Professor Promotion Procedures

All academic staff members.

To set out the criteria and procedures applied by the University in considering applications for promotion to professor.

Nothing in this document is to override any collective agreement (CA) or any individual employment agreement (IEA); where there is conflict in the wording, the CA and/or IEA is to prevail.

Promotion round

1. There is only one promotion round in each year and the applicants must provide their applications in electronic form to the dean by 1 July.

2. The dean must forward the applications and their dean's reports in electronic form to the Vice-Chancellor by 15 July.

3. The Vice-Chancellor, on the recommendation of the dean, may permit the consideration of out of round applications where the promotion may be critical to the strategic development of the University.

4. The out of round process may not be used within twelve months of an unsuccessful application for promotion to professor.

Application

5. The University is to apply the following criteria when considering applications for promotion to professor:

• Academic standards for Research Fellows, Senior Research Fellows, Lecturers, Senior Lecturers, Associate Professors,  Professors, Professional Teaching Fellows, and Senior Tutors
  
• Applicants for promotion to the grade of professor must have achieved, demonstrated and maintained a profound understanding of their discipline, a capacity to extend knowledge in that discipline, and the ability to communicate the results of scholarly endeavour in, and the precepts of, the discipline to students at undergraduate and graduate level, peers and others

6. As a professor may be required to serve as academic head or to make an equivalent contribution to leadership in the University for a term or terms, it is also a normal requirement that she or he demonstrate qualities as an academic leader and academic citizenship and service.

Note - these include an ability to foster academic achievement and excellence in others and to identify and exploit new opportunities in teaching, research and the provision of services for the benefit of the University, the academic department and the faculty.

7. A professor must also be able to lead the development of the academic discipline within the University and the community and to engage in policy and strategic development of the University as a whole.

8. Staff members are to apply for promotion to professor through the dean to the University Academic Staffing Committee (UASC).

9. The dean must impartially encourage worthy candidates to apply for promotion on their merits.

10. Staff members may apply for promotion to professor after being employed and having their performance evaluated for at least four teaching sessions (semesters, summer school, quarters) at the University.

11. In the case of an application being unsuccessful, and unless the UASC recommends otherwise, the applicant must defer a further application for two years (no exceptions) from the time of the unsuccessful application. For example, if an application is unsuccessful in the 2024 promotion round, the applicant is next able to apply for promotion in the 2026 promotion round.

12. Applicants are expected to document thoroughly a sustained, exceptional contribution to teaching and research.

13. Evidence in support of a claim for scholarly eminence in a discipline will include an appropriate range of the items listed in Appendix 2  of the Academic Standards/ Research Outputs.

14. Applicants must ensure that such evidence is referred to in the application and also elaborate their specific plans for the continued development of their research and teaching contributions for at least the next three years.

15. Where there are clearly recognised relative weightings between teaching, research and service for the applicant, these weightings must be drawn to the attention of, and be taken into account by, the UASC through the application form.

16. Each applicant is required to complete the application form.

Note - The academic career portfolio contains the information required for the application for promotion.

Dean and dean’s report

17. The dean is to advise the UASC and its sub-committees by way of a written report submitted through the Vice-Chancellor.

18. The dean will consult with the academic head and should consult other senior members of staff in the discipline or associated disciplines.

19. The dean’s report must:

• provide thorough, impartial and analytical advice on the merits of the application against the requirements of this policy;
• a clear assessment of teaching, research and academic citizenship and service evidence in the application;
• rank the standing and impact of journals used for key publications (after consultation with the academic head or other professorial staff)

20. The dean is to rank the application in relation to other applicants for promotion to professor, and assess the application in relation to standards that prevail for members of the professoriate.

Referees

21. The Promotion Review Panel (PRP) may seek input from referees on particular aspects of the application if this is considered useful. Any referee information will be provided to UASC. Where references are sought, referees must:

• be from internationally well-regarded institutions such as the Group of Eight universities or similar
• be at the grade of professor
• be from the discipline, or an allied discipline, of the staff member
• not be a recent collaborator with the applicant in research

22. Where sought, referees would be asked to provide an assessment of the applicant’s merits and achievements as compared with their peers within the discipline nationally and internationally.

23. Where sought, referee reports are not to be available to the applicant (refer to Non-Disclosure of Referee Reports to Applicant in the Promotions Policy).

Moderator

24. The University may seek the views of a moderator in addition to those of referees.

Note - a moderator would be selected who has a broad view of the discipline.

25. The moderator is to act as an adviser to the UASC and its subcommittee, and must not be a referee or recent collaborator with the applicant.

Note - they will be able to interpret the advice of a referee, and weigh this with other available evidence.

26. The moderator will have no decision-making responsibilities.

Promotion Review Panel (PRP)  

27. The UASC is to establish a Promotion Review Panel (PRP) to review all applications and write a report with recommendations for consideration by the UASC.

i. The Panel will have a STEM and a CABLE group of at least four members each and there will be at least one member of UASC involved in each of these panel groups. The panel will be chosen taking into account expertise, diversity and impartiality of decision making.

ii. The panels will be chaired by the Deputy Vice Chancellor Research. 

28. The PRP is to consider the following documentation in relation to each applicant:

• the application
• the report of the dean
• other directly relevant reports
• the Academic Standards Policy
• references, where sought

PRP considers moderator’s report

29. The PRP is to determine whether it seeks the views of a moderator. In such cases the PRP will consider the Moderator’s Report and will make a recommendation to the UASC.

30. The moderator is an adviser to the subcommittee, and must not be a referee or recent collaborator with the applicant.

31. The moderator may recommend a course of action but has no decision-making responsibilities.

PRP recommendation

32. The PRP must provide a short report with brief reasons regarding its recommendation for consideration by UASC.

UASC considers PRP recommendation

33. The Vice-Chancellor and the members of the UASC are to consider:

• the recommendation of the PRP
• the application
• the report of dean
• other directly relevant reports
• the standards contained in the policy

34. The members of the UASC are to advise the Vice-Chancellor of their views.
Vice-Chancellor.

35. The Vice-Chancellor is to consider the advice of members of the UASC, then decide on the application.

36. Where the Vice-Chancellor’s view is contrary to the advice of the members of the UASC (or the PRP), the Vice-Chancellor is to discuss the matter with the UASC prior to making a decision.

37. The Vice-Chancellor is to advise the dean, then the applicant of the decision, providing, in the case where an application has been declined, brief reasons and an invitation to discuss the decision.

The following definitions apply to this document:

Academic head means heads of departments, schools and other teaching and research units at Level 4 in the University Organisational Structure.

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

University means Waipapa Taumata Rau | University of Auckland and includes all subsidiaries.

Include the following:

• Academic Staff Collective Agreement
• Academic Standards for Research Fellows, Senior Research Fellows, Lecturers, Senior Lecturers, Associate Professors, Professors, Professional Teaching Fellows, and Senior Tutors
• Conflict of Interest Policy
• Faculty Staffing Committee Policy
• Impartial Decision Making Policy
• PBRF and the Use of Information Policy
• Equity Policy and Procedures
• Achievement  Relative to Opportunity Policy and Procedures
• Employment Relations Act 2000
• Human Rights Act 1993
• Privacy Act 1993
• State Sector Act 1988

Content manager: Associate Director, HR Advisory
Owner: Human Resources Director
Approved by: Vice-Chancellor
Approval date: 8 April 2024
Review date: 8 April 2026