• Introduction
• Purpose
• Scope
• Section 1 - Equity, Diversity and Inclusion 
• Table A – Outlines how supervisors can integrate EDI practices into APP and TPP:
• Section 2 - Academic Planning and Performance (APP)
• Part A - APP General Overview
• Table B - Phases of the APP cycle in the calendar year:
• Part B - Approach to Underperformance
• Part C - APP Coordination and Completion
• Phase 1: Goal Setting
• Phase 2: Mid-year Review 
• Phase 3: Year End Review
• Part D - Resources and Available Training
• Section 3 - Triennial Planning and Performance (TPP)
• Part E - TPP Overview
• Table C - Requirements for the TPP process in a calendar year:
• TPP Panel Requirements
• Part F - Roles and Responsibilities
• Table C - Outlines the roles and responsibilities of staff and how they will participate in the APP / TPP process:
• Section 4 - Definitions
• Section 5 - Appendix A:  Criteria for Academic Achievement
• Teaching and Research Roles
• Level A Academic – Associate Lecturer
• Level B Academic – Lecturer
• Level C Academic – Senior Lecturer
• Level D Academic – Associate Professor
• Level E Academic - Professor

Introduction

(1) The University of Newcastle (University) recognises the value of attracting, developing and retaining high quality staff and is committed to supporting staff to meet performance and behaviour expectations through an annual staff performance and development program. For academic staff the program is known as the Academic Planning and Performance (APP) program.

(2) Triennial Planning and Performance (TPP) is the University's performance planning and review process for Level E College Professors, who will complete TPP every three (3) years in lieu of APP.

(3) The procedure is aligned with and supports the performance and career development provisions of the Academic Staff and Teachers Enterprise Agreement 2023 (Enterprise Agreement).

(4) The APP and TPP processes align each academic staff member’s endeavours with their level of appointment, the operational needs of their work unit and the University's strategic objectives through effective goal setting and building capability. This alignment fosters a shared responsibility for academic staff members in institutional success, performance, student experience and culture, underpinned by the University's values of Excellence, Equity, Engagement and Sustainability.

Purpose

(5) This procedure outlines the steps involved in completing the APP and TPP processes.

(6) The purpose of APP is to ensure academic staff members have clear performance and development goals for each year, receive feedback on their progress, and engage in an annual review of their performance and development.

(7) The purpose of the TPP is to review the academic staff member’s past three years' performance and set career goals for the next three years, with a Panel offering recognition, coaching, and mentoring to support future career opportunities.

Scope

(8) This procedure applies to all academic staff as classified under the Enterprise Agreement who are required to complete and engage in the APP process each year.

(9) Academic staff and supervisors must comply with the provisions of the Enterprise Agreement throughout the PRD process, and the Enterprise Agreement should be read in conjunction with this procedure.

(10) This procedure does not apply to:

1. ongoing academic staff who are within their probation period: 
   1. if the academic staff member’s probation is completed before the 31st March, they are required to commence the APP when their probation is completed.
   2. academic staff will commence their first full APP cycle in the calendar year following the completion of their probation if their probation is completed after the 31st March. 
2. ongoing academic staff on parental leave or long service leave for more than 6 months of the calendar year;
3. casual academic staff who have been employed at the University for less than six months are not required to participate in PRD. After six months of employment, participation in PRD is optional and may be undertaken at the request of the casual staff member or their supervisor;
4. fixed term academic staff members with a length of contract (or extension) less than 12 months or less then 0.4 FTE and contingent staff on less than less than 10% operating funding source.
5. academic staff participating in the TPP process in a calendar year.

(11) Supervisors may request an exemption to the eligibility criteria for an academic staff member to complete APP by requesting this via a Service Now request to HR.

(12) TPP discussions are part of minimum requirements for all College-based Level E academics excluding senior leaders (Heads of School and Pro Vice-Chancellors). The Academic Planning and Performance process will be followed annually for two (2) years, and a TPP discussion will take place for Professors every third year.

(13) Each eligible academic staff member will complete their first TPP in year four (4) following their appointment to a Level E role. 

(14) Participation in APP or TPP is a prerequisite for applying for an academic promotion and for participation in the Special Studies Program. 

(15) Staff and their supervisors share the accountability to actively engage in the APP or TPP process and must adhere to the key timeframes associated with each phase of the process.

