personal file.

4.3 For staff members on fixed-term contracts which require probationary service, the Faculty Dean or Head of Division, after receiving advice from a senior academic in the relevant discipline, shall decide to:

· extend the probationary period of the staff member by one further semester before undertaking another review; or

Where the Faculty Dean or Head of Division does not recommend the confirmation of the employees appointment they shall advise the employee of the decision.

4.4 The Faculty Dean or Head of Division and senior academic shall interview the staff member prior to recommending termination of appointment, or recommend that the probationary period be extended. The staff member shall be advised of the issues to be addressed in advance of the interview.

4.5 For continuous staff members who have made application for tenure, the Faculty Dean or Head of Division shall provide the following to the Committee by 7 April (for the application round closing 28 February) or 7 October (for the application round closing 31 August):

· a copy of the review report from the Faculty Dean or Head of Division and senior academic including recommendations;

· the advertisement and selection criteria for the position to which the staff member was appointed;

University Review

5.1 Tenure applications for Level A to C will be considered by the Lecturer Promotions Committee. Tenure applications for Level D to E will be considered by the Professorial Promotions Committee. In this document [unless otherwise specified], both committees are referred to as the Committee. The Committee shall form an independent assessment of each case and make a recommendation to the Vice Chancellor for final decision.

· consider the advertisement and selection criteria for the position to which the staff member was appointed;

· interview, if it wishes, the staff member, the Faculty Dean or Head of Division, or any other person who can offer advice about the staff member.

5.3 For applications for tenure, the Committee shall recommend to the Vice Chancellor whether the applicant is to:

· have her/his probationary period extended by one year from the date of the original application; or

Where the Committee does not recommend tenure it shall advise the employee of the decision before making the recommendation to the Vice Chancellor.

5.4 The Committee shall interview the staff member after it has come to a tentative view that it will recommend termination of that person's appointment, or recommend that the staff member should have his/her probationary period extended.

5.4.1 Not less than seven working days before any interview conducted under the provisions of this section, the staff member shall be informed in writing of the Committee's tentative view and its reasons for that.

5.4.2 The staff member shall be informed at the interview of the substance of any reports from and outcomes of any interviews with persons who have provided advice to the Committee.

5.4.3 Following the interview, the staff member shall be entitled to provide within seven working days a written submission responding to the Committee’s tentative view, provided pursuant to sub-section 5.4.2, and matters discussed in the interview. The Committee shall consider any such submission before confirming or varying its tentative view.

5.4.4 The Committee shall normally send its recommendations and all supporting documentation to the Vice Chancellor by 7 May (for the application round closing 28 February) or 7 November (for the application round closing 31 August). Where the Committee recommends termination of employment or extension of probation it shall send those recommendations to the staff member. The staff member can request the recommendations be reviewed through the Probationary Review Appeal Procedure if appropriate grounds can be established, prior to the recommendation being considered by the Vice Chancellor. The final decision on the award of tenure shall rest with the Vice Chancellor.

5.4.5 A staff member applying for tenure shall normally be informed of the Vice Chancellor’s decision by 31 May (for the application round closing 28 February) or 30 November (for the application round closing 31 August).

Appeal Procedures

6.1 The Probationary Review Appeal Procedure will be in accordance with the process set out in Murdoch University Academic Staff Collective Workplace Agreement 2006 or any replacement agreement.

6.1 Where the Promotions Committee recommends termination of employment or extension of probation an applicant for tenure or confirmation of appointment may appeal against the recommendation on grounds that there has been a significant departure from correct procedures, or that recommendations have been made on incorrect information. Appeals must be lodged with the Director of Human Resources within ten working days of written notification of the recommendation to the applicant.

6.2 Appeals will be considered by the Promotion Appeals Committee following procedures for appeals against recommendations on promotions, with the exception that the Committee will report its decision within one month of receipt of the appeal.

6.3 The Appeal Committee shall advise the Vice Chancellor or Faculty Dean or Head of Division (as appropriate see Schedule A) whether or not the appeal should be allowed. Applicants shall be given written notification of the decision on Review.

Freedom of Information

7.1 All the documents used in these procedures may be disclosable under the Freedom of Information Act.

SCHEDULE A: PROBATIONARY REVIEW AND AWARD OF TENURE

Contract	Probationary Period	Review schedule*	Final decision made by -
Continuous Level A	5 yrs	Formal tenure review undertaken in second half of fourth year of service (after 7 semesters).	VC on recommendation of University Committee.
Continuous Level B - C	3 yrs	Formal tenure review undertaken in second half of third year of service (after 5 semesters). If tenure is not awarded on the basis of first review, University Committee may invite a second application to be considered in second half of fourth year of service (after 7 semesters).	VC on recommendation of University Committee.
Continuous Level D - E	3 yrs	Formal tenure review undertaken in second half of third year of service (after 5 semesters). If tenure is not awarded on the basis of first review, University Committee may invite a second application to be undertaken in second half of fourth year of service (after 7 semesters).	VC in consultation with (Professorial) Committee.
Fixed-term (3 or more years)	1 yr	Review for confirmation of first term of appointment after 2 semesters.	Faculty Dean or Head of Division on recommendation of the Senior Academic in relevant discipline.
Fixed-term (less than 3 years)	Nil	Continuation of employment is subject to satisfactory performance judged on annual performance development reports.	Faculty Dean or Head of Division.

* Continuation of employment during probationary period is subject to satisfactory performance judged on annual performance appraisal.

CONDITIONS OF EMPLOYMENT

ACADEMIC STAFF PROBATIONARY REVIEW POLICIES AND PROCEDURES