Study Leave Policy

Responsibility:	Director, HRM Division
Approving Authority:	Vice-Chancellor
Approved:	12 April 2007
Next Review date:	April 2010

Introduction

The University recognises that a well managed system of study leave provides a mechanism for contributing directly to the University’s Vision, by enabling the development of excellence, distinctiveness and international connectedness in teaching and research. Study leave is therefore a form of service to the University with associated obligations and accountabilities, which is extended to academic staff to enable them to undertake agreed academic activities and fulfil particular goals over an extended period. It is neither a right nor an entitlement; eligibility and approval is at the discretion of the University. Staff on study leave receive their salary and other allowances. Study leave is provided for the purposes of enhancing teaching and research capabilities, pursuing knowledge, and fostering links with the international academic community.

This policy sets out the framework within which decisions about study leave are made, and the rights and responsibilities of academic staff and the University. Effective planning for study leave is essential, in order that the teaching, learning and research activities of the University are not disrupted by individual study leave plans. The following principles underpin the process by which study leave applications are considered:

the teaching needs of the University are of paramount importance;
colleagues should not suffer an unreasonable burden as a result of a staff member's leave. In practice, this means that a staff member is expected to carry an extra teaching load before and after taking leave, and must carry out his or her assessment/examination duties before taking leave;
any contractual or other relevant research obligations must be met;
staff members are required to return from leave in good time to prepare for resumption of their regular duties.

Contents

Part A: General

Part B: Study Leave Credit

Part C: Study Leave Applications and Approval

Part D: Study Leave Allowances

PART A: GENERAL

Scope

1. This policy applies to all academic staff of the University on continuing appointments, who are eligible under the terms of their employment agreements to apply for study leave.

Definitions

2. In this policy,

study leave means a period of leave for academic purposes approved by the relevant Dean (or equivalent). Minimum and maximum periods of study leave are explained in sections 19-21

study leave credit means the amount of study leave which a staff member may apply to take, credited on the basis of qualifying service at rates and under conditions described in sections 9-14.

qualifying service means continuing service at the University of Waikato in an academic position which allows the staff member to accumulate study leave credit.

Purpose

4. Study leave provides for academic staff to undertake research and academic activities which

are of a kind or to an extent that cannot be pursued during the course of normal employment, and
are aligned with the University’s Vision, Charter, Profile and strategic goals, and
enable staff to fulfil one or both of the following key objectives:
to develop and enhance knowledge, research, teaching and professional capabilities,
to foster connections with academic institutions and colleagues, particularly internationally (it is generally expected that study leave should involve time spent at another University or research institution overseas).

5. The value of study leave is measured by its usefulness to the University’s programme of teaching and research, the individual’s professional development, the strategic aims and objectives of the University, and the contribution the leave may make to the wider community.

PART B: STUDY LEAVE CREDIT

Qualifying service

6. Qualifying service generates study leave credit which is recorded by the HRM Division.

7. Parental leave counts for the purposes of calculating study leave.

8. The following do not count for the purposes of calculating study leave:

periods of time spent on study leave (subject to section 29 below, qualifying service will resume on the date of return to regular duties after a period of study leave)
periods of leave without pay over and above four weeks
periods of exchange leave
previous service at other institutions, unless agreed at appointment as provided under sections 12-14 below.

Rates of accruing study leave credit

9. Academic staff at the grades of:

professor
associate professor
senior lecturer
senior research fellow
lecturer
research fellow, and
any other staff approved for these purposes by the Vice-Chancellor,

accrue study leave credit at the rate of 8 weeks' study leave for each year of service and pro rata for lesser periods, up to a maximum of 48 weeks.

10. Academic staff at the grade of assistant lecturer accrue study leave credit at the rate of 4 weeks’ study leave for each year of service and pro rata for lesser periods, up to a maximum of 16 weeks.

11. Part-time staff accrue study leave credit at the same rate as full-time staff. However, when the study leave is taken, the salary and allowances are paid to part-time staff on the relevant pro-rata basis.

Previous service at other universities

12. Previous service at another New Zealand university at the grade of lecturer or above may be counted towards study leave credit at the University of Waikato at the rate of 4 weeks’ study leave for each year of service, and pro rata for lesser periods, up to a maximum of 16 weeks’ study leave, provided that

study leave has not already been taken at the other university in respect of that service
application to count the previous service is made at the time of appointment to the University of Waikato, accompanied by all records and information required by the Director of HRM.

13. The Director of HRM will consult with the relevant Dean (or equivalent) in determining what, if any, study leave credit is to be counted in respect of applications made under section 12 (b) above.

14. Consideration may be given to counting previous service at an overseas university towards study leave credit at the University of Waikato, up to a maximum of 16 weeks, provided that

study leave has not already been taken at the other university in respect of that service
application to count the previous service is made at the time of appointment to the University of Waikato, accompanied by full details of:

the applicant’s previous study leave credit,
the normal provisions for study leave that apply at the overseas university,
reasons why the study leave has not been taken, and
any other information required by the Director of HRM.

