Performance Based Research Fund and Use of Information Policy

All eligible academic staff members at the University

To provide information regarding what data is required for the Performance Based Research Fund (PBRF) and how this data will be used

1. The staff member’s Evidence Portfolio is personal to the individual in the sense that it is largely personal information, although much of the information it contains will already be in the public sector (e.g. published papers, contributions to the research environment).

2. The Evidence Portfolio is personal information subject to the Privacy Act, and the principles of gathering, storing, accessing, correcting, etc. will apply to this information.

3. There is a reasonable and lawful obligation on the University to provide an Evidence Portfolio for each eligible staff member as sought by TEC. The University can expect staff members to assist the University and TEC by providing their Evidence Portfolios in the form that is reasonably requested by the University, for PBRF purposes.

Access to the Evidence Portfolio and Quality Score

4. Staff members have the right to inspect their own Evidence Portfolio held by the University, including any University assessment of the staff member’s Quality Score, and any TEC PBRF Panel assessed Quality Score.

5. The staff member will be provided with their own final Quality Score as determined by TEC and its PBRF panels. This will be done through the University, though the information is technically held by TEC.

6. The University will ensure that the information it passes on to TEC about the individual’s Quality Score is available to the staff member.

7. Staff members have the right to request a statement of reasons for the decision of the University as to their internally assessed Quality Score. The decisions of the internal PBRF panels will include a record of brief reasons for the decision.

8. The staff member may ask the University to correct any information in their Evidence Portfolio.

9. If the University does not accept the staff member’s correction, the staff member may request the University attach information related to their Evidence Portfolio to their personal file in a way which ensures their view will be known to anyone who is permitted access to the file.

10. The staff member may approve access by other persons to their own Evidence Portfolio and/or Quality Score.

11. The Vice-Chancellor and the staff member’s dean and academic head may review and provide feedback on the Evidence Portfolio as appropriate.

Purposes for which Quality Score may be used

12. The University recognises that the TEC-assessed Quality Score is an assessment of an individual staff member by a third party for the purposes of establishing institutional funding and quality ratings and that the TEC-assessed Quality Score is assessed on a limited range of information.

13. In forming decisions on continuation, promotion, and other internal University processes, the University will consider all of the evidence that is required for the particular process.

14. As the Quality Score and Evidence Portfolio are personal information, the staff member may choose to use this information for other academic purposes such as for continuation, promotion, and other internal University processes. However, University policy governs the criteria and procedures for assessing such applications.

15. In the case of an application for continuation, promotion or other personnel purpose, the committee or individual will consider the merits of the case against the criteria and evidence requirements for that process. The TEC-assessed Quality Score is not a criterion for these processes.

16. The use of a Quality Score must always be subject to the confidentiality and other requirements of the particular policy and of this policy.

17. Staff members cannot be required to disclose their Quality Score. However some staff members may wish to disclose their own Quality Score for academic purposes other than those related to the PBRF.

18. The University will not use the TEC-assessed Quality Score as a criterion for any personnel process other than in compliance with PBRF requirements.

Confidentiality

19. The University recognises that information received from TEC, including the TEC- assessed Quality Score, will contain information of a confidential nature. The University will treat all confidential information in accordance with the law, including the provisions of the Privacy Act.

20. The University will only use information from evidence portfolios (other than the publicly available information) in accordance with University policies and subject to their relevant privacy and confidentiality constraints.

21. Aggregate information only will be provided to other members of staff or members of the public, in accordance with principles to be advised by TEC.

The following definitions apply to this document:

Academic head covers heads of departments, schools and other teaching and research units at Level 3 in the University Organisation Structure

Evidence Portfolios means the PBRF Quality Evaluation Process requires eligible individual staff to provide the University with Evidence Portfolios on their own:

• research outputs
• research contributions

Performance Based Research Fund (PBRF) an assessment of research performance of staff at eligible tertiary education organisations (TEOs) by the Tertiary Education Commission (TEC)

Staff member refers to an individual employed by the University on a full or part time basis

University means the University of Auckland and includes all subsidiaries

Include the following:

• Employment Relations Act 2000
• Employment Relations Amendment Act 2004
• Health and Safety in Employment Act 1992
• Health and Safety in Employment Amendment Act 2002
• Privacy Act 2020
• Academic Staff Collective Agreement
• Access to Personal Information Policy and Procedures
• Research Outputs website

Owner: Director, Human Resources
Content manager: Associate Director, HR Advisory
Approved by: Vice-Chancellor
Date approved: 16 February 2024
Review date: 16 February 2029