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					                                  RHODES UNIVERSITY
                                      Senate Draft 30.10.09
                   Personal Promotion of Academic Staff
                                   Policy and Procedures

INTRODUCTION

The Personal Promotions Policy aims to recognise an academic‟s increasing qualitative
contribution to Rhodes University‟s vision of being an outstanding internationally-respected
academic institution.

This document consists of the following major sections:

   1. The Personal Promotions Process
      A summarised description of the application process and the subsequent decision-
      making procedures

   2. The Academic Template
      A framework on which academics can capture or describe their range and levels of
      achievement.

   3. Criteria for Promotion
      Guidelines according to which academics can make their case for promotion to a
      particular academic rank, with reference to the Academic Template.

   4. The Application
      Requirements and guidelines when applying for promotion.

   APPENDIX A: The Academic Template
     Tables of the five major areas of academic life.

   APPENDIX B: The Application Form
     Covering document of academic and biographical details, and guidelines for
     applications.

   APPENDIX C: The Personal Promotions Policy
     Greater detail on the objectives of the policy, the roles and responsibilities of various
     players, the procedures and decision-making process, and employment equity and
     diversity considerations.

It needs to be noted from the outset that the personal promotions process can never be reduced
to a „tick-box exercise‟, and that it will always involve meticulous motivation, rigorous
debate, and principled judgement. Academics will be required to make the best possible case
for their promotion, based on the guidelines given and their unique context and personal
circumstances, and promotion committees will in turn need to be sensitive, flexible, and fair.
This document aims to facilitate such a process.
1.     THE PERSONAL PROMOTIONS PROCESS

NB: This is a simplified executive summary – see Appendix C for the full policy

Preparation
   1.     Academics are encouraged to regard personal promotion as part of a larger
          developmental process. The requirements for the various academic ranks should be
          studied far in advance of any actual application, so that academics can have a
          realistic understanding of how they need to develop in order to be eligible for
          promotion, and begin building up the necessary evidence. Academics are strongly
          advised to seek guidance from more senior and experienced colleagues.
   2.     Deans, HoDs and mentors in turn need to study this document so that they can
          both guide academics and create opportunities for their development on an
          ongoing basis.

Applications
   1.      Academics themselves apply for promotion, but they are strongly urged to discuss
           their applications with their HoD and Dean for critical feedback and professional
           assistance.
   2.      HoDs and Deans may also encourage academics to apply for promotion.

Important dates for applications
   1.    Beginning of May each year - academics will be reminded by internal circular of
         the personal promotions process.
   2.    15 July - applications to be submitted to HR.

Follow-up processes
   1.     HoDs submit confidential reports on applicants.
   2.     The Research & Development office provides details of applicants‟ research
          outputs.
   3.     Referee reports are sought and obtained.
   4.     Applications for promotion to Associate Professor and Professor are sent for
          critical comment to appropriate academic external advisers (one per applicant) –
          identified by the relevant Dean after consultation with the HoD.

Note: While applicants need to provide argument and evidence for their competence in the
area of Teaching & Learning, further discussion needs to take place in the University on how
this is to be assessed. A proposal must serve before the first Faculty Board meetings in 2010
and the subsequent senate decisions added to this document.

Personal Promotions Committee
   1.     Each member receives copies of all applications, HoD and referee reports, and
          external adviser reports (where appropriate).


                                                                                                2
     2.      The Committee meets in September or October, discusses applications and makes
             preliminary recommendations.
     3.      Within a week, the relevant Dean conveys the recommendations to the applicant,
             in writing if unsuccessful.
     4.      Within a further week, unsuccessful applicants may request a first appeal of the
             Committee‟s recommendation.
     5.      Within a further two weeks, the Committee considers these applications.
             Academics may present their case in person, and/or request their HoD to do so.
     6.      Within a week, the relevant Dean conveys the final recommendations to the
             applicant, in writing if unsuccessful.
     7.      Within a week, unsuccessful applicants may request a second appeal by a separate
             Promotions Appeals Committee.
     8.      The recommendations of the Personal Promotions Committee (and the Promotions
             Appeals Committee if necessary) are forwarded to Senate and thereafter to Council
             for approval.
     9.      Council‟s final decisions are conveyed to applicants by HR.
     10.     New promotions come into effect on 1 January of the following year.
     11.     In the case of applications to the level of Professor, a consensus decision is
             required. Where this does not happen, a screening takes place. Should this not be
             successful, the applicant can request an appeal by the separate Promotions Appeals
             Committee.

2.         THE ACADEMIC TEMPLATE (see Appendix A for tables)

This template gives an indication of the range and scope of academic achievements. In itself it
is not a prescriptive document and does not imply that an academic should have accomplished
any or all the possibilities. It is an attempt, in the first instance, to provide a framework on
which academics can describe the nature and quality of their achievements. It is not
exhaustive, and academics are free to motivate additions that are appropriate for them.

The template can be used for many developmental and evaluative purposes. Its value in the
personal promotions process is that a) it offers a means of capturing an academic‟s current
level of progress in all relevant areas; and b) it provides a framework according to which
minimal levels of achievement for promotion can be articulated, against which an academic
can make a case for promotion. This will be more fully described in the next section. (Note
that staff members for whom teaching is not a core responsibility are accommodated in the
sections that deal with faculty specific criteria.)

The template consists of the five major areas in an academic‟s life:

Teaching & Learning
Research
Community Engagement
Professional Involvement
Leadership Management & Administration.

                                                                                              3
Each category in turn is made up of a number of sub-categories, and each sub-category is
differentiated into four levels of achievement: Outstanding, Very Good, Satisfactory, and
Unsatisfactory.

Outstanding
This level describes the top achievements of academics in a particular discipline in South
Africa. Here is where the most outstanding research will be placed, the top teaching in a
Faculty, exemplary practice in community engagement, the most significant contributions to
the disciplines outside of the University, and the most dynamic accomplishments in
leadership, management and administration.

Very Good
In this level are those achievements which, while not being the top accomplishments in a
particular category, are nevertheless very good and well above the average. It may also
indicate significant contribution over a long period of time.

Satisfactory
This level indicates satisfactory achievement. It is what can be expected of academics but
little more. It might, however, point to promise that might substantiate itself over time.

Unsatisfactory
This marks an unsatisfactory or non-existent level of achievement. While this might be
understandable for new academics in some areas or for other more established ones in
particularly specialised posts, this level does indicate an area in which an academic needs to
improve.



    3.      PERSONAL PROMOTION CRITERIA

For promotion to a particular academic rank, an applicant needs to meet at least ONE of the
possible generic minimal requirements listed below (with reference to the Academic
Template), with the faculty-specific criteria either adding to them or modifying them.

Please note that in order to be considered as satisfactory, very good or outstanding in any
category does NOT mean that one has to achieve all the accomplishments described in the
Academic Template. One might also want to add accomplishments not listed but appropriate
to one‟s academic circumstances. The given descriptions are guidelines to the level of
accomplishment required and against which academics can make a case for themselves.




                                                                                                 4
                                                                               CRITERIA FOR ACADEMIC POSTS

Personal Promotion   Lecturer                   Senior Lecturer                                Associate professor                                        Professor
Requirements

Focus                Emphasis on                Emphasis on Teaching & Learning,               Continuing development of academic competence              Emphasis on scholarship and leadership
                     Teaching &                 with increasing quality and quantity           and achievement, with emphasis on Research
                     Learning, with             of involvement in Research and
                     discipline-                other areas
                     appropriate
                     involvement in
                     Research




                                                Candidate has to meet: A or B or C                 Candidate has to meet: A or B or C or D                   Candidate has to meet: A or B or C

                                                     A               B               C              A              B              C             D              A                B                  C

Teaching &
Learning             At least satisfactory      Very good                                      Satisfactory   Very good      Outstanding    Outstanding   Averaging      Outstanding in      Outstanding in
                                                                                                                                                          between very   one of Teaching     two of Teaching
                                                                Very good       Outstanding                                                               good and       & Learning,         & Learning,
Research                                                        in any two      in any one                                                                outstanding    Research or         Research or
                                                Very good       categories      category and   Very good      Very good      Very good      Outstanding   in Research    Leadership-         Leadership-
                                                                and             satisfactory                                                              and three      Management-         Management-
                     Satisfactory in at least                   satisfactory    in at least                                                               other          Administration,     Administration,
Community
                     two categories                             in at least     three others                                                              categories     very good in the    satisfactory in
Engagement                                      Satisfactory    two others                     Very good in   Very good      Satisfactory                                other two; very     the other; and
                                                in any one of                                  all other      in another     in at least                                 good in a fourth,   satisfactory in
                                                these                                          categories     category and   two other                                   and satisfactory    another
Professional
                                                categories                                                    satisfactory   categories                                  in a fifth          category.
Involvement                                                                                                   in the other                                               category
                                                                                                              two
Leadership,
Management and
Administration
                                                            CRITERIA FOR RESEARCHERS

     Personal promotion criteria       Researcher                 Senior Researcher                   Associate professor                         Professor

Focus                                                                Research is the main focus and teaching is not a core function.
                                    Where the researchers are on contract, raising funds for their own employment, contract research shall be regarded as equivalent to
                                                                                     more traditional forms of research.

Research                            At least satisfactory               Very good                            Very good

                                                                                                                                       Averaging between very good and
                                                                                                                                       outstanding in all four categories
Community Engagement               Satisfactory in at least
                                      three categories                                            Very good in at least one category
Professional Involvement                                        Satisfactory in at least two        plus satisfactory in two other
                                                                        categories                            categories
Leadership, Management & Admin




                                                                                                                                                                            6
                                                              FACULTY-SPECIFIC CRITERIA

Faculty      Lecturer                                Senior lecturer                                       Associate professor                       Professor



Humanities                                                                                                                    Doctorate degree normally required



             Doctorate degree usually a                                                                Doctorate degree is a requirement
Science
             requirement. In Computer Science,
             Geography, Mathematics, Physics
             and Statistics, an MSc is the
             minimum requirement.



Education                                                                                          Doctorate degree normally required



              If these criteria are to be used for appointment purposes, professional experience and
               accomplishments might carry greater weight than research/academic achievements



Commerce                                             Masters degree required                               Economics, Information Systems &          Doctorate required
                                                                                                           Management: PhD.
                                                                                                           Accounting: Either CA + Masters
                                                                                                           Degree, or PhD



             In the Department of Accounting, (i) updating of teaching to incorporate regular legislative and professional requirements is seen as spanning both teaching and
             research; and (ii) Papers written for professional journals and public presentations interpreting new developments will be considered as research.
             In the Department of Information Systems, (i) updating of teaching to incorporate the latest ICT systems is a vital component of teaching evaluation and (ii). The
             provision of written evidence evaluating systems development projects developed or supervised by individual staff members in terms of their novelty, workability
             and impact will be assessed as research.