(16) Appendix B - Criteria for Academic Achievement (Section 5) provides a detailed overview of University performance expectations for each academic level within the three academic domains of research, teaching and engagement. 

Section 1 - Equity, Diversity and Inclusion 

(17) The University is committed to fostering an equitable, diverse, and inclusive environment where all staff have equal access to career development opportunities and are assessed in a fair and inclusive manner. 

(18) This procedure aligns with the University's Equity, Diversity, and Inclusion Policy.

(19) Supervisors are responsible for mitigating biases and proactively identifying and addressing barriers to Equity, Diversity, and Inclusion (EDI) during APP and TPP discussions. 

Table A – Outlines how supervisors can integrate EDI practices into APP and TPP:

(20) All academic staff should consider incorporating EDI into their goals through committing to intentional actions that align their individual effort to the University's equity priorities. Examples of how academic staff can do this are:

1. mentor or sponsor staff members or students from equity cohorts to support their career progression;
2. attend professional development programs on topics like unconscious bias, cultural capability and inclusive leadership and incorporate skills and insights gained into work practices;
3. actively participate in EDI initiatives such as staff networks or working groups; and
4. ensure research practices and teaching materials reflect diverse perspectives and are accessible.

Section 2 - Academic Planning and Performance (APP)

Part A - APP General Overview

(21) The APP process is completed annually, aligned to the calendar year, and captures performance and development goal setting, discussions and activities for academic staff.

(22) Human Resource Services will communicate the specific timeframe requirements each year for the completion of each phase of APP through an all-staff communication channel.

Table B - Phases of the APP cycle in the calendar year:

(23) The online tool, Success Factors, is used to track and document performance and development discussions, agreed goals, actions and ratings. Success Factors training resources and references are available on the staff website.

(24) An academic staff member’s APP will incorporate:

1. planning and goal setting, including documented 3-year research plans and future contributions in the domains of teaching and engagement;
2. performance feedback, including reviewing the role and responsibilities of the academic staff member;
3. review of achievements;
4. development activities planned and completed. 

(25) The APP should be informed by:

1. the University's Strategic Plan and Values;
2. the University's Academic Excellence program and available resources;
3. the academic staff member’s position description, career aspirations and performance;
4. the University's Leadership Framework;
5. principles and obligations expected of academic staff, as detailed in the Staff Code of Conduct and other relevant University policy documents;
6. survey results if applicable and available such as 360 results, Your Voice, People Experience Survey, Quality Indicators for Learning and Teaching (QILT), and course experience surveys;
7. data relating to research, teaching and engagement;
8. the University's Criteria for Academic Achievement (Section 5); and
9. outcomes from the academic staff member’s previous APP year-end review.

(26) Performance and development discussions and activities should be scheduled in advance and conducted in a confidential manner.

Part B - Approach to Underperformance

(27) The Enterprise Agreement outlines the procedures relating to managing underperformance. Human Resource Services can also be contacted via your divisional or College business partner to provide additional support and advice to both staff and supervisors via Service Now’s HR contact information.

Part C - APP Coordination and Completion

Phase 1: Goal Setting

(28) The Goal Setting phase defines the activities, goals, actions, and conduct that the academic staff member is responsible for during the review period, while recognising that some factors influencing goal achievement may be beyond their control. 

(29) In accordance with the Enterprise Agreement, the goals should also align to the staff member’s appointment, operational needs of their work unit, and the University's strategic objectives. Goals should be devised to maintain and improve skills, enhance career opportunities and promote organisational performance.

(30) Goals should be developed as “SMART” goals, which is an acronym for goals that are Specific, Measurable, Achievable, Relevant and Timebound. The Career Development Guide is an available resource to assist with developing “SMART” goals.

(31) It is recommended that each academic staff member have four performance goals and two development goals in their APP.

(32) The key steps to completing this phase are:

1. The supervisor and academic staff member must determine who will schedule the meeting and when there is a suitable time to schedule this for.
2. Schedule time to complete goal setting and discuss the academic staff member’s performance and development plan;  
3. APP goals and performance expectations must be consistent with the staff member’s position description in accordance with the Enterprise Agreement;
4. prior to the scheduled meeting, the academic staff member should reflect and prepare performance and development goals to discuss with their supervisor;
5. supervisors can cascade goals that have been selected for academic staff that support the achievement of organisational objectives and strategic plans. The goals can be cascaded from SuccessFactors and this should be done prior to the meeting;
6. the academic staff member and supervisor then meet to review and agree on performance and development goals and record them in Success Factors within the required timeframe for completion.
7. the supervisor and academic staff member plan and schedule the mid-year review discussion as part of completing phase 1.

