AUTHORITY TO APPOINT ACADEMIC STAFF

This document sets who is authorised to appoint academic staff.

The situation is different for candidates from outside the University (external candidates) than for
existing academic staff (internal candidates).

Appointment of external candidates

The following table sets out the current arrangements to authorise appointments of candidates from
outside the University or for candidates from within the University where there is no provision for
promotion or progression (see below).

This list does not include any temporary local level arrangements that may be put in place from
time to time.

• Professors Vice-Chancellor, assisted by an Advisory Committee,

• Research Professors on the recommendation of the Head of Department, the
• Clinical Professors Dean, Pro-Vice-Chancellor
• Associate Professors Staffing Advisory Committee, on the recommendation
• Research Associate Professors of the Head of Department, the Dean, and Pro-Vice-
• Clinical Associate Professors Chancellor
• Associate Deans Vice-Chancellor, on the recommendation of the Head of
Department, the Dean, Pro-Vice-Chancellor
• Senior Lecturer Beyond the Bar Deputy Vice-Chancellor (Academic), on the
• Senior Research Fellow Beyond the recommendation of the Head of Department, the Dean
Bar and the Pro-Vice-Chancellor

Health Sciences: Dean, on the recommendation of the Head of

• Senior Lecturers (below the bar) Department
• Senior Research Fellows (below the
bar)
• Clinical Senior Lecturers (0.3 FTE or
more) (below the bar)

Other Divisions: Pro-Vice-Chancellor, on the recommendation of the

• Senior Lecturers (below the bar) Head of Department
• Senior Research Fellows (below the
bar)

Health Sciences: Dean, on the recommendation of the Head of

Clinical Senior Lecturers up to but not Department (Schools issues offers rather than HR)
including 0.3 FTE

Health Sciences: Dean, on the recommendation of the Head of

All other academic appointments Department

Other Divisions: Pro-Vice-Chancellor, on the recommendation of the

All other academic appointments Head of Department (or Dean)

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Appointment of internal candidates

It is University policy that existing academic staff who apply for a vacancy within the University
will be appointed at the same step on the salary scale as their existing position. In general, staff
should be encouraged to use the annual promotion exercise as the normal promotion pathway rather
than applying for vacancies as a means of seeking progression or promotion.

This requirement applies to situations where there is a clear path for progression or promotion. In
general, for example, a Lecturer should be encouraged to apply for promotion to Senior Lecturer
rather than apply for a vacancy for a Senior Lecturer.

If the recommendation of an Appointment Committee is that an offer is made to an existing staff

member that amounts to a promotion, then the staff member must be given an opportunity to
address the promotion criteria of the level of appointment sought. Further information on the
documentation is available:

• in the policy set out below on Internal Applications to advertised Academic vacancies at a
higher level (excepting Established Chairs);

• at http://www.otago.ac.nz//humanresources/staffdevelopment/promotionsprogressions/index.html#Promotion or

• by phoning the Human Resources Division on 8266.

The following table sets out the current arrangements to authorise appointments of candidates from
within the University where the appointment amounts to a promotion or progression.

• Professors Vice-Chancellor, assisted by an Advisory Committee

• Research Professors on the recommendation of the Head of Department, th
• Clinical Professors Dean, Pro-Vice-Chancellor
• Associate Professors Staffing Advisory Committee, on the recommendation
• Research Associate Professors of the Head of Department, the Dean, and Pro-Vice-
• Clinical Associate Professors Chancellor
• Senior Lecturer beyond the Bar Staffing Advisory Committee, on the recommendation
• Senior Research Fellow beyond the of the Head of Department, the Dean, and Pro-Vice-
Bar Chancellor
• Associate Deans Vice-Chancellor, on the recommendation of the
Head of Department, the Dean, Pro-Vice-
Chancellor
Health Sciences: Pro-Vice-Chancellor, on the recommendation of the
• Senior Lecturers (below the bar) Dean and Head of Department
• Senior Research Fellows (below the
bar)
• Clinical Senior Lecturers (0.3 FTE or
more) (below the bar)

Other Divisions: Pro-Vice-Chancellor, on the recommendation of the

• Senior Lecturers (below the bar) Head of Department
• Senior Research Fellows (below the
bar)

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Health Sciences: Pro-Vice-Chancellor, on the recommendation of the
Clinical Senior Lecturers up to but not Dean and Head of Department
including 0.3 FTE

Health Sciences: Pro-Vice-Chancellor, on the recommendation of the

All other academic appointments Dean and Head of Department

Other Divisions: Pro-Vice-Chancellor, on the recommendation of the

All other academic appointments Head of Department (or Dean)

In cases where there is no provision for promotion or progression, the delegation to appoint will be
the same as for external candidates (see above). For example, a Research Fellow who wishes to
transfer to a position such as Lecturer or Senior Lecturer would need to apply for a vacancy
because there is no provision for promotion from Research Fellow to either Lecturer or Senior
Lecturer. In such cases, the appointment level would be determined in the normal way and would
not necessarily be linked to the applicant’s current salary step.