                                                                                                                                                                                  7
Law        LLB or equivalent and usually 2         LLB or equivalent & usually 7 years teaching      LLB &       usually 12 years relevant        LLB and usually 20 years
           years teaching experience               experience, or LLB or equivalent, & usually       experience; or                               relevant experience; or
                                                   10 years relevant experience; or LLB +            LLB + LLM, & usually 9 years relevant        LLB + LLM, and usually 15
                                                   professional qualification, & usually 8 years     experience; or                               years relevant experience; or
                                                   relevant experience; or LLB + PDGHE, &            LLB + PhD, & usually 5 years relevant        LLB + PhD, and usually 12
                                                   usually 6 years relevant experience; or LLB +     experience.                                  years relevant experience.
                                                   LLM, & usually 4 years relevant experience;
                                                   or LLB + LLM + PGDHE, & usually 3 years
                                                   relevant experience; or
                                                   LLB + PhD, and no experience.



           Along with the above, a Law Clinician must fulfil slightly modified minimal requirements for promotion to Associate Professor and Professor:
           i. Associate Professor: Very good in Community Engagement, Leadership-Management-Administration and one other category, and satisfactory in the other
               two categories.
           ii. Professor: Outstanding in Community Engagement and Leadership-Management-Administration, very good in Teaching & Learning or Research, and
               satisfactory in the other two categories


           It is essential for the Faculty of Pharmacy to employ academic staff who are experienced in professional practice who may not necessarily have advanced
Pharmacy   postgraduate training on entry into academia. Staff of the Faculty of Pharmacy may have qualifications in pharmacy, medicine or cognate disciplines. Any staff
           member with a professional qualification may be considered for promotion where professional involvement is weighted to accommodate professional and practice
           contributions that are essential in training undergraduate students to achieve professional competence. Updating of teaching to incorporate regular legislative and
           professional requirements is seen as spanning both teaching and research. Papers written for professional journals, public presentations and those interpreting new
           developments in Pharmacy may be considered as research. The provision of written evidence in which participation in evaluating health systems and policy or
           undertaking or supervising associated projects by individual staff members may be considered as research.


                                                   Staff who actively participate in professional
                                                   and practice aspects of Pharmacy that are
                                                   integral to ensuring professional competence
                                                   in undergraduate students, must have an
                                                   appropriate Masters degree


                                                               Promotion to Professor, Associate Professor and Senior Lecturer normally requires a Doctoral degree.

                                                                                                                                                                                  8
4.      THE APPLICATION

Applications must be submitted electronically to the Director: Human Resources at
personal.promotion@ru.ac.za by 15 July. The application shouldn‟t exceed 25 pages
(excluding appendices), and all pages are to be numbered, typed on A4 paper. All applications
will be acknowledged with 48 hours.
Applications need to include the covering application form (electronic copy found at
www.ru.ac.za//humanresources/academic/recognition and reward/personal promotions – see
Appendix B for hardcopy example), and the motivation for promotion.
This motivation involves academics making a case for their promotion, with reference to the
Criteria (generic and faculty-specific minimal requirements) and their achievements according
to the Academic Template.

In making an application, the academic has a number of choices e.g.:

     1. Covering application document + Letter of Motivation + Curriculum Vitae crafted to
        fit in with the case being made
     2. Covering application document + Letter of motivation + standard CV
     3. Covering application document + Covering letter + Application that follows
        application guidelines

While the Promotions Committee will usually focus on achievements since the academic‟s
previous promotion, the applicant may argue for a more long-term overview. If this is the
case, the applicant needs to be explicit about what has been achieved since the last promotion.

It needs to be stressed that while the Committee will be guided by the Criteria and the
Academic Template, applicants are encouraged to motivate for flexibility should they feel that
their academic, professional and/or personal circumstances deserve it. Such motivation will
obviously need to be well argued to be convincing.

While applicants are free to structure their applications as they consider most appropriate,
they might find it useful to consider the guidelines offered in Appendix B. In particular,
attention should be given to the information required for research and/or creative outputs.
Applicants should strive to make it as easy as possible for the Personal Promotions
Committee to see evidence of their accomplishments.
APPENDIX A:                                              1.    TEACHING & LEARNING
                                                     (See Notes below for examples of evidence of accomplishments)

Level         Teaching practice                          Scholarship of teaching &             Curriculum practice                      Leadership
                                                         learning
              Outstanding teaching practice              Philosophy of teaching and            Exceptionally well designed              Outstanding leadership
               Inspirational and engaging teacher       learning                              courses                                  qualities
               Focuses on the promotion of a broad       Very clearly articulated, drawing    Relevant to up-to-date with local,      Demonstrated in a formal role
                range of learning strategies               on contemporary educational           international, global & disciplinary     in respect of teaching and
               Innovative and highly effective            theory and research in informed       contexts                                 learning in a
                ways of dealing with diversity             ways.                                Highly responsive to diverse needs       department/faculty and/or
               Uses wide range of appropriate            High level of coherence between       of a diverse student body                nationally.
Outstanding
                teaching strategies (including             philosophy and practice.             Internally aligned with respect to      Evidence of effective formal
                technology and audio-visual aids)                                                purpose, outcomes, teaching &            or informal mentorship of less
               Outstanding disciplinary knowledge                                               learning activities, assessment          experienced staff.
               Ability to help students learn how                                               methods and criteria                     .
                knowledge is constructed in the                                                 Include assessment activities which
                discipline.                                                                      are accountable and transparent
               Above demonstrated across a range
                of undergraduate and postgraduate
                levels of study.
               Offers excellent professional/clinical
                practice supervision

Level         Teaching practice                          Scholarship of teaching &             Curriculum practice                      Leadership
                                                         learning
              Excellent teaching practice                Philosophy of teaching and            Well designed courses                    Good leadership qualities
               Very clear and engaging teaching         learning                               Relevant to and up-to-date with         Demonstrated in a formal role
Very good      Focuses on promotion of a range of        Clearly articulated, drawing on       local, international, global &           in respect of teaching and
                learning strategies.                       some contemporary educational         disciplinary contexts                    learning in a
               Very effective ways of dealing with        theory and research.                 Responsive to diverse needs of a         department/faculty.
                diversity.                                                                       diverse student body                    Evidence of effective formal
                                                          Coherence between philosophy         Internally aligned with respect to
               Very good disciplinary knowledge                                                                                          or informal mentorship of less
                                                           and practice.
                and ability to help students learn how                                           purpose, outcomes, teaching &            experienced staff.
                knowledge is constructed in the                                                  learning activities, assessment
                discipline.                                                                      methods and criteria
               Above demonstrated across a range                                               Include assessment activities which
                                                                                                                                                                      10
                  of undergraduate and postgraduate                                            are accountable and transparent
                  levels of study.
                Offers very good
                 professional/clinical practice
                 supervision
Level          Teaching practice                        Scholarship of teaching &            Curriculum practice                        Leadership
                                                        learning
               Good teaching practice                   Philosophy of teaching and           Reasonably well designed                   Some leadership qualities
                Clear and accessible teaching          learning                             courses                                     Demonstrated in a formal role
                Focuses on the promotion of a range     Reasonable attempt at               Relevant and up-to-date with local,        in respect of teaching and
                 of learning strategies                   articulating such a philosophy,      international, global & disciplinary       learning in a
Satisfactory    Effective ways of dealing with           with some reference to               contexts                                   department/faculty.
                 diversity                                educational research & theory       Responsive to diverse needs of a          Evidence of effective formal
                Good disciplinary knowledge.            Some coherence between               diverse student body                       or informal mentorship of less
                Above demonstrated across a              philosophy and practice..           Internally aligned with respect to
                                                                                                                                          experienced staff.
                 limited range of undergraduate and                                            purpose, outcomes, teaching &
                 postgraduate levels of study.                                                 learning activities, assessment
                Offers appropriate                                                            methods and criteria
                 professional/clinical practice                                               Include assessment activities which
                 supervision                                                                   are accountable and transparent
                                                                                             .
Level          Teaching practice                        Scholarship of teaching &            Curriculum practice                        Leadership
                                                        learning
               Poor teaching practice                   Philosophy of teaching and           Poorly designed courses                    Little leadership
                Narrow range of teaching strategies.   learning                              Not necessarily relevant to the range     Little or no evidence of
                Little consideration of issues of       Poor articulation of such a          of contexts or responsive to the needs     leadership roles in relation to
                 diversity.                               philosophy, with no reference to     of diverse student body                    teaching and learning in the
    Un-         Limited disciplinary knowledge.          educational research & theory       Some elements of the curriculum are        department or university.
                Offers little or unsatisfactory         Little coherence between             misaligned.
satisfactory                                                                                  Assessment practices are not
                 professional/clinical practice           philosophy and practice.
                 supervision                                                                   accountable nor transparent.




                                                                                                                                                                        11
NOTES:        EXAMPLES OF EVIDENCE IN THE AREA OF TEACHING & LEARNING

Level         Teaching practice                       Scholarship of teaching &              Curriculum practice                    Leadership
                                                      learning
              Outstanding teaching practice           Philosophy of teaching and             Exceptionally well designed            Outstanding leadership
               Discussion of a broad range of        learning                               courses                                qualities
                learning methodologies used.           Scholarly papers on aspects of        Curriculum documentation including    Record of roles occupied (e.g.
Outstanding    Formal teaching qualification (e.g.     teaching theory and practice.          assessment plans and tasks.            HoD, acting HoD, course co-
                Assessors‟ Course or PGDHE) with       Participation at educational          Exceptional student and peer           ordinator).
                distinction.                            conferences, workshops etc.            feedback (including external          Exceptionally positive
               Exceptional student and peer           Membership of editorial boards         examiners‟ reports).                   feedback on leadership roles.
                feedback on teaching.                   of disciplinary teaching journals.    Evidence of responding to feedback    Contributions to institutional
               Good student results (UG and PG).      Reflection and principled              in future curriculum decisions.        and/or national structures
               Awards for teaching excellence.         responses to student & peer           Evidence of regular review and re-     related to teaching and
                                                        feedback to improve practice.          curriculation                          learning (e.g. the Teaching &
                                                       Invitations to share practice and                                             Learning Committee, SGBs,
                                                        philosophies at teaching and                                                  professional bodies).
                                                        learning related fora at Rhodes                                              Requests for external
                                                        and elsewhere.                                                                examining.
                                                                                                                                     Mellon/Kresge mentorship.

