Summary of senior and line manager responsibilities drawn for employment related policies and guidelines. Please click the title to view the source document and note that many of these delegations need to be viewed in context for a proper understanding.
|Policy/Guideline||Senior Managers||Line Managers|
|Academic Staff Buyout Guidelines||
Deans should not allow their Faculties to be over-reliant for teaching on sessional assistants, teaching fellows, tutors and senior tutors or any others who are not research-active. |
They are also expected to ensure that those employed to replace staff on buyout are suitably qualified and to make provision for professional development if deemed necessary.
Deans are expected to ensure that workloads for all other academic staff in their Faculty remain fair and equitable.
Deans should not allow any individual academic staff member's overall workload to exceed 1 FTE unless it is justified in their view by exceptional circumstances, and the staff member agrees.
Authority to approve staff buyout and the associated funding and employment arrangements rests with the relevant Dean after consultation with the relevant Chairperson of School/Department.
Deans should ensure that opportunities to engage in external research activities with funding for buyout are not confined to senior staff and that more junior staff also have similar opportunities to build their research capability
|Academic Workloads Guidelines||
Deans are responsible for establishing principles and processes for allocating academic workloads in their respective faculties. Each Dean should communicate those principles and processes clearly and transparently to all staff in their faculty.|
If the workload allocation cannot be agreed between the staff member and the relevant chairperson/head of department/school, the matter should be referred to the relevant Dean for resolution.
Academic workload allocations should be transparent and shared within the department/school and faculty.
Deans are responsible for monitoring academic workload allocations in their respective faculties to ensure that they are appropriate and equitable overall, and to ensure that they are adhered to in practice.
Workload allocations are to be agreed annually by the academic staff member and their chairperson/head of department/school in conjunction with the approval of paper offerings and as part of Professional Goal Setting (PGS). It is expected that individuals will normally achieve a workload proportionality
of 40/40/20 as an average over six years unless prescribed otherwise in a position description.|
Responsibility for allocating the workloads of individual academic staff within a faculty rests with the relevant chairperson/head of department/school as appropriate.
In planning individual academic workload allocations,chairpersons/heads of department/school should, as far as possible, take account of department/school plans with respect to study leave, annual leave and participation in cultural activities and events(including any contributions associated with the University's commitments under Te Tiriti o Waitangi). They should also ensure that allocations are flexible enough to allow for unexpected absences such as sick leave.
Regular periods of study leave should be considered the norm for research active staff and should be allowed for in workload planning. In years where a period of study leave is approved, this could be considered to significantly contribute to, but not fully constitute, the research allocation for that year only. In programmes and areas of expertise where study leave is only able to be taken less frequently,chairpersons/heads of department/school should make efforts to compensate through granting sufficient research days within the regular academic schedule.
Chairpersons/heads of department/school should take all practicable steps to ensure that academic workloads are reasonable and manageable so that staff can maintain an appropriate work/life balance and physical and mental wellbeing is not endangered.
The individual staff member and the relevant programme convenor, chairperson/head of department/school should discuss the staff member's workload as part of the annual Professional Goal Setting (PGS) process for the subsequent 1-3 year period with a view to reaching agreement between them.
|Annual Leave Management Policy||
Pro Vice-Chancellors, Directors and equivalent are responsible for ensuring that|
a) annual leave in their area of responsibility is managed in accordance with this policy and relevant legislative and contractual requirements
b) any concerns brought to their attention by the Director of Human Resource Management about excessive leave liability for their area are addressed.
Line managers must provide their staff with the opportunity to take their full annual leave entitlement for the year; a line manager must allow a staff member to take at least two weeks of their annual leave entitlement in a continuous period.|
Wherever possible, the timing of annual leave should be determined by agreement between the staff member and their line manager; where agreement cannot be reached, the relevant line manager has authority to direct the staff member to take annual leave over a specified period provided that the staff member is given at least 14 days notice of the start of the leave period.
Subject to prior approval by their line manager, staff may take annual leave in anticipation of entitlement; the number of days anticipated may not exceed the number of days accrued.