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 Policy:
Internal Applications to advertised Academic vacancies
at a higher level (excepting Established Chairs)
Existing academic staff may apply for advertised academic vacancies at a higher level. Candidates
will be required to meet the documentation standards of the Academic Staff Promotion Policy for
that level. It is considered that staff should be encouraged to use the annual promotion exercise as
the normal promotion pathway.

Approval for Professors

The process for making an appointment to a Professorial position is essentially the same as that for
making any other academic appointment except that the authority for appointments rests with the
Vice-Chancellor and has not been delegated.

Approval for Associate Professors and Senior Lecture beyond the Bar:

Recommendation through Appointments Committee and Pro-Vice-Chancellor to Staffing Advisory

Committee who are delegated authority to approve.

Approval for lesser promotions (ie below Associate Professor and Senior Lecturer beyond the
Bar)

Recommendation through Appointments Committee to the Pro-Vice-Chancellor who is delegated

authority to approve.

Process:
1. Positions at the level of Associate Professor and Professor require the approval of the Vice-
Chancellor before being advertised.

2. The vacancy will be required to be advertised in normal manner.

3. If the recommendation of appointment committee is that an offer is made, then the staff
member must be given an opportunity to address the promotion criteria of the level of
appointment sought. Documentation should comprise of:
i. Staff member's personal statement, outlining the grounds on which appointment at the
higher level is sought
ii. Otago Teaching Profile (appendix 3 of the Academic Staff Promotions Policy)
iii. Current CV in standard format (appendix 4 of the Academic Staff Promotions Policy)
iv. HOD validation statement (appendix 5 of the Academic Staff Promotions Policy)

Candidates must demonstrate that they meet the key criteria for appointment to the higher level
sought.

All the above documentation and processes should be fully complied with. For example, the
absence of required documentation such as student evaluations of teaching invalidates the
application. Further documentation from that supplied by the candidate is not to be sought or
accepted by the Pro-Vice-Chancellor or the Appointment Committee.

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Associate Professor level applications only

The staff member must provide a list of potential referees if you are applying for promotion to
Clinical Associate Professor, Associate Professor, Research Associate Professor, Clinical
Professor, Professor and Research Professor.

The staff member may seek promotion only on the understanding that:

• referee reports are to be supplied to the University in confidence;

• the referee reports will not be released to you;

• the identity of referees selected by the University will not be disclosed to you; and

• the University reserves the right to seek whatever information it sees fit.

The staff member must include the names and full contact details (mailing address, email and
phone numbers) of at least five potential referees qualified to evaluate your research.
No more than one of the staff member’s five nominated referees may be or have been a research
collaborator, co-author or former research supervisor of the applicant in the past five years.

Normally, the list of referees:

• must include one referee from New Zealand;

• should include one further Australasian referee;

• must include at least three international referees (of which no more than two may be from
the same University).

If the staff member cannot meet the above requirements, they must explain why.

As a general principle, staff members should not nominate as referees members of your own
department.

No more than one referee chosen by the University will be based at the University of Otago. The
referee must be of equivalent or higher standing than the promotion sought.

The University reserves the right to decline to use any nominated referee/s and in such
circumstances the appointment committee will consult with the Pro-Vice-Chancellor. If this
information is not provided at the time of application, the appointment committee will decide on an
appropriate list. Where the nominated referees do not conform with the above, the candidate must
state why.

Pro-Vice-Chancellors will be required to provide names and full contact details (including fax
numbers and e-mail addresses where available), verify the suitability of and give reasons for
nominating at least four referees for each candidate supported by the Appointment Committee for
appointment to Associate Professor, Clinical Associate Professor, or Research Associate Professor.
These will normally, but not always, be selected from the five nominations put forward by the
candidate.

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If the recommendation of the appointment committee is that an offer is made, then a case is to be
put to Staffing Advisory Committee. Recommendations for approval of a staff member to an
advertised vacancy at a higher level should include information the following:

• The Appointment Committee is to minute the assessment of each candidate in the areas of
Teaching, Research and Service.
• The Pro-Vice-Chancellor is to provide a brief report on the case giving the reasons for the
recommendation. Pro- Vice-Chancellors are to ensure that all supporting documentation is
adequate to justify the recommendation. Further documentation from that supplied by the
candidate is not to be sought or accepted by the Pro-Vice-Chancellor or the Appointment
Committee.

Staffing Advisory Committee will assess the candidate against promotion criteria for the relevant
higher level sought. For appointment to a higher level such as Associate Professor, Clinical
Associate Professor, or Research Associate Professor the Committee will have the benefit of
referee reports.

The decision of Staffing Advisory Committee will be final and there will be no right of appeal.

Approved by Staffing Advisory Committee 3 August 2004

Amended by Staffing Advisory Committee 4 March 2008
Amended October 2013

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