Level         Teaching practice                       Scholarship of teaching &              Curriculum practice                    Leadership
                                                      learning
              Excellent teaching practice             Philosophy of teaching and             Well designed courses                  Good leadership qualities
Very good      Discussion of a range of learning     learning                                Curriculum documentation including    Record of roles occupied (e.g.
                methodologies used.                    Scholarly papers on aspects of         assessment plans and tasks.            HoD, acting HoD, course co-
               Formal teaching qualification (e.g.     teaching theory and practice.         Good student and peer feedback         ordinator).
                Assessors‟ Course or PGDHE).           Participation at educational           (including external examiners‟        Positive feedback on
               Excellent student and peer feedback     conferences, workshops etc.            reports).                              leadership roles.
                on teaching.                           Membership of editorial boards        Evidence of responding to feedback    Contributions to institutional
               Good student results (UG and PG).       of disciplinary teaching journals.     in future curriculum decisions.        and/or national structures
                                                       Reflection and principled             Evidence of regular review and re-     related to teaching and
                                                                                               curriculation                          learning (e.g. the Teaching &
                                                        responses to student & peer
                                                                                                                                      Learning Committee, SGBs,
                                                        feedback to improve practice.
                                                                                                                                      professional bodies).
                                                       Invitations to share practice and                                            Requests for external
                                                        philosophies at teaching and                                                  examining.
                                                                                                                                                                  12
                                                      learning related fora at Rhodes                                           Mellon/Kresge mentorship.
                                                      and elsewhere.
Level          Teaching practice                     Scholarship of teaching &          Curriculum practice                    Leadership
                                                     learning
               Good teaching practice                Philosophy of teaching and         Reasonably well designed               Some leadership qualities
                Discussion of a range of learning   learning                           courses                                 Explanation of leadership
                 methodologies used.                  Participation at educational      Curriculum documentation including     roles (e.g. organising
Satisfactory
                Assessors‟ Course .                   conferences, workshops etc.        assessment plans and tasks.            departmental seminars, etc).
                Good student and peer feedback on    Reflection and responses to       Reasonably good student and peer      Positive feedback on
                 teaching.                             student & peer feedback to         feedback (including external           leadership roles..
                Fair student results (UG and PG).     improve practice.                  examiners‟ reports).
                                                                                         Evidence of responding to feedback
                                                                                          in future curriculum decisions.
                                                                                        .




                                                                                                                                                                13
                                      2a.      RESEARCH/ ORIGINAL CREATIVE ENDEAVOUR

A.     Academics whose primary output is the published paper and less often a book

     Level                 Research Outputs                                           Postgraduates                             Recognition and Reputation
                           Quality & Quantity                                      Quality & Quantity
                Consistently produces outputs of the                    Consistently produces PGs of the                      Recognised nationally and
Outstanding     highest quality                                         highest quality                                       Internationally as a leader
                 Highly productive – amongst the top researchers        Outstanding reputation for supervising at post        Invited to write reviews
                  in his/her field nationally and internationally            graduate level                                     Invited to present plenary papers at
                  recognised                                               Excellent record of successful graduates             international conferences
                 Outstanding research and publication record in           Optimum throughput rate                             Invited to make contributions to
                   appropriate academic and/or professional                Sustained evidence of capacity building with         major books as author or editor
                   journals, relative to others in the same field           students from disadvantaged educational            Considered as a public commentator
                   (nationally & internationally)                           backgrounds                                         with particular expertise
                 Invited to participate at conferences of                 Evidence of publications coming out of             NRF rating outstanding for the
                  international status                                      student research                                    discipline.
                 Presents papers at international conferences             Evidence of high level of capacity for research    Awards for research excellence
                 Author / editor of a leading work or contributions        fundraising
                  to a leading work
                 Uses high IF journals
                 Papers with high citation,and/or research with
                  high field-based impact
                 Public emanation of work

                Consistently produces outputs some of                   Consistently graduates PGs                            Strong National and some
Very good       which are of a very high standard                        Very good reputation for supervising at post        international recognition
                  Very productive – one of the best known in              graduate level                                       Invited to write reviews for national
                   his/her field nationally and known to some extent     Very good record of successful graduates and           journals
                   internationally                                        throughput rate                                       Invited to present at national
                  Substantial research and publication record in        Significant evidence of capacity building with         conferences
                   appropriate academic and/or professional               students from disadvantaged educational              Invited contributions to local books
                   journals, relative to others in the same field         backgrounds                                           NRF rating very good for the
                  Presents at national and international conferences    Some evidence of publications coming out of            discipline.
                  Contributes book chapters                              student research
                  Uses journals with good IF and sometimes high         Evidence of capacity for research fundraising

                                                                                                                                                                         14
                  IF
                 Some papers with high citations and/or some
                  evidence of high field-based impact




               Steady research output of increasing                 Steady contribution to PG training                   Nationally/Regionally
Satisfactory   quality                                                Success in initiating, managing and supervising   recognised
                Evidence of ongoing involvement in research           postgraduate students                               Recognised in his/her field
                                                                      Little evidence of research fund-raising
                A reasonable record of publications in academic                                                           Evidence of academic/professional
                and/or professional journals                                                                                participation at national level.
                Presents at national conferences
                Uses journals with moderate IF and some journals
                with good IF
                Some papers with some citations and/or some
                evidence of field-based impact

               Research outputs irregular and of low                Plays little role in PG training                     Little or no recognition
Unsatisfactory quality                                               Little experience with postgraduate supervision     Unable to provide evidence of
                 Rarely publishes in refereed journals              No evidence of research fund-raising                 national recognition
                 No conference presentations




                                                                                                                                                                15
                                      2b.      RESEARCH/ ORIGINAL CREATIVE ENDEAVOUR
   B. Academics whose primary output is in art practice as research

    Level                      Research Outputs                                        Postgraduates                         Recognition and Reputation
                              Quality & Quantity                                     Quality & Quantity
                 Consistently produces outputs of the highest               Consistently produces PGs of the                Recognised nationally and
Outstanding      quality                                                    highest quality                                 Internationally as a leader
                  Has had a substantial number of one-person                Attracts Master in Fine Art registrations.     Regularly receives prestigious
                   exhibitions. These include shows in prestigious venues    Postgraduates are successful and complete       invitations as guest speaker or
                   such as museums as well as international venues.           in time.                                        resident from universities.
                  Produces works that are the focus of academic articles    Assessment of supervision always excellent.    NRF rating outstanding for the
                   and monographs (excluding self-initiated projects) as                                                      discipline.
                   well as substantive reviews.                                                                              Regularly receives invitations to
                  Has works in a large number of public collections,                                                         exhibit or as a guest speaker.
                   including international collections.
                  Has undertaken curatorial work and published
                   academic articles/chapters in books


                 Consistently produces outputs some of which                Consistently graduates PGs                      Strong National and some
  Very good      are of a very high standard                                 Attracts Master in Fine Art registrations.    international recognition
                  Has had a good number of one-person exhibitions, and      Postgraduates are successful and complete      Has received some prestigious
                   has participated in group exhibitions overseas.            in time.                                        invitations.
                  Has had works be the focus of an academic article or                                                      NRF rating very good the discipline.
                   monograph which is not self-initiated as well as
                   substantive reviews.
                  Has works in a number of public collections.
                  May have undertaken curatorial work and published
                   academic articles/chapters in books
                 Steady research output of increasing quality               Steady contribution to PG training              Nationally recognised
 Satisfactory     Has a steady output of increased quality                  Has trained more than one PG in last 5          Invited conference presentation at
                                                                              years                                            national meeting

                 Research outputs irregular and of low quality Plays little role in PG training                             Little or no recognition
Unsatisfactory    Is not active in the making of art OR production of       One or fewer PGs graduated in last 5 years      Unable to provide evidence of
                   academic research articles                                                                                  national recognition

                                                                                                                                                                     16
                                       2c.      RESEARCH/ ORIGINAL CREATIVE ENDEAVOUR

C. Academics whose primary output is musical performance processes and/or products (musical performer is taken to subsume the sometimes
simultaneous roles of soloist, ensemble musician, conductor, composer, or arranger within the fields of Western art music or (improvised) popular
music or jazz)

    Level                    Creative Outputs                                           Postgraduates                            Recognition and Reputation
                            Quality & Quantity                                       Quality & Quantity
                 Regularly produces outputs of the highest                  Regularly produces PGs of the highest            Recognised nationally and
 Outstanding     quality                                                    quality                                          Internationally as a leader
                    Musical performances regularly presented at             Candidates' degrees awarded with distinction      Regular invitations to conduct master
                     prestigious festivals or venues (nationally and         Graduates successful in professional and/or        classes and residencies for
                     internationally)                                         academic fields                                    professionals
                    Body of work is studied/researched by students and      Assessment of practical and theoretical           Invitations to contribute to funding
                     professionals in further/higher education (e.g. a        supervision always excellent                       selection and or award commissions
                     musician‟s work or educational contribution which                                                           (such as the National Arts Council)
                     is regularly studied and researched within school or                                                       Invited to review institutions and
                     higher education curricula)                                                                                 curricula nationally
                    Compositions/arrangements/recordings                                                                       Participation as a major contributing
                     published/distributed by publishing house in CD                                                             artist in a collaborative project or
                     format etc.                                                                                                 concert programme
                                                                                                                                Invited as peer reviewer to review
                 (These contributions require a peer review process to be                                                        practice as research
                 considered as research outputs)                                                                                Invited as external examiner in post-
                                                                                                                                 graduate musical assessment at
                                                                                                                                 several universities nationally or
                                                                                                                                 internationally




                                                                                                                                                                         17
                Regularly produces outputs some of which                   Regularly graduates PGs                     Strong national and some
  Very good     are of a very high standard                                   Assessment of supervision always good   international recognition
                   Presents creative work nationally                         Some evidence of graduates' success        Invited to conduct specialized
                   Productivity amongst top 20% of researchers in                                                         workshops at local conferences or
                    university artistic community                                                                          festivals
                                                                                                                          Participation as a contributing artist in
                (These contributions require a peer review process to be                                                   a collaborative project or concert
                considered as research outputs)                                                                            programme
                                                                                                                          Invited as external examiner for some
                                                                                                                           post-graduate musical assessment at
                                                                                                                           one or two other universities
                                                                                                                           nationally

                Steady creative output of increasing quality               Steady contribution to PG training          Nationally recognised
 Satisfactory      Presents creative work locally                            Supervises term papers/long essays         Invited to act as an adjudicator for
                                                                                                                           eisteddfods or local/regional music
                (These contributions require a peer review process to be                                                   examinations
                considered as research outputs)                                                                           Invited as external examiner for some
                                                                                                                           under-graduate and possibly post-
                                                                                                                           graduate musical assessment at one
                                                                                                                           other university nationally

               Creative outputs irregular and of low                       Plays little role in PG training            Little or no recognition
Unsatisfactory quality                                                        Does not participate in supervision        Does not participate in collaborative
                 Produces little in the way of creative outputs                                                           projects, curriculation bodies, or
                (These contributions require a peer review process to be                                                   advisory boards
                considered as research outputs)




                                                                                                                                                                   18
                                      2d.       RESEARCH/ ORIGINAL CREATIVE ENDEAVOUR
D.     Academics whose primary output is theatre performance processes and/or products (Theatre Artist could include the roles of director,
       choreographer, script writer, theatre designer, dramaturge, and/or performer, and an individual may perform multiple artistic functions
       across one or several productions.)