Study leave credit is non-transferable

15. Study leave credit may not be transferred to annual leave or redeemed for payment of any kind.

PART C: STUDY LEAVE APPLICATIONS AND APPROVAL

Eligibility to apply for study leave

16. A staff member may apply to take their inaugural period of study leave after completing two years in a continuing academic role at the University of Waikato. Earlier applications may be approved by the appropriate Dean (or equivalent) in exceptional circumstances.

17. Continuing academic staff are eligible to apply for study leave up to the maximum of their study leave credit (refer sections 9-11 above).

18. Study leave credit does not, of itself, give the staff member an entitlement to take study leave. Each application is subject to approval of the relevant Dean (or equivalent) (refer sections 22-23 below).

Minimum and maximum periods of study leave

19. Unless an absence relates to a special provision within an individual's employment arrangements, or it relates to University business by agreement of the Vice-Chancellor, any work business requiring a staff member’s absence from the University for more than four weeks must be treated as study leave.

20. The maximum absence from the University allowed in one consecutive period is one year, being 48 weeks’ study leave and 4 weeks’ annual leave.

21. The minimum period required to be worked at the University between periods of study leave is subject to the discretion of the relevant Dean (or equivalent).

Consideration of study leave applications

22. Applications for study leave must be made in writing to the chairperson of department (or equivalent) in the first instance, using the application form available from the Document Directory on iWaikato (Employment – Leave – Study Leave).

The chairperson completes the relevant section of the form and forwards the application to the Dean (or equivalent) for consideration.

23. The chairperson of department (or equivalent) and the Dean (or equivalent) consider applications for study leave in relation to the overall purpose of study leave, as defined under section 4 above, and taking account of:

the staff member’s study leave credit
rigorous evaluation of the staff member’s delivery of agreed outcomes in any previous periods of study leave taken
whether satisfactory arrangements can be made by departments, and the University generally, for maintaining teaching, research (including externally funded research contracts), student research supervision and administrative functions during the proposed absence of the staff member

whether the study leave objectives will enable the staff member to extend significantly their capabilities in teaching and research, and/or any other specific responsibilities outlined in their employment agreement
whether the study leave objectives will deliver outcomes that will assist the University in meeting relevant quality standards and targets (e.g. the Performance-Based Research Fund)
any other specific criteria defined within the Faculty/School concerned
the department’s overall plan for leave, teaching, research and workload arrangements in the period concerned.

24. Study leave is not generally intended to be used for the purposes of completing a higher degree, unless this is defined as a relevant criterion by the Faculty/School concerned.

Study leave administration

25. Authority to approve the application for study leave rests with the relevant Dean (or equivalent), who informs the applicant of his or her decision in writing, specifying the terms of any approved study leave, including dates of absence and reporting deadlines.

26. The Dean (or equivalent) sends a copy of his or her decision to the Director of HRM, who will

record approved leave and adjust the staff member’s study leave credit balance accordingly
calculate the allowances for which the staff member is eligible (refer sections 35-40 below), and
advise the staff member in writing of the decision and applicable allowances.

27. A staff member whose application for study leave is declined by the relevant Dean may seek a review of the decision. Requests for review are to be made in writing to the Director of HRM. Requests will be considered and decided by the Deputy Vice-Chancellor (or, in the case of staff who report to the Deputy Vice-Chancellor, the Vice-Chancellor) in consultation with the Director of HRM and the relevant Dean.

Accountability for leave

28. Academic staff are accountable to the University for the fulfilment of approved study leave objectives.

29. Within two months of return to regular duties, the staff member must provide a written study leave report to the relevant chairperson of department (or equivalent), showing how the purposes for which the leave was granted have been pursued conscientiously, effectively and in good faith.

30. Where the chairperson of department (or equivalent) considers the study leave report satisfactory, he or she will recommend it to the Dean (or equivalent).

31. Where the chairperson of department (or equivalent) has concerns about the study leave report, he or she may discuss the report with the Dean (or equivalent) and/or the staff member.

32. Where the Dean (or equivalent) concludes that the study leave report is unsatisfactory, he or she has the authority to

decline approval of any future study leave applications by the staff member concerned
take any other action he or she considers appropriate to address the matter.

33. The Dean (or equivalent) sends study leave reports which he or she considers satisfactory to the Deputy Vice-Chancellor for final approval. The Deputy Vice-Chancellor makes regular reports to the Academic Board regarding study leave activities and outcomes in terms of their contribution to the University’s academic strategic goals.

34. Where no satisfactory report of a study leave has been received within four months of the end of that study leave period, qualifying service will be deemed not to recommence until the date of receipt of a satisfactory report.