Phase 2: Mid-year Review 

(33) The key steps for completing this phase are:

1. the supervisor and academic staff member should determine who will schedule the meeting and when there is a suitable time to schedule this for;
2. schedule time to conduct a mid-year discussion to review the academic staff member’s progress with their APP;
3. the academic staff member and supervisor should meet for a mid-year discussion to review goal progress and identify any adjustments or additional support and training needs. Goal progress and new career development goals must be updated in Success Factors by the supervisor in the “ongoing conversations and development” area of the platform;
4. consideration should be given to rewards and recognition programs for high performers. This could be divisional / College awards, or organisational programs such as Celebrating Success or the Excellence Awards.

(34) The supervisor and academic staff member plan and schedule the year end review as part of completing phase 2.

Phase 3: Year End Review

(35) Phase three of the APP is completion of the “Year End Review” and there are six (6) key steps to completing this phase:

1. the end of year review discussion is scheduled. The supervisor and academic staff member can determine who will schedule the meeting and when there is a suitable time to schedule this for;
2. to prepare for end of year review discussion the academic staff member and supervisor will review goals, reflect on the academic staff member’s performance, behaviours against the Leadership Framework, and then consider what rating will be allocated to each goal and Leadership Framework capabilities;
3. prior to the discussion, the academic staff member must complete their end of year review comments and self-assessment in SuccessFactors, including the acknowledgement of completion of declarations and mandatory training required for their role;
4. the academic staff member and supervisor complete the end of year review discussion and agree on ratings for all goals and overall performance;
5. planning and goal setting for the following APP cycle can be completed in this phase if preferred and suitable to both the supervisor and the academic staff member. If goal setting is completed for the following APP cycle as part of the Year End Review, the goals should be entered into SuccessFactors;
6. the supervisor must complete the final rating and comments in the system and ensure completion of the end of year review in SuccessFactors. If the APP has been supervised by an Advisor, the Head of School will also have actions to complete in SuccessFactors to finalise the APP.

Part D - Resources and Available Training

(36) The following resources are available to assist academic staff in completing APP:

1. the University's Academic Planning and Performance webpage;
2. the University's learning management system Discover has a library of learning that can support with the effectiveness in performance discussions and other learning modules that can assist with completing APP including the Introduction to Academic Planning and Performance e-learn module;
3. the Capability and Development Hub is a gateway to a range of resources for professional development, Linkedin Learning, change management and leadership resources;
4. the Career Development Guide is a self-service tool for staff and leaders that provides resources on career planning and development, including how to create and write “SMART” goals; and
5. the University's Academic Excellence web page has a suite of resources relating to APP, including guidance on benchmarking and evaluating academic performance, information for APP advisors and supervisors and a frequently asked questions section.

Section 3 - Triennial Planning and Performance (TPP)

Part E - TPP Overview

(37) TPP enhances the core elements from the APP, with deeper engagement with our professoriate regarding their academic career aspirations and their performance outputs across the domains of teaching, research and engagement that align to the University's strategic priorities and expectations.

(38) In TPP Professors will review their past three (3) years' performance and set career goals for the next three years, with a Panel offering recognition, coaching, and mentoring to support future career opportunities.

(39) A TPP discussion may be held sooner than three years from promotion, joining the University, or the last review, if a supervisor determines that it would be beneficial. 

(40) The TPP Process is informed by:

1. Professor career aspirations and goals and performance;
2. their position description, field of research and strategic priorities of their College and the University;
3. the completion of a 360-degree survey and feedback;
4. data relating to research, teaching and engagement; and
5. previous APP discussions.

(41) There are four stages to the TPP process:

1. 360-Degree Survey and debrief for the Professor;
2. Professor prepares a Preparation Pack for their TPP panel;
3. Professor and Head of School participate in pre-TPP meeting; and
4. TPP panel meeting and discussion with College Pro Vice-Chancellor and Panel of Experts.