     Level                          Research Outputs                                          Postgraduates                        Recognition and Reputation

                                   Quality & Quantity                                      Quality & Quantity

                 Regularly produces outputs of the highest                         Regularly produces PGs of the               Recognised nationally and
                 quality                                                           highest quality                             Internationally as a leader
Outstanding
                    Theatre productions regularly commissioned by                  Graduates successful in professional         Regular invitations to conduct Master
                     prestigious festivals or theatres (nationally and               and/or academic fields.                       classes and residencies for professionals,
                     internationally).1                                             Assessment of practical and theoretical       or at conferences and festivals.
                    Curator /artistic programmer of major arts festivals or         supervision always excellent.                Invitations to contribute to funding
                     theatre events – for example, the programming committee                                                       selection and or award commissions
                     of the National Arts Festival.                                                                                (such as the National Arts Council).
                    Theatrical processes and/or products have significant                                                        Invited to review institutions and
                     impact on their context, or discipline, or artistic                                                           curricula nationally.
                     community/audience, in terms of scope, complexity,                                                           Invited as peer reviewer to review
                     effect or affect.2                                                                                            practice as research.
                    Regular participation as a major contributing artist to a                                                    Regular invitations to externally examine
                     collaborative project or concert programme.3                                                                  post-graduate theatre work at universities
                    Body of artistic work is studied/researched by students                                                       nationally or internationally.
                     and professionals in general/further/higher education (e.g.
                     an artist‟s work who is regularly studied and researched
                     within school or researched by students at National or
                     International universities).
                    Play texts or artist‟s monograph or recordings of work
                     that are widely distributed.4
                     .




                                                                                                                                                                         19
                Regularly produces outputs some of which are of Regularly graduates PGs                                    Strong National and some
                a very high standard                                                                                       international recognition
 Very good                                                                         Assessment of practical and
                   Presents creative work nationally and may have one              theoretical supervision always good.      Invited to conduct specialised workshops
                    commission by a prestigious festival or theatre.               Some evidence of graduate‟s                at national or international conferences or
                   Can demonstrate how the theatrical processes and/or             professional success.                      festivals.
                    products have had an impact on their context, or                                                          Invited to externally examine some post-
                    discipline, or artistic community/audience, in terms of                                                    graduate theatre work at universities
                    scope, complexity, effect or affect.                                                                       nationally.
                   Participation as a contributing artist to a collaborative
                    project or concert programme.
                   Play texts or artist‟s monograph or recordings of work
                    that are fairly widely distributed.


                Steady research output of increasing quality                    Steady contribution to PG                  Nationally recognised
                                                                                training
 Satisfactory      Does continually produce creative research such as                                                        Invited to act as an adjudicator or
                    theatrical processes and/or products, but the extent and       Evidence of contribution to post-          workshop leader (for example at national
                    impact of these works is developing.                            graduate course programmes &               eisteddfods or provincial or national
                   Some participation as a contributing artist to a                supervision.                               schools festivals).5
                    collaborative project or programme.                                                                       Invited to externally examine under-
                                                                                                                               graduate and possibly post-graduate
                                                                                                                               theatre work at one other university
                                                                                                                               nationally.


                Research outputs irregular and of low quality                   Plays little role in PG training           Little or no recognition

Unsatisfactory     Theatre work produced is irregular and has little impact       Minimal responsibility for post-          Minimal or no invitations to externally
                    on discipline or current artistic practice.                     graduate supervision or training.          examine other university courses.
                                                                                                                              Minimal or no participation within wider
                                                                                                                               artistic community such as workshops,
                                                                                                                               conferences and festivals.




                                                                                                                                                                      20
Notes

   1.   A commission by a major national or international festival involves a rigorous and often competitive selection process. A theatre work
        which is selected to perform on the Main programme of a festival is chosen by a panel of experts who are responsible for ensuring, in
        part, an artistic programme which advances artistic knowledge by presenting work of excellence which may challenge artistic
        boundaries, ideas about form, content, or technical expertise. In this sense, such a commission involves a peer review process, often
        contributing to advancement of knowledge within the discipline, and such knowledge is further disseminated through reviews,
        recordings, academic articles, and audience attendance.
   2.   Not all theatre works will end up at prestigious venues or festivals. However, some work may have a significant impact, for example, a
        theatre project which interrogates important social issues and collaborates with an NGO to initiate debate within a local community. An
        artist/researcher would need to argue for the significance and scope of the impact of a particular theatre project. Some kind of peer
        review mechanism is therefore necessary, to account for what can be considered „quality‟ within a specific context. South African
        Drama departments are currently involved in an NRF funded research project which aims to investigate how theatre practice might be
        considered research. The criteria used to evaluate this are:
         How does the process/product relate to how it is framed as research (it was decided that a theatre process or product needed to be
            framed as research by providing a statement of intent, contextualisation within a body of theory or artistic practice etc.)
         Does it contribute to current practice and the advancement of knowledge in the discipline? How and to what extent?
         Does it reflect theatrical and/or dramatic accomplishment and a creative signature, relative to the particular nature of the project and
            its context?
         To what extent does the product or process impact upon the context, the discipline or the viewer (in scope/complexity/effect/affect)?

   3.   Most theatre artist roles form part of a collective creative process – ie – several artists collaborating to create a theatrical production.
        The onus should be on the artist/researcher to show the level of his/her contribution.
   4.   The term „publication‟ has purposively been avoided as it is unrealistic to assume in the current publishing climate, that a text or an artist
        monograph or recording of work will be published by a major publishing house. However, if a researcher can provide evidence that
        his/her text is performed or used to inform artistic practice in different contexts, this might constitute „distribution‟ and by implication,
        dissemination of original artistic knowledge.
   5.   The context of invitations to adjudicate or present a workshop needs to be taken into account, in terms of impact on the discipline,
        participant, or context.




                                                                                                                                                   21
                                       2e.      RESEARCH/ ORIGINAL CREATIVE ENDEAVOUR
      E.      Academics whose primary output is in the production of media (including print, broadcast and new media)
      Note: When applying for promotion based on media production as the primary research output the media products should be compiled into
      a portfolio of work with a brief narrative overview

                                                                                             Postgraduates Quality &
    Level                    Media Outputs Quality & Quantity                                                                          Recognition and Reputation
                                                                                                     Quantity
                 Consistently produces media outputs of outstanding                      Consistently produces PGs of                Strong national and some
Outstanding      quality                                                                 highest quality                             international recognition
                  Continues to produce media of a high standard.                           Regularly supervises postgraduate        Presents at international
                  Shows evidence of consistent innovation in media productions              theses to successful completion           conferences/media institutions and
                   over a period of time.                                                   Evaluation of PG supervision always       tertiary education facilities.
                  Has initiated the production of new and original media.                   excellent.                               Regularly asked to comment on area
                  Has had work reviewed internationally.                                   Regularly supervises PG media             of expertise via national media.
                  Plays a leadership role in media productions.                             productions of excellent quality,        Regularly receives invitations from
                  Has been commissioned to produce media in field of                        attracting national attention             influential national/international
                   expertise/invited to produce commentary or analysis of media                                                        bodies as consultant or contributor.
                   production in field of expertise nationally and/or internationally.
                 Consistently produces media outputs some of which                       Consistently graduates PGs                  National recognition
  Very good      are of a very high standard                                                Has supervised at least one              Presents at international
                    Continues to produce media of a high standard.                          postgraduate thesis to successful         conferences/media institutions and
                                                                                             completion.                               tertiary education facilities.
                    Shows evidence of innovation in media productions.
                                                                                                                                     Has been asked to comment on area of
                    Plays a leadership role in media productions.                           Consistently supervises post-graduate
                                                                                             and/or long-form media productions        expertise via national media.
                    Has had work reviewed in a South African publication.
                                                                                             of a high standard                       Has received invitations from
                    Has been commissioned to produce media in field of
                     expertise/invited to produce commentary or analysis of media           Evaluation of PG supervision good         influential national/international
                                                                                                                                       bodies as consultant or contributor.
                     production in field of expertise in South Africa.
                 Steady media output of increasing quality                               Steady contribution to PG                   Little or no recognition
 Satisfactory     Has a steady output of good quality in reputable media contexts.      teaching                                     Unable to provide evidence of
                                                                                            Supervises long papers/essays.            recognition within the local media
                                                                                                                                       industry.
                                                                                            Supervises students in the production
                                                                                             of long-form media
                 Media outputs irregular and of low quality                              Little PG teaching
Unsatisfactory    Is not active in the production of media.                              Minimal or no responsibility for
                                                                                           supervision of post-graduate students

                                                                                                                                                                            22
                                                    3.       COMMUNITY ENGAGEMENT

Level         Teaching and/or research related
              Community-based activities linked to Rhodes University
Outstanding      Demonstrates outstanding leadership in developing policies, practice and sustainability
                 Demonstrates outstanding leadership in procuring and managing programmes benefiting the community and/or the University financially
                  or otherwise (e.g. grants, contracts or donations)
                 Is directly responsible and involved in supervising students service learning and/or internship activities
                 Directly responsible for designing and implementing service learning in the curriculum or discipline-specific outreach programmes.

              Field placements or internships
                 Demonstrates significant leadership in developing policies, practice and sustainability
                 Is directly responsible for managing projects benefitting the community and/or the University financially or otherwise e.g. grants,
                  contracts or donations
                 Is directly responsible and involved in supervising students service learning and/or internship activities
                 Directly responsible for designing and implementing service learning in the curriculum or discipline-specific outreach programmes

              Teaching and/or research related
              Community-based activities linked to Rhodes University
 Very good       Demonstrates leadership in developing policies, practice and sustainability
                 Demonstrates leadership in procuring and managing programmes benefiting the community and/or the University financially or otherwise
                  (e.g. grants, contracts or donations)
                 Substantially involved in supervising students service learning and/or internship activities
                 Substantially responsible for designing and implementing service learning in the curriculum or discipline-specific outreach programmes

              Field placements or internships
                 Demonstrates leadership in developing policies, practice and sustainability
                 Is directly responsible for managing projects benefitting the community and/or the University financially or otherwise e.g. grants,
                  contracts or donations
                 Substantially involved in supervising students service learning and/or internship activities
                 Substantially responsible for designing and implementing service learning in the curriculum or discipline-specific outreach programmes




                                                                                                                                                           23
               Teaching and/or research related
               Community-based activities linked to Rhodes University
Satisfactory      Is involved in developing policies, practice and sustainability
                  Is partially responsible for procuring and managing programmes benefiting the community and/or the University financially or otherwise
                   (e.g. grants, contracts or donations)
                  Involved in supervising students service learning and/or internship activities
                  Involved in designing and implementing service learning in the curriculum or discipline-specific outreach programmes

               Field placements or internships
                  Is involved in developing policies, practice and sustainability
                  Is partially responsible for managing projects benefitting the community and/or the University financially or otherwise e.g. grants,
                   contracts or donations
                  Involved in supervising students service learning and/or internship activities
                  Involved in designing and implementing service learning in the curriculum or discipline-specific outreach programmes


               Teaching and/or research related
               Community-based activities linked to Rhodes University
    Un-           Little to no involvement in developing policies, practice and sustainability
                  Is partially responsible for procuring and managing programmes benefiting the community and/or the University financially or otherwise
satisfactory
                   (e.g. grants, contracts or donations)
                  Limited or no involvement in supervising students service learning and/or internship activities
                  Limited or no involvement in designing and implementing service learning in the curriculum or discipline-specific outreach programmes

