Procedure: Academic staff loadings and allowances

Purpose

To inform staff of options for additional remuneration for academic staff, where required, above the base salary.

Procedure

*unless approved by the Vice-Chancellor and President, or Chief People Officer.

Market loading

1. A market loading can be used to assist with the attraction and retention of high performing staff or groups where external market conditions may be significantly more attractive than what the University currently offers.
2. The University may pay a salary loading to attract or retain outstanding staff, giving consideration to the total salary and benefit package offered by the University (including superannuation, leave benefits, development opportunities and other conditions), compared to the external market.
3. Exceeding performance expectations is not in itself considered to be a justification for a market loading. However, as market loadings aim to attract and retain outstanding staff, it is expected that staff members receiving a market loading will be performing their role at a level that has been assessed as outstanding within a completed Performance and Development Review (PDR)/Focus form.
4. A market loading may be considered where there is demonstrated difficulty in attracting and retaining staff in academic fields because of salary differentials with other employees.
5. The criteria for deciding whether a market loading should be applied, and the level at which it should be paid, include:

1. difficulty, or anticipated difficulty, attracting suitably qualified or experienced staff in the relevant field of a discipline/profession; or
2. retention of staff where it is likely that the University would have difficulty in refilling the position because of evidence of higher salaries being paid externally.

6. The market loading will count as ‘salary’ for all periods of paid leave, penalty rate calculations and overtime (where the staff member is eligible), and can be paid as salary or contributed to salary packaging/superannuation contributions.
7. An academic market loading must be reviewed every two years, where there is a substantial change in the responsibilities/role, or when a staff member is promoted. It is generally expected that when this occurs a market loading would no longer apply or be reduced to reflect new pay level.
8. A proposal for an academic market loading is made using a market loading form, completed by the proposer, along with a substantiated case setting out as appropriate:

• the history of difficulty with recruitment in the field;
• reasons for a loading together with other relevant market factors, e.g. loss of specific capability;
• copy of the staff member's latest PDR/Focus
• staffing needs of the area;
• curriculum vitae of the individual; and
• suggested level of loading.

Additional duties

9. Additional duties may be used where a staff member other than a casual staff member is working in excess of their agreed workload.
10. The work can be performed in the staff member’s normal (home) work area, or another budget unit of the University.
11. Examples of additional duties include:

• a staff member conducting specialist course of study not directly related to their substantive appointment or
• a staff member performing a 'consultancy' service for an outside organisation on behalf of the University and the budget unit chooses to pay the staff member an additional payment in excess of their substantive salary as the work is in excess of their agreed workload.

12. The following points should be taken into consideration when applying the payment of additional duties:

1. the area seeking the services of the staff member should discuss this with the staff member's supervisor and seek agreement for the additional duties to be undertaken;
2. where the home area certifies that the staff member has a full workload an additional payment may be approved;
3. if the staff member does not have a full workload the work may be undertaken and a funds transfer may be made to the home budget centre and not to the staff member;
4. if a staff member is to be paid for agreed additional duties, prior approval to undertake the additional duties must be obtained from the regular (home)work area supervisor and ‘Paying Area’ Delegate using the Request for Additional Duties Payment form in HORUS. An override budget code is available; and
5. The maximum hourly rate payable is to be consistent with the current hourly rate of the staff member. Payment rate that is more than substantive position hourly rate will require approval by the Chief People Officer.

13. By providing the override budget code, all costs, including on-costs (except superannuation and the payroll tax on this superannuation which will be charged to the substantive charge account), will be charged to the budget area employing the staff member for the additional duties, not their 'home' budget unit. This cost will be reflected on the payroll variance report of the budget area responsible for the payment. If the override budget code is left blank, all costs will be charged to the 'home' department. On-costs associated with additional payments include workers compensation and payroll tax.
14. Staff members will be required to submit a claim for additional hours worked via HORUS. Once the form is submitted by the staff member, it is to be approved by the supervisor of the additional duties. Payment will occur in the next pay cycle.

Merit loading

15. A merit loading may be paid to an academic staff at level E2 and above in recognition of exceptional academic performance based on the following criteria:

1. external marks of academic distinction in the staff members discipline;
2. exceptional service to the University, through scholarship and teaching, including the supervision of graduate students; and
3. exceptional professional contribution to the Australian community.

16. A written proposal for a merit loading from the staff member’s supervisor, endorsed by the relevant College Dean, must be submitted to the Chief People Officer.
17. This proposal must include:

1. a substantiated case for the loading;
2. the proposed value of the loading; and
3. supporting documentation for the staff member such as curriculum vitae, details of awards and recognition by learned societies.

18. The Deputy Vice-Chancellor, as Chair of the E2-E3 Promotion Committee, will assess applications for academic merit loadings and make a recommendation for approval/refusal of the application to the Vice-Chancellor and President.
19. Academic merit loadings are normally awarded for a three-year period, however the loadings must be reviewed and re-applied for (if they are to continue) following:

1. substantive change in role/responsibilities; or
2. change to the original reasons for loading approval.