Where the University observes a close-down period, it can require staff to take annual leave during that period provided at least 14 days notice is given; staff who have not accrued sufficient annual leave at the time of the close-down period may be permitted by their line manager to take annual leave in advance of accrual or, if they wish, leave without pay.
All applications for annual leave and approvals must be made through the University's online leave system Aku Mahi; any changes to annual leave bookings require the approval of the relevant line manager and must also be made through Aku Mahi.
|Appointment and Employment of Relatives or Close Friends of Staff Members Policy||A line manager who is made aware of a conflict of interest under this policy must determine, in consultation with the relevant Human Resource Management advisor, the appropriate response, and if appropriate, the best means of managing the conflict|
|Bullying and Harassment Policy||Line managers must take all reasonable steps to ensure that the work environment for their staff is free from bullying and harassment and must act as promptly as practicable on any concerns raised with them.|
|Child Protection Policy||Line managers and programme supervisors have a responsibility to ensure that, where a staff member or student expresses a concern that a child or young person has been, or is likely to be, the victim of child abuse, appropriate steps are taken to respond to the concern.|
|Children on Campus Policy||
A staff member who wishes to host a formally organised visit by children to campus must seek prior permission to do so from his or her line manager or, if required under the policy of the relevant Faculty/Division, from the relevant Dean, Director or equivalent.|
A staff member who wishes to bring a child into his or her workplace must first seek permission to do so from his or her line manager.
Line managers are expected to treat requests under clause 16 of this policy sympathetically; arrangements for a staff member to work from home might also be explored as an alternative.
|Critical Event and Business Continuity Policy||Deans, Directors or equivalent and any other managers identified by the Chief Operating Officer for this purpose are required to develop, review, maintain, and test business continuity plans and must do so in accordance with the guidelines provided by the Chief Operating Officer under clause 11.|
|Employee Engagement, Participation and Representation in Health and Safety Policy||
Management Representatives must consult with the Health and Safety Representative/s in their Designated Work Group with respect to health and safety matters in the following circumstances:|
- when identifying work hazards
- when making decisions about risk minimisation
- when assessing the adequacy of facilities
- when changing a system of work, planning a new project, or purchasing new equipment or materials
- when restructuring the work group
- when developing procedures for work health and safety
- when resolving a work health and safety issue.
|The activities of the Health and Safety Representatives, Management Representatives, the Health and Safety Forum and other workplace health and safety forums are complementary to the activities and accountabilities of line managers.|
|Environmental Sustainability Policy||Faculty/School/Division Deans, Directors and equivalent, are responsible for ensuring that activities and decision-making in their areas of responsibility are consistent with the commitments set out in this policy.|
|Equal Employment Opportunity Policy||Line managers are responsible for ensuring that all practices and procedures that apply to the staff for whom they are responsible are consistent with this policy.|
|Evaluation of Teaching and Papers Policy||Taking account of the evaluation data provided by the Centre for Tertiary Teaching and Learning for staff in their their Faculty, Deans are required to report annually to the Pro Vice-Chancellor Teaching and Learning on the implementation of this policy in their Faculty.||
Chairpersons/Heads of Departments/Schools or equivalent and Associate Deans or equivalent are required to:|
- ensure that cycle of evaluations required under clause 4 of this policy is implemented, and
- take the evaluation data provided by the Centre for Tertiary Teaching and Learning for staff in their department or equivalent into account in their discussions with staff about professional goal-setting and professional development opportunities.
|Health and Safety Policy||
Providing leadership and operational support with regards to the implementation of this policy within their areas of responsibility in accordance with the University of Waikato Health and Safety Framework.|
Integrating health and safety arrangements into plans and objectives in their areas of responsibility
developing local safety management arrangements to manage, as far as reasonably practical, health and safety risks to staff, students and others.
Providing opportunities for staff and students to contribute to and participate in the improvement of health and safety in their areas of responsibility.
Delegating operational aspects of health and safety management to appropriate line managers and supervisors within their areas of responsibility, and monitoring compliance with those delegated responsibilities.