               Field placements or internships
                  Little to no involvement in developing policies, practice and sustainability
                  Is directly responsible for managing projects benefitting the community and/or the University financially or otherwise e.g. grants,
                   contracts or donations
                  Limited or no involvement in supervising students service learning and/or internship activities
                  Limited or no involvement in designing and implementing service learning in the curriculum or discipline-specific outreach programmes




                                                                                                                                                            24
                                                          4.       PROFESSIONAL INVOLVEMENT

Level      Teaching Related                       Research Related                                    Professional Field
           External Examining:                    External Examining:                                 Professional/Academic Bodies
           ▪ Distinguished record of external     ▪ Distinguished record of external examining of     ▪ Outstanding service on local and national bodies
  Out-       examining of taught courses            Masters and Doctoral theses                       Advisory Capacity
standing   ▪ Examines for international and SA    ▪ Examines for international and SA HEIs            ▪ Highly sought after by NGOs, industry and/or Government
             Higher Education Institutions        Journal Service
           ▪ Examines advanced/specialised
                                                                                                      Formal Policy
                                                  ▪ Outstanding contribution as member of             ▪ Exceptional contribution at provincial, national and/or
             courses
                                                     editorial board or referee of leading journals
           Formal Curriculum                                                                             international level
                                                  Research Reviews                                    Conferences/Exhibitions
             Development                          ▪ Prestigious record of reviewing research
           ▪ Leading contribution at provincial                                                       ▪ Leading organiser at national and/or international level
                                                     proposals and publications
              and national levels                                                                     Professional Service
           Inter-university projects                                                                  ▪ Evidence of exceptional professional service that influences
           ▪ Outstanding involvement                                                                     teaching, research and/or supervision.
                                                                                                      Higher Education
                                                                                                      ▪ Repeatedly serves as external reviewer/assessor of other HEIs.

Level      Teaching Related                       Research Related                                    Professional Field
           External Examining:                    External Examining:                                 Professional/Academic Bodies
           ▪ Substantial record of external       ▪ Substantial record of external examining of       ▪ Significant service on local and/or national bodies
  Very       examining of taught courses for        Masters and Doctoral theses                       Advisory Capacity
  good       SA Higher Education Institutions     ▪ Examines for SA Higher Education                  ▪ Often sought after by NGOs, industry and/or Government
           ▪ Examines advanced/specialised          Institutions
             courses
                                                                                                      Formal Policy
                                                  Journal Service
           Formal Curriculum                                                                          ▪ Substantial contribution at provincial, national and/or
                                                  ▪ Significant contribution as member of                international level
             Development                             editorial board or referee
                                                                                                      Conferences/Exhibitions
           ▪ Strong supportive contribution at    Research Reviews
                                                                                                      ▪ Major organiser at national and/or international level
              provincial and national levels      ▪ Substantial record of reviewing research
           Inter-university projects                 proposals and/or publications
                                                                                                      Professional Service
                                                                                                      ▪ Evidence of sugnificant professional service that influences
                                                                                                                                                                         25
             ▪ Substantial participation                                                                  teaching, research and/or supervision.
                                                                                                      Higher Education
                                                                                                      ▪ Has served as external reviewer/assessor of other HEIs.

Level        Teaching Related                        Research Related                                 Professional Field
             External Examining                      External Examining:                               Professional/Academic Bodies
             ▪ External examiner of taught           ▪ Record of external examining of postgraduate   ▪ Serves on local and/or national bodies
Satisfacto      courses at SA Higher Education          theses.                                       Advisory Capacity
    ry          Institutions                         Journal Service                                  ▪ Sometimes sought after by NGOs, industry and/or Government
             Formal Curriculum                       ▪ Contributes as member of editorial board or    Formal Policy
               Development                              referee                                       ▪ Contributes at provincial, national and/or international level
             ▪ Contributes at provincial or          Research Reviews                                 Conferences/Exhibitions
                national levels                      ▪ Reviews research proposals and publications    ▪ Contribution to organisation at national and/or international
             Inter-university projects                                                                   level
             ▪ Participates                                                                           Professional Service
                                                                                                      ▪ Some evidence of professional service that influences teaching,
                                                                                                          research and/or supervision.

Level        Teaching Related                        Research Related                                 Professional Field
             External Examining                      External Examining:                              Professional/Academic Bodies
             ▪ Negligible or no external examining   ▪ Little to no record of external examining of   ▪ No contribution to local or national bodies
   Un-       Formal Curriculum                          postgraduate theses.                          Advisory Capacity
satisfacto     Development                           Journal Service                                  ▪ Not sought after by NGOs, industry and/or Government
    ry       ▪ No contribution at provincial or      ▪ No contribution as member of editorial board   Formal Policy
                national level                          or referee                                    ▪ No contribution at provincial, national or international level
             Inter-university projects               Research Reviews                                 Conferences/Exhibitions
             ▪ Little to no participation            ▪ No record of reviewing research proposals      ▪ No organisational contribution at national or international level
                                                        and publications
                                                                                                      Professional Service
                                                                                                      ▪ No evidence of exceptional professional service that influences
                                                                                                          teaching, research and/or supervision.


                                                                                                                                                                            26
                                      5.       LEADERSHIP, MANAGEMENT AND ADMINISTRATION

Level        Leadership                                   Management                                                  Administration
             Department                                   Department                                                  Department
             ▪ HoD who leads in an outstanding and        ▪ HoD with excellent management and people skills           ▪ HoD with excellent administrative skills
    Out-       inspiring way                              ▪   Academic who has expertly managed significant           ▪ Academic who has evidenced excellent
  standing   ▪ Academic who provides dynamic                  responsibilities in the Department over an extended       administrative responsibilities in the
               leadership in running of Department            period                                                    Department over an extended period
             Faculty                                      Faculty                                                     Faculty
             ▪ Dean who leads Faculty in an               ▪ Dean with excellent management and people skills          ▪ Dean with excellent administrative skills
                outstanding and inspiring way             ▪ Deputy-Dean who has offered excellent managerial          ▪ Deputy-Dean who has evidenced excellent
             ▪ Deputy-Dean who has offered excellent        support to the Faculty over an extended period              administrative responsibilities in the Faculty
               leadership over an extended period in      ▪ Academic who has expertly managed significant               over an extended period
               Faculty activities                           responsibilities in the Faculty over an extended period   ▪ Academic who has evidenced excellent
             ▪ Academic who provides exceptional          University                                                    administrative responsibilities in the Faculty
               leadership in Faculty activities           ▪  Significant management contribution on University          over an extended period
             University                                     committees and/or campus life and student affairs over    University
             ▪ Leads important University activities        an extended period                                        ▪ Excellent administrative contribution to the
             ▪ Chairs important University committees     ▪ Excellent contribution to University committees             University over an extended period
             ▪ Has shown outstanding leadership in          and/or the residential system over an extended period
               campus life and student affairs.


Level        Leadership                                   Management                                                  Administration
             Department                                   Department                                                  Department
             ▪ HoD with satisfactory leadership record    ▪ HoD with satisfactory people and management skills        ▪ HoD with satisfactory administrative skills
 Very good   ▪ Academic who provides very good            ▪ Academic who has satisfactorily managed significant       ▪ Academic who has expertly managed
               leadership appropriate to academic level     responsibilities in the Department over an extended          significant responsibilities in the
               and experience                               period                                                       Department over a short period
             Faculty                                      ▪ Academic who has expertly managed significant             ▪ Academic who has evidenced satisfactory
             ▪ Dean who is a satisfactory leader            responsibilities in the Department over a short period       administrative responsibilities in the
             ▪ Deputy-Dean who often offers excellent     Faculty                                                        Department over an extended period
               leadership in Faculty activities           ▪ Dean with satisfactory people and management skills       Faculty
             ▪ Academic who provides very good            ▪ Deputy-Dean/Academic who has satisfactorily               ▪ Dean with satisfactory administrative skills

                                                                                                                                                                         27
                   leadership in Faculty activities            managed significant responsibilities in the Faculty over   ▪ Deputy-Dean/Academic who has expertly
               University                                      an extended period                                            managed significant responsibilities in the
               ▪ Is actively involved in University          ▪ Academic who has expertly managed significant                 Faculty over a short period
                  committees                                   responsibilities in the Faculty over a short period        ▪ Deputy-Dean/Academic who has evidenced
               ▪ Has made a substantial contribution to                                                                      satisfactory administrative responsibilities
                 campus life and student affairs.            University                                                      in the Faculty over an extended period
                                                             ▪ Satisfactory contribution to University committees         University
                                                               and/or the residential wardening system over an            ▪ Satisfactory administrative contribution to
                                                               extended period                                              the University over an extended period
                                                             ▪ Excellent contribution to University committees and/or     ▪ Excellent administrative contribution to the
                                                               the residential wardening system over a limited period       University committees over a limited period

Level          Leadership                                    Management                                                   Administration
               Department                                    Department                                                   Department
               ▪ Takes a leadership role at times            ▪   Fulfils a competent management role in the               ▪ Takes some administrative responsibilities
Satisfactory   Faculty                                           Department                                                 in the Department
               ▪ On occasion offers leadership in Faculty    Faculty                                                      Faculty
                 activities                                  ▪   Fulfils a competent management role in the Faculty       ▪ Takes some administrative responsibilities
               University                                    University                                                     in the Faculty
               ▪ Has shown leadership in University life     ▪   Serves on some University committees                     University
                                                                                                                          ▪ Takes some administrative responsibilities
                                                                                                                            for the University
Level          Leadership                                    Management                                                   University
               Department                                    Department                                                   Department
               ▪ Plays little to no leadership role in       ▪ Fulfils little to no management role in Department         ▪ Takes little to no administrative
    Un-          Department                                  Faculty                                                        responsibilities in the Department
satisfactory   Faculty                                       ▪   Fulfils little or no management role in the Faculty      Faculty
               ▪   Plays little to no leadership role in     University                                                   ▪ Takes little to no administrative
                   Faculty                                   ▪   Does not serve on any University committees                responsibilities in the Faculty
               University                                                                                                 University
               ▪ Plays little to no leadership role in the                                                                ▪ Takes little to no administrative
               University                                                                                                   responsibilities in the University


                                                                                                                                                                            28
APPENDIX B

This application form is available at www.ru.ac.za and is to be completed electronically.




         APPLICATION FOR PERSONAL PROMOTION for ACADEMIC STAFF
                                                                         Date of appointment or
Current Post level                                                       promotion to current
                                                                         post level

If appointed in the last                                                 Have you completed at
                                                                                                          Yes/No. If no, please note that you are
few years, are you still           Yes/No                                last one full year of
                                                                                                          not eligible to apply for promotion.
on probation?                                                            service at Rhodes?

                                                                         Have you previously
This application -                                                                                        Yes/No. If yes, indicate date of
                                                                         applied for promotion
Promotion to level of                                                                                     application:
                                                                         to this level?