35. Study leave outcomes are taken into account by the chairperson of department (or equivalent) and Dean (or equivalent) when considering future study leave applications from the same staff member.

Management of Study Leave Plans

36. Each chairperson of department (or equivalent) is required to maintain a two year forward plan of study leave, which takes account of all of the department’s teaching, research supervision, contractual, and administrative obligations for the period.

37. Each Dean (or equivalent) is responsible for determining the approval process and criteria for study leave in the Faculty/School concerned, consistent with this policy.

PART D: STUDY LEAVE ALLOWANCES

38. The University recognises that staff members incur substantial costs in taking study leave, and contributes to these costs through study leave allowances which may be paid to a staff member in addition to his or her normal salary for the agreed period of study leave.

39. Study leave allowances are available up to a maximum per staff member of $15,000 in any six year period, as set out in the following table. Part-time staff are eligible to receive a pro rata proportion of these allowances.

Location of leave	Available allowances	Maximum
New Zealand (whether or not also spending part of the leave overseas)	$100 per week for each complete week spent away from home, plus Lump sum of up to $500	$2,800 +$500 $3,300
Oceania ( Australia and Pacific Islands)	$200 per week for each complete week spent in Oceania (maximum 48 weeks), plus Lump sum of $750 for staff taking leave within Oceania for a period of at least 3 weeks (see Overall Limits Note 2)	$9600 +$750 $10,350
Beyond Oceania	$250 per week for each complete week spent overseas beyond Oceania (maximum 48 weeks), plus Lump sum of $3,000, provided the period of leave beyond Oceania is 3 weeks or more.	$12,000 +$3,000 $15,000
OVERALL LIMITS
In any six year period, each staff member is subject to an overall limit equivalent to the maximum allowances available for 48 weeks study leave, all of which is spent beyond Oceania. Staff taking leave involving at least 3 weeks in each of Oceania and beyond Oceania will receive only one lump sum payment of $3,000. Staff taking leave involving at least 3 weeks in Oceania and beyond Oceania combined will receive only one lump sum payment of $750.		$15,000

40. Staff are responsible for making their own arrangements for travel insurance, and may use part of their allowances to cover this cost; the University will not cover the costs of travel insurance separately.

41. Once a study leave application has been approved, HRM will calculate study leave allowances commensurate with the approved travel plans and within the limits defined above, and advise the staff member.

42. Approved study leave allowances may be paid to the staff member in advance, but not more than six months before departure.

43. For tax and audit compliance purposes, study leave allowances must be supported by receipts and/or invoices for actual and reasonable expenses; the staff member must submit a costs and expenditure return in respect of the study leave allowances claimed to the HRM Division within two months of completing study leave. (See also section 49 below.)

Provision for the University to require salaries and allowances to be repaid

44. Salary and allowances for study leave are paid by the University to a staff member in good faith on the basis that the study leave programme will be undertaken as agreed between the staff member and the University.

45. A member of staff who does not return to duties at the University at the end of a period of study leave or who resigns from the University with effect from a date within 16 weeks of the agreed date for such return, is liable to repay to the University both salary and expense allowances in respect of that period of leave.

46. A staff member who resigns or retires from the University with effect after 16 weeks of the agreed date of return from study leave, but before the completion of one year of service after the proper date for return from study leave, is liable for a proportional refund of the expense allowances, which will be determined by the Director of HRM.

47. A staff member who retires from the University within two years after the end of a period of study leave will not be eligible for the retirement gratuity payable by the University.

Other financial assistance

48. Applicants for study leave are required to declare on the application form any expected financial or other assistance relating to the period of leave, either from within the University or from external sources; this declaration will be taken into account by the University in determining the amount of study leave allowances to be paid to the staff member.

49. In recognition that financial or other assistance from sources external to the University may facilitate and enhance study leave, the University encourages applicants to seek and accept external assistance, provided that it does not unduly constrain or impede the approved study leave objectives. For example:

the assistance should not be conditional on significant time being taken in activities not central to the purposes for which leave is granted
the assistance should not impose constraints on rights to publish freely the results of research undertaken while on leave.

50. Within two months of their return from study leave, staff are required to declare all actual financial and other assistance received during the study leave period, either from within the University or from external sources (this declaration should be made in conjunction with the costs and expenditure return required under section 42 above).

51. With reference to actual and reasonable expenses incurred by the staff member in a period of study leave, the University reserves the right to:

adjust the study leave allowances payable by the University in respect of any other internal or external financial assistance obtained for the same period of leave,
adjust any payments to the staff member from University research accounts in relation to expenses which the Dean deems to have been covered by the study leave allowance.

Authority to vary or waive the provisions of this policy

52. Only the Vice-Chancellor has the authority to vary or waive the provisions of this policy in individual cases.

Human Resource Management
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The University of Waikato - Te Whare Wananga o Waikato
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