20. The staff member may have the loading paid as salary or as a contribution to superannuation.

Performance bonus

21. A performance bonus may be paid in recognition of outstanding performance or achievement of negotiated stretch targets if the staff member:

1. has achieved or exceeded stretch targets specified in the staff member’s PDR/Focus, which are linked to a performance bonus payment; and/or
2. has demonstrated substantial individual achievement on a significant project or other accomplishment; and/or
3. is a member of a group of staff who have contributed significantly to a project or outcome which has University-wide reach; and/or
4. has demonstrated outstanding performance in teaching, research or outreach activities; and/or
5. has made a significant individual contribution to their College or Division, which the Dean or Director believes merits a performance bonus payment.

22. Performance bonus payments are not awarded for meeting the expected requirements of a role.
23. Performance bonus payments are a one-off payment. There is no obligation for the University to pay a performance bonus in subsequent years, after one payment.
24. Performance bonus payments are limited to a maximum of one per calendar year and generally will not exceed 10% of the staff member’s base salary.
25. Performance bonus payments are exclusive of College based awards paid under the ANU Procedure: Staff achievement awards, determined through College based competitive or merit processes and approved by College Deans or College General Managers. Receipt of such awards will be considered as part of the application case if an additional request for a performance bonus payment is made.
26. The Chief People Officer considers and approves all performance bonus requests.
27. Advice should be sought from HR prior to including a performance bonus payment in a staff member’s PDR/Focus. Incorporation of a performance bonus in a staff member's PDR/Focus does not result in automatic approval of the request.
28. The performance bonus payment may be paid as a lump sum payment into the staff member’s bank account via payroll, or as a non-monetary benefit such as:

1. payment to a research account;
2. study assistance; and
3. agreed staff development opportunities such as conference attendance.

29. Performance bonus payments are not superannuable except as required to meet the Superannuation Guarantee with respect to superannuation payable on ordinary time earnings. The cost of meeting any superannuation payable will be charged to the budget area employing the staff member.

Responsibility loadings

30. A responsibility loading may be paid in recognition of the additional responsibilities associated with the appointment to nominated roles including;

1. the Head of an Academic Organisational Unit (AOU) who is accountable to a College Dean, and/or School Director, for the leadership and management of an organisational unit; and
2. an academic staff member appointed as a Deputy, Associate and Sub Dean/Academic Director to act as such under delegated authority of the College Dean or a School Director.

31. Other designated roles approved in writing for the payment of a responsibility loading by the Chief People Officer or the Vice Chancellor and President. Responsibility loadings will continue to be paid during short-term periods of paid leave of less than two months, such as annual leave and personal leave, the loadings will be suspended for periods of leave equal to or in excess of two months.
32. General conditions of appointment remain those set out in the appointee's substantive letter of appointment.

Head of an Academic Organisation Unit (AOU)

33. The role of a Head of an AOU is to contribute to the achievement of ANU goals by providing leadership to the AOU and contributing to their discipline and relevant College operational plan.
34. The specific responsibilities of the Head of AOU include responsibility for the academic program and the financial, staffing and other management arrangements of the AOU.
35. The broad indicative roles and responsibilities of the Head are outlined in Appendix A below. The College Dean or School Director may vary these as necessary for individual appointments.
36. The Head of AOU will normally be appointed following a merit-based selection process.
37. The College Dean may appoint the Head of an AOU on the recommendation of the relevant School Director. In formulating this advice, the School Director will seek Expressions of Interest from staff of the AOU and undertake a merit-based selection process, usually in accordance with the ANU Procedure: Appointments.
38. It is anticipated that the appointee will be drawn from within the AOU concerned. However, the College Dean or School Director may seek nominations from the broader ANU community or, where appropriate, external to the University.
39. It is expected that the appointment will normally be for a minimum term of three to five years as determined by the College Dean. However, a School Director may recommend a term that meets the specific needs of the AOU or of the appointee.
40. The appointment is subject to the appointees’ ongoing satisfactory performance. The University or the appointee may end the appointment it at any time by providing at least one month's notice.
41. A College Dean or School Director may extend an appointment for a further period as agreed between the parties. The College Dean may approve or alternatively require the area to undertake a selection process.
42. All papers relating to the selection and appointment of Heads should be forwarded to the Chief People Officer.
43. At the conclusion of the appointment the Head will revert to their substantive appointment and conditions, unless otherwise agreed in writing by the Chief People Officer.
44. The University recognises that AOUs vary in size, financial and staffing responsibilities, number and complexity of degrees offered, disciplinary/multi-disciplinary composition, and the extent of responsibilities delegated by the College Dean or School Director.
45. The number and sizes of AOUs will be determined in accordance with the Academic School or Department accreditation procedure.
46. The University remunerates Heads of AOU by way of a salary loading based on a formula using a staffing index. It refers to the number of equivalent full-time academic staff plus 50% of the FTE Professional staff in the AOU. The index is based on staffing numbers at the 31 March census of the preceding year. Applications to vary the index can be made to the Chief People Officer.
47. The current staffing index is as follows:

1. a large AOU has a staff index of 20 or more;
2. a medium AOU has a staff index of between 11 and 19 inclusive;
3. a small AOU has a staff index of between 6 and 10; and
4. other AOUs are those with a staff index of less than 6, or where the Head of the AOU has no budget responsibilities.