For purposes of the Employment Equity Act, please indicate if you are a member of the following groups:

Female:                 African:               Coloured:                Chinese:                    Indian:                    Disabled:

Title:                  First Names:                                                                Last Name:

Academic
                                                                        Faculty:
Department:

Office hours tel:                                                       E-mail:

Nature of your
                                                                        If part-time, indicate the % of contract and
current contract        Full-time/Part-time
                                                                        the date of commencement of this contract
at Rhodes




For Queries related to this process, please contact:

The HR Admin Office on 8008 or at personal.promotion@ru.ac.za.




                                                                                                                                                 29
                              Guidelines and suggestions for applications

While applicants are free to structure their applications as they consider most appropriate, they might find
it useful to consider the guidelines described below. These specifics could follow a general introduction
describing more over-arching issues such as one‟s personal philosophy of life and academia, and the
ethical principles which guide one‟s work (including those "discipline-specific" ethical issues which need
to be kept in mind when doing research, undertaking teaching and learning activities, and in community
engagement). Unless the applicant would like to make a special case for a longer perspective, focus should
be only on those activities since appointment or last promotion.


1.     TEACHING & LEARNING

1.     An introductory statement on the applicant‟s approach to teaching and learning;
2.     Scope and nature of teaching at undergraduate and post-graduate levels including a statement on
       teaching load relative to others in the department;
3.     Evaluations demonstrating the effectiveness and impact of the one‟s teaching;
4.     Major teaching achievements e.g. invitations to present at teaching and learning conferences,
       teaching awards;
5.     Involvement in or contribution to course and program design and delivery at both undergraduate
       and post-graduate levels;
6.     Initiatives taken to address weak/disadvantaged students
7.     Initiatives taken to develop a scholarly approach to teaching and learning;
8.     Events, experiences and/or roles assumed within the department/faculty/institution in which
       leadership in teaching and learning has been demonstrated; and
9.     Own attendance and participation in learning and teaching development activities.


2.     RESEARCH

Supervision (post-graduates – quality and quantity)

1.     A statement on research supervision of post-graduates;
2.     Number of post-graduates supervised indicating date of registration and where applicable, date of
       completion. For those completed, specify if awarded with distinction. For those academics whose
       primary output is also musical performance processes and/or products, please indicate where these
       graduates have most recently been employed;
3.     Evaluation of effectiveness of research supervision and proven impact of supervision on student
       learning;
4.     Initiatives taken to improve research supervision;
5.     Events, experiences and/or roles assumed within the department/faculty/institution in which
       leadership in research supervision has been demonstrated; and
6.     Own attendance and participation in research supervision development activities.



                                                                                                         30
2a    Research outputs, recognition and reputation where the primary output is the published
      paper and less often a book

1.    A statement on research activities;
2.    Major research achievements;
3.    Description of the contribution research has made to the discipline;
4.    List of grants received;
5.    Publication summary. For each publication, indicating:
      5.1     If the journal is peer-reviewed
      5.2     If the journal is subsidy earning
      5.3     The status of the journal within the discipline including its impact factor
      5.4     Citation for the paper.
6.    Books summary. For each book, indicating:
      6.1     Role played in writing and publishing of book;
      6.2     Publishing house and status of this;
      6.4     Status of the book within the discipline.
7.    Summary of research related work other than publications (e.g. legal practice, pharmacy practice,
      computing practice);
8.    Summary of invitations indicating:
      8.1     Nature of invitation (e.g. write review or paper, give plenary paper, contributor to book);
      8.2     Body extending invitation and status thereof (e.g. internal or national body);
9.    Events, experiences and/or roles assumed within the department/faculty/institution in which
      leadership in research has been demonstrated and/or which have led to the development of a
      research culture and/or the development of research capacity in young academics;
10.   Attendance and participation in research development activities

2b    Original Creative Endeavour outputs, reputation and recognition where the output is the
      making of art

1.    A statement on original creative endeavours;
2.    Major creative achievements;
3.    Description of the contribution these creative outputs have made to the discipline;
4.    List of grants received;
5.    Original Creative endeavour summary. For each original creative endeavour, indicating:
      5.1     The output/achievement e.g. collection, exhibitions;
      5.2     If exhibition is one-person exhibition and if not, role played in bringing creative output to
              fruition;
      5.3     The venues for the display of original creative outputs indicating the status of these venues
              and having a display in such venues;
      5.3     Outcome of such outputs and the inclusion of these in the application e.g. reviews, focus of
              academic articles and monographs (excluding self-initiated projects);
6.    Other scholarly work such as curatorial work, publishing in academic articles/chapters in books. In
      the case of the latter, for each publication, indicating:
      6.1     If the journal is peer-reviewed
      6.2     If the journal is subsidy earning


                                                                                                        31
         6.3     The status of the journal within the discipline including its impact factor
         6.4     Citation for the paper.
7.       Summary of invitations indicating:
         7.1     Nature of invitation (e.g. guest speaker, resident from universities, invitation to exhibit);
         7.2     Body extending invitation and status thereof (e.g. internal or national body);
8.       Events, experiences and/or roles assumed within the department/faculty/institution in which
         leadership in creative endeavours has been demonstrated and/or which have led to the development
         of an appropriate culture and/or the development of creative capacity in young academics;
9.       Attendance and participation in development activities.


2c.      Original Creative Endeavour outputs, reputation and recognition where the primary output
         is musical performance processes and/or products

1.    A statement on original creative endeavours;
2.    Major creative achievements;
3.    Description of the contribution these creative outputs have made to the discipline;
4.    List of grants received;
5.    Original Creative endeavour summary. For each original creative endeavour, indicating:
          5.1     The output/achievement e.g. musical performances, compositions, arrangements,
          recordings;
          5.2     If relevant, the venues for the original creative outputs indicating the status of these venues;
          5.3     If relevant, the publishing houses and the status thereof;
          5.4     Outcome of such outputs and the inclusion of these in the application e.g. reviews, focus of
                  academic articles and monographs.
6.        Publication summary. For each publication, indicating:
          5.6.1 If the journal is peer-reviewed
          5.6.2 If the journal is subsidy earning
          5.6.3 The status of the journal within the discipline including its impact factor
          5.6.4 Citation for the paper.
7.        Summary of invitations indicating:
          7.1     Nature of invitation (e.g. conduct master class, residencies for professionals, to contribute
          to funding selection or awarding of commissions, review of curricula, contributing artist, peer
          reviewer, adjudicator for eisteddfords etc);
          7.2     Body extending invitation and status thereof (e.g. internal or national body);
8.        Events, experiences and/or roles assumed within the department/faculty/institution in which
          leadership in creative endeavours has been demonstrated and/or which have led to the development
          of an appropriate culture and/or the development of creative capacity in young academics;
9.        Attendance and participation in development activities.

2d.      Original Creative Endeavour outputs, reputation and recognition where the primary output
         is theatre performance processes and/or products

1.       A statement on original creative endeavours;
2.       Major creative achievements;


                                                                                                               32
3.   Description of the contribution these creative outputs have made to the discipline;
4.   List of grants received;
5.   Original Creative endeavour summary. For each original creative endeavour, indicating:
     5.1     The output/achievement e.g. productions, curator/artistic programmer, major contributing
             artist to a collaborative project, play tests, artists‟s monographs;
     5.2     If relevant, the venues or commissioning body for the original creative outputs indicating
             the status of these venues or bodies;
     5.3     Outcome and/or impact of such outputs and the inclusion of these in the application e.g.
             reviews, focus of academic articles and monographs (excluding self-initiated projects),
             body of work researched by students and professionals, impact on context, discipline,
             artistic community in terms of scope, complexity, effect or affect;
6.   Publication summary. For each publication, indicating:
     6.1     If the journal is peer-reviewed
     6.2     If the journal is subsidy earning
     6.3     The status of the journal within the discipline including its impact factor
     6.4     Citation for the paper.
7.   Summary of invitations indicating:
     7.1     Nature of invitation (e.g. conduct master class, residencies for professionals, to contribute
     to funding selection or awarding of commissions, review of curricula, contributing artist, peer
     reviewer, adjudicator for eisteddfords etc);
     7.2     Body extending invitation and status thereof (e.g. internal or national body);
8.   Events, experiences and/or roles assumed within the department/faculty/institution in which
     leadership in creative endeavours has been demonstrated and/or which have led to the development
     of an appropriate culture and/or the development of creative capacity in young academics;
9.   Attendance and participation in development activities.


3.   COMMUNITY ENGAGEMENT

1.   A statement on community engagement activities;
2.   Major community engagement activities;
3.   Description of the contribution these community engagement activities have made to the discipline
     in terms of service learning, community, institutional policy;
4.   Activity summary. For each community engagement activity, indicate:
     4.1    The nature and scope of this activity (e.g. service learning, raising of funds, empowerment
            of community, policy change);
     4.2    If this was a collaborative project, role-played by applicant;
     4.3    Which community has benefit from this activity;
     4.4    Impact of this activity on the community;
5.   Events, experiences and/or roles assumed within the department/faculty/institution in which
     leadership in community engagement has been demonstrated and/or which have led to the
     development of culture concerned with community engagement and/or the development of young
     academics in community engagement activities;
6.   Attendance and participation in community engagement development activities.


                                                                                                       33
4.            PROFESSIONAL INVOLVEMENT

1.        A statement of professional involvement;
2.        Major professional achievements;
3.        Summary indicating:
          3.1     Nature of professional involvement e.g. external examining, formal curriculum
                  development, inter-university projects, journal service, research reviews, leadership
                  positions or service to professional/academic bodies, advisor, participation in academic
                  reviews, selection committees;
          3.2     Extent of involvement;
          3.3     Period for which this role has been assumed or service provided;
          3.4     Details of professional body or academic university where involvement took place;
          2.5 Initiatives, new developments undertaken or particular contribution in this capacity;


5.        LEADERSHIP, MANAGEMENT AND ADMINISTRATION

1.        A statement on leadership, management and/or administration activities assumed;
2.        Major leadership, management and/or administration achievements;
3.        Summary, indicating:
          3.1    Leadership, management or administration role assumed and realm of “influence” e.g.
                 peers, department, Faculty, University, national body;
          3.2    Nature and extent of service in this role (what does this role involve?);
          3.3    Period for which this role has been assumed:
          3.4    Initiatives, new developments undertaken or particular contribution in this capacity;
4.        Events, experiences and/or informal roles assumed within the department/faculty/institution in
          which leadership related to transformation (not solely limited to diversity issues) in has been
          demonstrated and/or which have led to the development of an inclusive institutional culture;
5.        Attendance and participation in leadership or management development activities.


     6.      EQUITY and DIVERISTY CONSIDERATIONS

1.        A statement about one‟s academic career and how this may have been evolved differently to that of
          colleagues at Rhodes and in the discipline, and reasons for this. Any periods of absence or part-
          time working situation and the reasons for these to be noted.
2.        A statement about any barriers that may have been encountered in one‟s career and how this has
          might have impacted one‟s career trajectory.
3.        A statement about the absence of any opportunities e.g. difficulties in supervising post-graduate
          students, and how these might have impacted one‟s career trajectory.