Table C - Requirements for the TPP process in a calendar year:

(42) The College Pro Vice-Chancellor will source benchmarked data to inform discussions at the TPP. This may be data from the Academic Dashboard, external data sources (such as Scopus or QILT), or other relevant data, sourced in confidence from Research Performance, Strategy, Planning and Performance, Human Resource Services or a similar source. The data gathered will be shared confidentially with the academic, the Head of School, and the TPP panelists in advance of the meeting and the academic will have the opportunity to update any missing or pertinent data.

TPP Panel Requirements

(43) The TPP Panel is Chaired by the College Pro Vice-Chancellor of the same College as the participant. The College Pro Vice-Chancellor selects two senior academics from outside the participant’s School to assist them in a review of benchmarked data relating to the participant’s academic participation and performance and providing advice and guidance regarding the triennial development of the participant over the next three years. 

(44) The Chair of the TPP Panel (or their nominee) will document the recommended actions from the TPP discussion. These actions will be added to the participant’s Academic Planning and Performance record in the online tool (SuccessFactors).

(45) Actions and outcomes from the TPP discussion may include:

1. a recommendation to be nominated for Laureate Professorship, to apply for awards, to seek certain fellowships or memberships, to apply for managerial responsibilities, or other career progression and recognition activities; and/or
2. a review of or change to academic loadings, HDR supervision levels, College responsibilities, or other adjustments to the participant’s role and activities including whether any performance improvement goals need to be set and agreed upon. 

(46) The TPP SharePoint page is available to support academic staff through the TPP process with detailed process information, guides and templates available.

Part F - Roles and Responsibilities

Table C - Outlines the roles and responsibilities of staff and how they will participate in the APP / TPP process:

Section 4 - Definitions

(47) In the context of this document the following definitions apply:

Section 5 - Appendix A:  Criteria for Academic Achievement

(48)  Academic achievement is categorised within the 3 main academic domains of research, teaching and engagement.

(49) Evidence of activity and quality must:

1. substantiate achievement across the three academic domains;
2. support the University's strategic objectives;
3. align with the activities described in the Foundations for Inspiring People (Academic Staff);
4. align with the University of Newcastle Academic Staff Position Classification Standards defined in the Academic Staff and Teachers Enterprise Agreement (Enterprise Agreement).

(50) Foundations for Inspiring People (Academic Staff) and the position classification standards described in the Enterprise Agreement list the broad categories of responsibilities for academic staff and a range of academic performance indicators that acknowledges the diversity of academic achievement, but are not an exhaustive list of academic activities.

(51) The University recognises there are a wide range of activities which academic staff may be expected to undertake, and a wide range of groups with whom staff members may interact as part of their academic roles. These interactions may be internal contributions to the University community or external to the profession and wider community.

(52) The patterns of academic activity vary widely across academic categories and disciplines. While there are common elements, the University recognises that the balance between them may be quite different depending on the discipline.
Research activities will vary depending on the discipline. Research effort and research performance must not be confused.

(53) The University would expect an academic staff member to be allocated sufficient time to research, usually over a period of three (3) years to be considered research active.

(54) Colleges are responsible for determining research-focused definitions and minimum thresholds of performance for an academic staff member to be considered research active within the College.

(55) The criteria for academic achievement, key performance indicators described in Foundations for Inspiring People (Academic Staff), and the position classification standards described in the Enterprise Agreement provide the basis for the evaluation of performance. 

(56) The Academic Dashboard provides additional quantitative metrics that evidence achievement across the three academic domains relative to individual performance and an academic’s peers to further evaluate performance.

Teaching and Research Roles

(57) A Teaching and Research academic will contribute predominantly to teaching and research, based on the general principle of 40:40:20 in accordance with the Enterprise Agreement. As an exception, the Head of School may approve an alternative ratio of teaching, research, and engagement for an individual academic staff member.

Level A Academic – Associate Lecturer

(58) Generally, Level A academic staff are developing their careers and will work with the support and guidance of more senior academic staff. A Level A academic is expected to have an emerging profile in teaching and in disciplinary research.
Academic achievement for a Level A academic may be defined across the three (3) academic domains as follows:

1. Research: formulating a coherent research program, working within a research group (where relevant), participating in applications for competitive research grants and publishing or exhibiting in high-quality outlets, often in collaboration with colleagues, consistent with their discipline.
2. Teaching: achieving teaching quality as indicated by internal and external surveys and outcomes for students that will improve or innovate in response to feedback. Preparing and delivering lectures, presenting tutorials, seminars, practical classes, demonstrations, workshops, student field excursions, clinical sessions and studio sessions.
3. Engagement: demonstrating efficient performance in allocated internal roles, sharing academic service responsibilities, contributing to outcomes of internal committees, and beginning to develop external collaborations.