Managing health and safety within their areas of responsibility as an integral part of their day-to-day activities in accordance with the University of Waikato Health and Safety Framework|
Taking all practicable steps with respect to their areas of responsibility to provide and maintain a safe and healthy environment by:
- identifying local hazards and evaluating the risk of harm
- establishing and implementing appropriate standards and procedures
- establishing and insisting on safe methods, safe equipment, proper materials, and safe practices at all times
- providing appropriate training or instruction opportunities for staff and, where relevant, students
- providing opportunities for staff to participate in health and safety forums and processes for the improvement of health and safety in the workplace
- consulting staff during the development and review of procedures and work environment changes
- ensuring compliance with the Health and Safety Manual, relevant University policies, legislative requirements, standards, codes of practice and best practice guidelines, and
- ensuring that safety takes precedence over expediency at all times.
|Management of Work-Related Injuries and Illnesses Policy||
Line managers are responsible for:|
- taking all practicable steps to ensure that staff in their areas of responsibility are aware of the University's Reporting of Accidents and Incidents Policy and associated procedures
- taking all practicable steps to ensure that staff in their areas of responsibility are aware of the University’s procedures for managing work-related injuries and illnesses, set out in Section 5 of the Health and Safety Manual
- ensuring that work-related injuries or illnesses suffered by staff in their areas of responsibility are reported through the online Accident Report Form.
|Paper Outline Policy||
Chairs of school or equivalent are responsible for ensuring that paper outlines:|
- are correct and accurate at the time of publication
- comply fully with the Paper Outline Template approved by the Academic Board
- are consistent with the Calendar information for the paper, and
- are reviewed annually.
|Protected Disclosures Policy||A line manager to whom a protected disclosure is made must refer the disclosure to an Internal Authority.|
|Protocol for the Treatment of PBRF Quality Categories||in the event that a staff member advises a manager of her/his Quality Category, or Quality Category and Component Scores, that manager will not use that information other than for purposes authorized by the individual staff member concerned and within the restrictions specified in this document.|
|Reporting of Accidents and Incidents Policy||
All staff accidents and incidents should be reported to a line manager within 24 hours or as soon as practicable.|
If a notifiable event, the Health and Safety Manager must be notified immediately by the line manager and the event site preserved until advised by the Health and Safety Manager, a WorkSafe New Zealand inspector or other regulatory authority such as the Police that site remediation can be actioned.
Line managers are responsible for:
- taking all practicable steps to ensure that staff in their areas of responsibility are aware of the University’s procedures for reporting accidents of illnesses, set out in Section 5 of the Health and Safety Manual
ensuring that any accident or incident they are aware of is reported through the online Accident Report Form
- taking all reasonable steps to ensure that a site within their area of responsibility where an accident or incident has occurred is not disturbed until authorised to do so by the Health and Safety Manager, a WorkSafe New Zealand inspector or other regulatory authority; non-disturbance of an accident scene does not preclude action to:
- assist an injured person
- remove a deceased person
- make the site safe or minimise the risk of a further accident or incident
- co-operating fully with any accident or incident investigation
- conducting an investigation of all accidents or incidents within their areas of responsibility assessed by the Health and Safety Manager as having a high, very high or extreme risk outcome in liaison with the Health and Safety Coordinator and Health and Safety Representatives; accidents or incidents with a low risk outcome may also may also be investigated
- taking appropriate corrective or preventative action in response to any outcomes or recommendations following an investigation into any accident or incident.
|Staff Performance and Professional Development Policy||
Deans, Directors and equivalent must:|
- plan, monitor, manage and enhance performance in their area of responsibility
- ensure that an annual PGS process takes place in their Faculty, Division or unit, as described in the Continual Professional Development Framework
- ensure that reward and recognition processes are informed by evidence from a variety of sources, and
foster a culture of openness, flexibility, co-operation and excellence.
Line managers must take all reasonable steps to ensure that their staff:|
- have a personal induction programme when moving onto a new role
- have a current and accurate position description and in the case of academic staff that workloads are - consistent with University policy
- use evidence from a variety of sources to inform personal planning; in the case of academic staff, use their Academic Staff Portfolio to inform their personal planning
- are familiar with key attributes for staff set out in the Continual Professional Development Framework
- are provided with regular ongoing feedback and engage in the annual PGS exercise as described in the Continual Professional Development Framework
- identify and are supported to address any areas of personal performance improvement or enhancement, and
- implement professional goals and personal development plans within available resources.