                                                                                                        34
                                             APPENDIX C



                         POLICY AND PROCEDURES FOR THE

                 PERSONAL PROMOTION OF ACADEMIC STAFF




   1. POLICY PARTICULARS


DATE OF APPROVAL BY SENATE:

DATE OF APPROVAL BY COUNCIL:

COMMENCEMENT

DATE:

REVISION HISTORY: This document was previously the document called “Procedures and

criteria governing personal promotion for academic and research staff”



REVIEW DATE:         Every 5 years for substantive reviews.



POLICY LEVEL:        All academic staff



RESPONSIBILITY      [Person/Division/Committee accountable for]:



   -    IMPLEMENTATION & MONITORING: HR Division with the Faculty Deans
   -    REVIEW AND REVISION: HR Division with the Faculty Deans


ORGANISATIONAL REPORTING STRUCTURE:

HR Division -> Vice-Chancellor (on academic matters) -> Council




                                                                                     35
2.     POLICY STATEMENT


2.1    POLICY DECLARATION:
       This policy recognises the need to encourage the continued pursuit of learning and scholarship
       within the areas of teaching and learning, research and community engagement. Sustained
       excellence is achieved, in part, through a robust and fair system that recognises and rewards
       academics for this excellence. This policy reflects the expectation that the majority of academic
       staff will progress during the course of their time at Rhodes University. As such it reflects an
       understanding that over the course of the career of the academic there is likely to be an increase in
       the quality and effectiveness of their teaching, an increase in the quality and impact of their
       research or creative endeavour, a growing community engagement involvement, an enhanced
       qualitative contribution to the discipline or profession and an increasing assumption of leadership
       roles within the institution. This policy acknowledges the need to recognise such progress and
       excellence.

2.2    POLICY OBJECTIVES:
       This policy aims to ensure:
       (a)    A mechanism of recognising the contribution of academic staff that is perceived as fair and
              just by the majority of academics;
       (b)    Fair and consistent assessment of academics for promotion;
       (c)    Appropriate criteria that are seen to support:
                   The pillars of the University namely, teaching, research and community
                      engagement and
                   The future direction of the institution;
       (d)    Transparency as regards the assessment criteria and processes recognising that documents
              have limitations in conveying what is a complex process using expert judgement; and
       (e)    Processes that meet the labour legislative requirements.


2.3    DEFINITIONS:

Adverse impact
Defined as a substantially different rate of selection in hiring, promotion, or other employment decision
which works to the disadvantage of members of the designated groups.

Designated group
Black, women and disabled (or in the context of the Rhodes University Staff Disability Policy: people
with impairment).

People with impairments
The following definitions are consistent with the Social Model of Disability and the Employment Equity
Act and/or the Code of Good Practice on Key Aspects of Disability in the Workplace:

Only people who satisfy all the following criteria are regarded as persons with impairments:

 (1)   Long-term or recurring: the impairment has lasted or is likely to persist for at least twelve months
       including progressive conditions at such time as the condition becomes substantially limiting;

                                                                                                            36
 (2)   Where the impairment is physical (including sensory such as hearing or sight impairments) and/or
       mental (a clinically recognised condition or illness that affects a person‟s thought processes,
       judgement or emotions); and
 (3)   The impairment is substantially limiting and cannot be addressed through medical treatment or
       other means to limit the adverse effects and where in the absence of reasonable accommodation,
       the person would either be totally unable to do a job or would be significantly limited in doing the
       job.

 Conditions which are not regarded as impairments include those self-inflicted for example, through the
 use of substances, those that go against public policy and norms e.g. compulsive gambling, sexual
 disorders and normal deviations in height, weight and strength.

 Reasonable Accommodation
 Any action on the part of the employer to reduce the impact of the impairment in such processes as
 recruitment and selection, performance assessments including promotion, training and development and
 employee benefits and conditions as well as within the work environment and in terms of the job. Such
 action must be reasonable and not impose an unjustifiable hardship on the institution.



3.     POLICY IMPLEMENTATION
3.1    THE ACTIONS AND PROCESSES BY WHICH THE OBJECTIVES OF THE POLICY WILL BE
       ACHIEVED:


3.1.1 Roles and Responsibilities
(a)    Academics

All academics are to familiarise themselves with the requirements for personal promotion as early on as
possible within their careers at Rhodes University. The individual considering applying for promotion is
encouraged to discuss the application with the Head of Department and Dean of the Faculty. Such
individuals are able to provide guidance to the academic as regards the prospects of personal promotion as
well as provide guidance as regards technical aspects of the application. Where the Dean and Head of
Department think that the application for personal promotion is premature, guidance is given as to what
aspects of the application require attention.

Where the academic has received feedback that the application may be premature, an academic still has
the discretion to make an application. In this instance, the individual should advise the Head of
Department and Dean of this decision.

(b)    Centre for Higher Education Research Teaching and Learning (CHERTL)

CHERTL ensures that new academic staff are advised on the personal promotion process as part of the
orientation of such staff.




                                                                                                         37
CHERTL provides guidance on constructing an argument and evidence for competence in the area of
teaching & learning to those academics wishing to apply for personal promotion. Given that such a
document needs to be built up over time, it is important this guidance is sought as soon as possible.

CHERTL also ensures alignment between this personal promotion process (in terms of the criteria used)
and the objectives and direction of the institution in promoting a teaching and learning culture.

(c)       Research and Development Office

The Research and Development Office shall provide the Personal Promotions Committee with the
research output for the last five years for each applicant for promotion. The DVC: Research and
Development shall guide the Personal Promotions Committee as regards viable benchmarks related to
research output.

The Research and Development Office also ensures alignment between this personal promotion process
and the objectives of the institution in promoting a research culture.

(d)       Head of Department

The Head of Department engages with the academic staff member as regards their professional
development and prospects of success if applying for personal promotion. The Head of Department
ensures that the academic is aware of support available to assist in preparing for personal promotion
namely:

         Discussion with the Dean;
         Academic leave to allow for the completion of particular “milestones” that will be critical in the
          personal promotion application; and
         Discussion with the Research Office as regards possible time-off (over and above academic leave)
          to complete the PhD or complete research. From time to time, there may be donor funding for this
          purpose.


The Head of Department will submit a report on the contribution of the applicant within the department.

The Head of Department may be required to be interviewed by the Personal Promotions Committee.

The Head of Department should also alert the Deans and Director: HR to any departmental or institutional
barriers that undermine academics‟ prospects as regards personal promotion.

(e)       Dean of the Faculty

The Dean of the Faculty, in consultation with Heads of Departments, identifies and approaches individuals
within the Faculty that could be considering applying for personal promotion. In addition, the Deans
provide guidance to individuals as regards the prospects of personal promotion as well as provide
guidance as regards technical aspects of the application.

The Deans, in consultation with the Head of Departments, are responsible for the identification of external
assessors (see (g) below).




                                                                                                          38
The Deans, after advising the Heads of Departments, are responsible for communicating the
recommendation of the Personal Promotions Committee to the applicants in the relevant Faculty as well as
the review process.

The Dean and the Director: HR discuss departmental or institutional barriers that undermine academics‟
prospects of personal promotion and where feasible, seek to address these.

The Deans are also responsible for driving changes, through consultation with the Faculty, related to the
criteria for personal promotion. The Deans, or the Dean‟s representative, motivates for changes in Senate
and Council.

(f)       Human Resources (HR) Division

The HR Division ensures that a process exists to facilitate the recognition and advancement of meritorious
academic staff. The HR Division, through the involvement of other parties, will ensure that such a process
is equitable, meets the requirements of the labour legislation, is perceived as fair and equitable by staff and
meets institutional needs for sustainability.

The HR Division ensures the documentation of such a process into a policy document and the
communication thereof to academic staff.

The HR Division also handles the administrative and co-ordination processes linked to the annual
application process, including the minuting of the meetings of the Personal Promotion Committee.

After approval of the recommendations of the Personal Promotion Committee (usually in December of
each year), the HR Division will confirm, in writing, with each individual.

(g)       External Advisors for Associate Professor or Professor applications

Each Associate Professor or Professor application is assessed by an external advisor. This person is
identified by the Dean, in consultation with the Head of Department, and is usually a senior academic
working in the area of the applicant who is able to meaningfully critique the achievements of the
applicant. The external advisor is provided with the Rhodes University Personal Promotions criteria and
submits a report for the Personal Promotions Committee.

(h)       Personal Promotions Committee

The Personal Promotions Committee is responsible for considering all the evidence tabled for each
applicant before making decisions that are fair, consistent and in line with this policy and the criteria for
personal promotion.

The Personal Promotions Committee is able to offer sound reasons for the decision to not recommend for
promotion a particular applicant.

The Personal Promotions Committee consists of:

         Vice-Chancellor as Chair or his/her representative
         Deputy Vice-Chancellor: Academic and Student Affairs
         Deputy Vice-Chancellor: Research and Development
         Dean of Commerce (or Deputy Dean should the Dean be unable to attend)

                                                                                                                39
          Dean of Education (or Deputy Dean should the Dean be unable to attend)
          Dean of Humanities
          Deputy Dean of Humanities
          Dean of Law (or Deputy Dean should the Dean be unable to attend)
          Dean of Pharmacy (or Deputy Dean should the Dean be unable to attend)
          Dean of Science
          Deputy Dean of Science
          Representative of each Faculty, identified by the Vice-Chancellor in consultation with the Deans
          NTESU (observer status)
          Director: HR or his/her representative (participator status but no voting rights)


In the composition of this committee, due consideration must be given to the diversity of the committee.
Accordingly, the Vice-Chancellor has the discretion to appoint up to a further three individuals to achiever
greater diversity.



3.1.2 The Decision-Making Process

(a) No Budgetary Restrictions

The institution‟s philosophy as regards personal promotion is that merit above all else must drive the
recommendations as to whether or not to promote a staff member. That said, the impact of personal
promotions within the budget must be managed given that the promotion of an academic staff member
may result in the department exceeding their Student Cost Unit allocations. For further information refer
to the document “Staffing Model and Considerations for Academic Departments” approved by Senate on
the 1/06/2007.



(b)        Use of criteria

In considering each application, the criteria for the appropriate academic rank, as outlined in section 3.
Criteria for Promotion are used.