Level B Academic – Lecturer

(59) In addition to the requirements at Level A, a Level B Teaching and Research academic will have a growing profile in teaching, research, and engagement. 

(60) Academic achievement for a Level B academic may be defined across the three (3) academic domains as follows:

1. Research: an established record of publication or non-traditional research output in high-quality outlets. Achieving national recognition in their discipline and taking a Chief Investigator role (often in conjunction with more experienced Researchers) in applications for external research funds.
2. Teaching: contributing at undergraduate, honours and postgraduate levels, taking responsibility for the preparation and delivery of course modules and coordinating one or more courses, including collaboration in curriculum design and delivery where appropriate. It is expected that a Level B academic will have diverse teaching portfolios, covering several units of study and sometimes over several courses.
3. Engagement: demonstrating efficient performance in allocated internal service roles and actively building external collaborations.

Level C Academic – Senior Lecturer

(61) In addition to the requirements at Level B, a Level C Teaching and Research academic will have an established record of achievement in research, teaching, and engagement.

(62) Academic achievement for a Level C academic may be defined across the three (3) academic domains as follows:

1. Research: demonstrating a capacity for independent research; contributing as a Chief Investigator including collaborations which create new insights and opportunities and successfully managing significant external research funds. A Level C academic will have a developing international profile for research in their field through publication or non-traditional research output in high quality outlets and, where relevant, by the impact of their research on policy, practice and/or commercialisation. It is expected that a Level C academic will have an active and effective record of primary supervision of Higher Degree by Research candidates with timely completions.
2. Teaching: demonstrating leadership in learning and teaching activities, having a central role in course and curriculum development, and peer mentoring.
3. Engagement: demonstrating outstanding performance in a range of higher-level internal duties, providing a strong contribution to external activities, and developing international collaborations.

Level D Academic – Associate Professor

(63) In addition to the requirements at Level C, a Level D Teaching and Research academic will demonstrate excellence in research, teaching and engagement and have a sustained record of outstanding impact and achievement that is internationally recognised in either research or teaching.

(64) Academic achievement for a Level D academic may be defined across the three (3) academic domains as follows:

1. Research: demonstrating quality and impact of their work through publication or exhibition in internationally recognised outlets, and, where relevant, through its impact on policy, practice and/or commercialisation. A Level D academic will have a record of successful applications for external research funding in a Chief Investigator role and mentoring more junior academic staff and Researchers. It is also expected that a Level D academic will have an active and effective record of supervising Higher Degree by Research candidates successfully to timely completion as the primary supervisor.
2. Teaching: demonstrating strategic leadership in the planning and delivery of curriculum, which where relevant may include clinical teaching. A Level D academic will be recognised as a ‘content specialist’ within their College, teaching in specialist areas across courses and disciplines as appropriate.
3. Engagement: making a strong contribution to the governance of the University, including successful mentoring of more junior academic staff. Leading and forming strategic partnerships between the University and industry/government and other stakeholders nationally and internationally.

Level E Academic - Professor

(65) In addition to the requirements at Level D, a Level E Teaching and Research academic will demonstrate excellence and a high level of leadership in research, teaching, and engagement. A Level E academic will be recognised internationally for their scholarly contribution and for its impact on policy or practice.

(66) Academic achievement for a Level E academic may be defined across the three (3) academic domains as follows:

1. Research: demonstrating outstanding outcomes and leadership. Guiding the development of more junior Researchers, leading major funding initiatives, making significant contributions to knowledge and the beneficial application of knowledge, and intellectual leadership beyond the specific area of research or creative activity.
2. Teaching: a distinguished record of scholarly teaching and leadership across all levels and appropriate contexts, including clinical teaching where appropriate. Actively developing educational policy and curriculum areas within the discipline.
3. Engagement: making a significant contribution to the governance of the University, including developing policy and providing leadership in community activities in professional, commercial, and industrial sectors at a national and international level.