Line managers must retain a record of the goals and professional development activities agreed as part of each annual PGS exercise; all such records will be made available to the relevant Dean, Director or equivalent on request.
Line managers must take all reasonable steps to ensure that reward and recognition processes are informed by evidence from a variety of sources.
|Study Leave Policy||
Authority to approve study leave applications rests with the relevant Dean.|
Each Dean has authority to determine the approval processes and criteria for study leave in his or her Faculty, School or equivalent provided that they are consistent with this policy.
The Dean will inform the applicant of his or her decision in writing; if the study leave is approved, the Dean will specify any terms, including dates of absence and reporting deadlines.
Where study leave has been approved, the Dean will send a copy of his or her decision to the Director of Human Resource Management, who will record the approved leave and adjust the staff member's study leave credit balance accordingly calculate the allowances for which the staff member is eligible (refer Appendix 1), and advise the staff member in writing of the applicable allowances.
Where the Dean has not received a study leave report which he or she has assessed to be satisfactory within four months of the staff member's return to regular duties, qualifying service will then cease and not recommence until a satisfactory report has been received.
Subject to sections 49-50 below, authority to approve study leave reports rests with the relevant Dean.
Where a Dean approves a study leave report, he or she will provide a copy of the report and decision to the staff member, the Chairperson of Department, Head of School or equivalent, the Director of Human Resource Management, and the Senior Deputy Vice-Chancellor.
Where a Dean is of the view that a study leave report is unsatisfactory, or satisfactory only subject to certain conditions, he or she will provide a copy of the report and decision to the staff member and the Chairperson of Department, Head of School or equivalent,the Director of Human Resource Management, and the Senior Deputy Vice-Chancellor.
In considering an application for study leave, the relevant Chairperson of Department, Head of School or equivalent and Dean will take account of the overall purpose of study leave and also:|
- the staff member's study leave credit
- rigorous evaluation of the staff member's delivery of agreed outcomes during any previous study leave
- whether satisfactory arrangements can be made by Departments, Schools or equivalent, 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 meeting relevant quality standards and targets (e.g. the Performance-Based Research Fund)
- any other specific criteria defined within the Faculty, School or equivalent concerned
- the overall plan for leave, teaching, research and workload arrangements for the Department, School or equivalent over the period concerned.
Within two months of return to regular duties, the staff member must provide a report to the relevant Chairperson of Department, Head of School or equivalent, on the University's Study Leave Report Form; the report must include details of the extent to which the proposed outcomes listed in the approved study leave application have been achieved.
Study leave reports will be assessed on the basis of the extent to which the outcomes listed in the approved study leave application have been achieved.
A Chairperson of Department, Head of School or equivalent may discuss a study leave report with a staff member and propose changes before it is referred to the relevant Dean for decision.
The Chairperson of Department, Head of School or equivalent will make a recommendation to the Dean with respect to the approval (or otherwise) of the study leave report.
Each Chairperson of Department, Head of School or equivalent is required to maintain a two year forward plan of study leave, which takes account of all teaching, research, supervision, contractual, and administrative obligations for the Department, School or equivalent.
The University will not pay for membership of airline lounges (e.g. Koru Club), except where|
- it is specified as an entitlement in the staff member's employment contract
- it is funded under the terms of an external contract, or
- prior approval is granted in writing by the Vice-Chancellor (for direct reports) or the relevant Dean, Director or equivalent; approval will be granted only where the staff member is expected to undertake a considerable amount of air travel as part of his or her normal duties.
Applications for travel in premium economy class (or equivalent) are subject to the prior written approval of the Vice-Chancellor (for direct reports) or the relevant Dean, Director or equivalent, and will normally be approved for long-haul international flights only.
Subject to clause 62 of this policy, applications for travel in business-class (or equivalent) are subject to the prior written approval of the Vice-Chancellor on the recommendation of the relevant Dean, Director or equivalent.