(c) Additional considerations

In addition, the following are regarded as important principles in guiding decision-making:

(i)   Promotion is made on the basis of merit, not potential;
(ii)  Only evidence is considered, not the possibility of what may come to pass. For example, only those
      Masters and PhD students who have graduated shall be considered as evidence of supervision
      experience, articles that are forthcoming or are in press, are not considered as part of the research
      outputs;
(iii) Those staff who have been on probation for more than one year at the time of application may apply.
      At least one probation report must have been submitted by the HoD and viewed by the relevant
      senio officials. In addition, the application needs to meet all the criteria for promotion to the next
      academic rank. In this instance, the Personal Promotions Committee will be provided a copy of the
      individual‟s probation report;

                                                                                                              40
(iv) Consideration is given to not only what has been achieved since the last promotion or appointment
       to a particular level but also to the total achievements to date;
(v) Consideration may be given to appointing someone by more than one level e.g. from junior lecturer
       to senior lecturer, even though this is unusual;
(vi) Consideration should be given to the inter-play between post-graduate students and research outputs.
       In some disciplines, post-graduates at the Masters and PhD levels may be limited, in which case
       increased research publications would be expected. In other disciplines, high Masters and/or PhDs
       students may impact the time available to produce research publications;
(vii) Teaching is regarded as important but volume of teaching alone could not constitute a sufficient
       criterion for promotion.
(viii) In considering research output, consideration must be given to the nature of research and how long it
       takes to establish the necessary research. For example, in certain sciences, access to certain
       equipment and setting up of laboratories may compromise research output in the short-term;
(ix) In considering research output, the academic may participate in group or collaborative work. While
       applicants should not be penalised for working in groups, personal promotion still demands a level
       of independence and creativity in research.
(x) Where the completion of a further degree is the only short-coming in an application for promotion,
       the Personal Promotion Committee may recommend the promotion of the individual once the degree
       is conferred and provided this happens within 18 months from the date of application;
(xi) Years of service, even exemplary service, are not sufficient for promotion;
(xii) A first author on a publication does not necessarily mean that that individual was the major
       contributor;
(xiii) While it is acknowledged that text books do not rate the same as publications in scholarly academic
       journals nor do they attract subsidies, they usually represent scholarship of synthesis (in contrast to
       that of discovery) and their impact does need to be considered within the particular professional
       field. Furthermore, such text books may be research based and innovative. However, when
       considering applications to more senior levels, other types of scholarship are expected.
(xiv) If the applicant is on a research contract (usually covering the salary of the person concerned) which
       involves research of a contract nature, this shall be regarded as equivalent to more traditional forms
       of research; and
(xv) If the applicant has done research which is not accredited, the individual needs to argue for the value
       of such research in the application.

(d)         Employment Equity and Diversity considerations

The University vehemently rejects any form of unfair discrimination. Unfair discrimination within the
personal promotion process can take place in two forms. Firstly, direct unfair discrimination where
individuals are not promoted because of their race, gender, sex, disability status, sexual orientation,
religion, age, pregnancy or marital status, ethnic or social origins, class, colour, family responsibility,
HIV/AIDS status, conscience, belief or political opinion, culture, language or birth. Secondly, indirect
unfair discrimination, more subtle and often not as easily recognisable, involves the application of policies
and practices that are apparently neutral and do not explicitly distinguish between employees. However, in
reality, have a disproportionate and negative effect on certain individuals or groups, called adverse
impact.

The following will be implemented to ensure employment equity and diversity within the personal
promotion process and to minimise any direct or indirect unfair discrimination:

      (i)   Relevant labour legislation will be adhered to throughout the entire personal promotion
            process:

                                                                                                           41
(ii)   Promotion procedures and criteria must be clear, transparent and readily understood by
       applicants and their advisors. This is facilitated by the criteria being readily available to
       applicants (such as in this document), applicants having access to the Dean of the Faculty (who
       sit on the Personal Promotion Committee) for guidance and advice as regards the criteria and
       for new staff, discussion on the criteria and process within the orientation process;
(iii) No person shall be denied a personal promotion on an arbitrary basis (which would include but
       not be limited to race, gender, sex, disability status, sexual orientation, religion, age, pregnancy
       or marital status, ethnic or social origins, class, colour, family responsibility, HIV/AIDS status,
       conscience, belief or political opinion, culture, language or birth);
(iv)   Academic staff members must be actively encouraged to prepare and apply for personal
       promotion. This is achieved through the Head of Department – with the support of the Dean -
       engaging with academic staff members as regards their professional development and
       prospects of applying for personal promotion;
(v)    Barriers to personal promotion must be identified and removed. In terms of this policy, this is
       the role of the Head of Department, the Dean and the HR Division;
(vi)   Ensure that the Personal Promotion Committee members understand the need to and can take
       into account different types of career profiles and tracks, periods of absence of applicants and
       part-time working situations. In this regard, the Committee needs to ensure that the
       performance of individuals is assessed against the opportunities available for such
       performance. Achieving this understanding requires the training of Committee members on
       these issues and active discussion of these factors in the consideration of applications by the
       Personal Promotion Committee;
(vii) Ensure diversity of the Personal Promotions Committee. This is achieved through firstly,
       careful consideration being given to the profile of the Faculty representatives and secondly,
       through the Vice-Chancellor being able to nominate a further three representatives to achieve
       better diversity;
(viii) Ensure that the Personal Promotions Committee uses the criteria consistently across all
       applications and prior knowledge of applicants is appropriately managed;
(ix)   Subject the promotion procedures and criteria to robust impact assessment (i.e. to identify any
       adverse impact). This is achieved firstly, through tracking the success rate within the personal
       promotion process of different race and gender groups; secondly, through ensuring that any
       change of policy and procedure is done through full consultation so that individuals and/or
       groups with special interests may provide necessary input and thirdly, through the Dean
       interacting with members of the Faculty as regards perceptions of adverse impact; and
(x)    The provision of a complaints procedure to deal with allegations of unfair discrimination
       within this process. This will be handled by the HR Transformation Officer.


(e)        Voting and necessary conditions for making recommendations

The Personal Promotions Committee in recommending a candidate for promotion must note the
following necessary conditions:

(i)    A quorum for this meeting shall be at least 10 members with the following composition:
       a. At least one of the following: Vice-Chancellor, Deputy Vice-Chancellor: Academic and
           Student Affairs and Deputy Vice-Chancellor: Research and Development;
       b. At least the Dean or Deputy Dean of each Faculty;
       c. At least three representatives from the various faculties.
       In addition, the Director: HR or his/her representative must be in attendance.

(ii)   A simple majority of the quorate is required for the promotion of junior lecturer to lecturer and
       lecturer to senior lecturer; and

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   (iii)      At least 80% of the quorate must support the promotion of a candidate to associate professor.
   (iv)       Unanimous support is required for promotion to full professor. If this is not obtained but there
              is 80%-of-quorate support, an external assessor is consulted.


3.1.3 Process of Application
(a) As early as possible in the new academic year

          Academics themselves may decide to apply for promotion. In these cases, they are strongly
           encouraged to discuss their application with their HoD and Dean.
          Heads of Departments may also identify suitable applicants and recommend that they apply for
           promotion.
          The Dean, in consultation with the Heads of Departments, may also identify suitable applicants
           and suggest that they submit an application.
          Where the Dean supports the application, such an application will be presented to the Personal
           Promotion Committee with his/her endorsement.


(b) Academics intending to submit an application are encouraged to contact CHERTL for guidance in
developing their case for competence in Teaching & Learning;

(c) The HR Division calls for applications, usually in May of each year with the following deadlines:

          Submission of teaching evidence, usually towards the end of June of each year;
          Submission of the completed application form usually by mid-July of each year.

Updated documentation will be available on the HR website. Late applications cannot be considered.

The academic is required to submit the application for personal promotion in a particular format that
ensures that the personal promotions committee has all the necessary information and is able to assess
applications in a consistent and fair manner.

(d) For Associate Professor and Professor applications, external assessors are identified by the Deans, in
consultation by the Heads of Departments, usually by the middle of August of each year. Such assessors
have agreed to assist Rhodes University. The HR Division will forward relevant applications and
assessment documentation to the external assessors who will be required to submit their reports, usually
by the end of September of each year;

(e) The HR Division will call for the Head of Department‟s report which will be due usually by early
August of each year;

(f) The HR Division will collate the following documentation for each applicant for personal promotion
and will provide this documentation to each member of the Personal Promotion Committee:

          Individual‟s application
          One External Advisor‟s Report – if Associate Professor or Professor application
          Head of Department‟s Report
          The listing of research outputs for that individual for the last five years as supplied by the Research
           and Development Office


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      If relevant, Dean‟s letter to the applicant where a previous application to the same level was
       unsuccessful.

       In addition to this, the following further information will be provided:
        Copy of this policy
        Guidelines as regards assessment of the material


   Each member of the Personal Promotion Committee will receive this file usually by the end of
   September of each year.

(g) The Personal Promotions Committee has its first meeting usually in mid October of each year. The
first meeting shall be to consider all applications and to make a preliminary recommendation as regards
the promotion (or not) of applicants. At this point in time, this preliminary recommendation is not known
to the applicants but is communicated to the Head of Department;

(h) Within a week of this first meeting, the Personal Promotions Committee shall convene again to meet
with those Heads of Departments who are concerned with the preliminary recommendations of the
Committee. The purpose of this meeting shall be to discuss the preliminary recommendation of the
Committee and establish whether any additional information should be considered or whether particular
issues pertinent to the application have been overlooked. Where the Head of Department is the applicant,
the Dean would have already provided such information and therefore this will not be necessary. On the
basis of this input, a firm initial recommendation is made;

(i) The recommendation of the Personal Promotions Committee is then conveyed by the Dean to the
individual, usually within three working days of the meeting. In the event of an unsuccessful application,
reasons in writing are provided to the academic. The individual is also advised of the review process. The
Deans write this letter, a copy of which is provided to the HR Division for keeping on the individual‟s
personnel file. This is accessed and a copy thereof provided to the Personal Promotions Committee either
for a review in the same year or in a subsequent year of application;

(j) Applicants can request a review of the Personal Promotions Committee‟s initial recommendation.
Documentation should be provided that either:

      Focuses the committee‟s attention on certain evidence;
      Provides further evidence where the committee‟s recommendation was based on a lack of such
       evidence;
      Argues that the committee has not applied itself sufficiently to the application of the criteria and/or
       that the criteria are not applicable to the particular discipline or individual;
      Argues that the committee has not taken sufficient cognisance of employment equity and diversity
       considerations.

Review applications are submitted to the HR Division usually in early November of each year.

(k) The Personal Promotions Committee will meet again to consider the review applications before
making its final recommendation. Applicants may present their case in person, or request their HoD to do
so.



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(l) The Dean will convey the final recommendation of the Personal Promotions Committee. In the event of
an unsuccessful application, reasons in writing are provided to the academic and a copy of the letter
provided to the HR Division;


(m) The recommendations of the Personal Promotion Committee are forwarded to Senate and thereafter to
Council for its approval;

(n) Council at its meeting in December of each year shall consider the recommendations. Where Council
approves these recommendations, the HR Division will confirm in writing the promotion and the
corresponding level of remuneration. All promotions (with the exceptions of those that are conditional on
the completion of a degree) shall be effective from 1 January of the following year;

(o) Where an individual‟s promotion is conditional on their completing a degree, as soon as there is
evidence of the degree being conferred, this should be forwarded to the HR Division. The personal
promotion shall be effective from the 1st of the month after conferment. Where documentation related to
the conferment is delayed, the promotion shall still apply from the 1st of the month after conferment and
back-pay (at the cost to company rate at the new remuneration level) for these months will be paid.



3.2    REVIEW PROCEDURE:

The Vice-Chancellor, Deputy Vice-Chancellors and Deans are permitted to make minor procedural
adjustments to this policy to ensure an efficient and effective process. Such changes should be noted to
Senate. The entire policy and procedure should be reviewed every 5 years.




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