Subject to clause 62 of this policy, under no circumstances will the University meet the costs of first-class travel (or equivalent).
[Clause 62] Business-class or first-class travel (or equivalent) will be approved where the cost of travel is being covered by an external party and that party has stipulated that business-class or first-class (or equivalent) is permitted.
Where an insurance claim arises from a staff member's international travel on University business, the excess will be covered by the staff member's Faculty/Division or equivalent, subject to clause 86 of this policy.
Staff may incur travel expenses on behalf of the University only under the following circumstances:|
- where they have been authorised by their line manager to conduct business on behalf of the University or to attend an event as a representative of the University
- where the travel is undertaken as an integral part of a research project, regardless of whether the project is funded by the University or through an external funding source, or
- where they have been authorised by their line manager to attend training, professional development or a conference.
Staff who wish to travel internationally on University business must develop a proposal for consideration by their line manager, which sets out the intended outcomes of the travel and a reasonable estimation of the likely costs.
A proposal by a staff member to travel on University business is subject to approval by the staff member's line manager; before approving such a proposal, the line manager must be satisfied that
- the travel is appropriate and justifiable, and
- the associated costs to the University are appropriate.
Provided that the relevant line manager has agreed, a staff member may choose to stay privately while travelling on University business.
If staff wish to change a travel arrangement that has already been booked and there is no additional cost to the University in doing so, they must advise their line manager.
If staff wish to change a travel arrangement that has already been booked and the change will create a consequential cost to the University, they must obtain prior approval from their line manager.
Before approving a request to change a travel arrangement under clause 38 of this policy, the line manager must take account of the consequential costs to the University.
Subject to approval by the relevant line manager, the University will meet any costs under clause 42 (emergency travel arrangements) of this policy; otherwise they must be met personally by the staff member.
Staff who wish to undertake private travel in conjunction with travel on University business must seek prior written approval to do so from their line manager.
Authority to approve the costs outlined in clauses 48 and 49 (communications costs) of this policy rests with the relevant line manager.
Staff must obtain prior written approval from their line manager for any excess baggage charges that are likely to be incurred as a result of carrying particular equipment or materials relevant to the purpose of the travel.
Gifts accepted by staff members while travelling on University business must be declared to the staff member's line manager on return and, where the value of a gift is estimated by the relevant line manager to exceed $200, recorded in the University Gift Register, as set out in the Procurement Policy.
A line manager may only approve a per diem payment in exceptional circumstances, such as travel to a country (typically a less developed country) where it is difficult to charge back costs to the University or obtain receipts.
A line manager intending to approve a per diem payment under clause 98 of this policy must consult the Chief Financial Officer for relevant advice before doing so.
Line managers are responsible for ensuring that staff who report to them comply with this policy.
|Vehicle Use Policy||
Line managers must encourage safe driving practices and not require staff to drive under conditions that are unsafe.|
A line manager must be satisfied that in his or her opinion the reasons given by a staff member under clause 12h of this policy are valid before giving approval for a University vehicle or rental vehicle to be stored at the staff member's home overnight prior to early morning travel on University business or overnight on the day of travel on University business; as set out in clause 17 of this policy, a University vehicle or rental vehicle held at a staff member's home overnight is subject to fringe benefit tax and, as set out in clause 20 of this policy, the tax will be charged back to the cost centre that incurs the liability.
|Volunteer Service Policy||
Staff members must obtain approval to undertake volunteer service from their line manager using the Volunteer Service Request Form no less than five working days prior to the requested period of service.|
Wherever possible, the timing of volunteer service should be determined by agreement between the staff member and their line manager.
Line managers should attempt to approve volunteer service requested by staff in their area of responsibility but have the discretion to decline service if it would breach this policy or significantly impact University operations.
Line managers may require written verification from an official of the relevant community organisation of the volunteer service and/or evidence that the volunteer service has been undertaken.
If the request is approved by the line manager the staff member must book the absence through the University’s online leave system Āku Mahi; any changes to volunteer service require the approval of the relevant line manager and must also be reflected in Āku Mahi.