48. The Head of an AOU loading will be varied in accordance with approved ANU Enterprise Agreement salary adjustments.
49. The loading will continue to be paid during short-term periods of paid leave of less than two months, such as annual leave and personal leave, and can be paid as salary or contributed to salary packaging/superannuation contributions.
50. As a general rule, a staff member will not be absent from the University on Outside Studies Program (OSP) during their term as Head of AOU. The College Dean or School Director may approve absences for short periods (e.g. conference attendance).
51. Where it is anticipated that a School Director will grant an extended period of OSP during the term of the headship, details of this arrangement must be specified in writing along with details of the appointment of an acting Head for approval by the College Dean. The head of AOU loading will cease for the duration of such extended absences.
52. As a general rule, the head of an AOU will not be absent from the University on extended long service leave (LSL). Where an exception is granted by the College Dean or School Director, the arrangement will normally be specified as part of the academic staff member’s appointment as head of AOU. As a general rule, the headship loading will cease to be paid during periods of LSL, at least during the first three years of the term.
53. Where an academic staff member is required to act as a Head of an AOU for a period in excess of twenty consecutive working days, the staff member will be paid the loading (specified in clause 49 above) on a pro rata basis for the duration of the acting arrangement. This payment is not superannuable.

Deputy, Associate and Sub Dean/Academic Directors

54. A College Dean or School Director may appoint one or more Deputy, Associate and Sub Dean/Academic Directors to lead and manage a key area across the School, such as research, or teaching and learning. In making such appointments, the College Dean or School Director:

1. should consult academic and professional staff employed in the relevant Academic Organisational Unit; and
2. will have regard to the roles and responsibilities below.

55. Appointments will normally be for a period of three years.
56. The instrument of appointment is a letter of offer. It will define the particular role required of the appointee and will specify performance measures against which the appointee will be assessed by the College Dean or School Director.
57. The following general statements provide guidance on what Deputy, Associate and Sub Dean/Academic Directors may be asked to do as part of their duties. They are neither prescriptive nor exhaustive. Deputy, Associate and Sub Dean/Academic Directors may be asked to perform a wide range of managerial and ceremonial functions on behalf of a College Dean or School Director.
58. Without limiting or overlapping with the roles of prescribed authorities, they may have delegated responsibility for undergraduate programs and coursework components of postgraduate programs.
59. They may have an oversight role for graduate students on behalf of the Dean or Academic Director and may be titled "Graduate Program Convener". They could therefore be the primary point of contact for the Academic Organisation Unit for ensuring effective supervision and oversight of postgraduate students.
60. They may coordinate policy development with regard to all undergraduate programs and the coursework components of postgraduate programs. That could encompass policy on:

1. new and revised programs;
2. admission procedures;
3. credit and recognition of prior learning; and
4. new and revised courses.

61. They will, as required, represent the area on relevant committees.
62. They may be required to liaise with:

1. Student and Academic Services;
2. Student Recruitment and International Education;
3. Program co-ordinators for undergraduate courses; and
4. Heads of Academic Organisational Units.

63. The College Dean or School Director may terminate the appointment of a Deputy, Associate and Sub Dean/Academic Director where agreed performance measures have not been met.
64. The University remunerates its Deputy, Associate and Sub Dean/Academic Directors by way of a salary loading based on the broad proportion of time (averaged over appointment) that Deputy, Associate and Sub Dean/Academic Directors are expected to devote to the additional responsibilities of these roles.
65. The Deputy, Associate and Sub Dean/Academic Directors Loading will be varied in accordance with approved Enterprise Agreement salary adjustments.
66. There is nothing to preclude Deputy, Associate/Sub Deans/Academic Directors being appointed against advertised positions for which normal contestable selection procedures are applied. In those cases an appropriate salary would be set, having regard to the loadings specified above.

Roles and Responsibilities of Heads of Academic Organisational Units (AOUs)

General

67. The role of the Head of an AOU is to contribute to the achievement of ANU goals by providing leadership to the AOU and contributing to their discipline and to relevant College Strategic Plan.
68. These responsibilities will be carried out within University policies and delegations, the ANU Code of Conduct, and the University's statutory obligations. Specifically, this includes:

1. academic leadership of an AOU including responsibility for the management, development and quality of the AOU's teaching, research and student support services;
2. development and management of the AOU's academic and professional staff;
3. development and management of the AOU's finances and infrastructure; and
4. managing and implementing change.

69. Strategic Direction

1. developing, implementing and maintaining appropriate planning and monitoring processes;
2. monitoring the academic and research training activities of the AOU, including postgraduate supervision, and the quality of information provided to students;
3. communicating University-wide strategies and policies to the AOU; and
4. encouraging collaboration with other relevant areas.

70. Academic

1. establishing clear academic objectives and priorities to encourage excellence in research, education and professional activities;
2. implementing high quality teaching processes including curriculum design and presentation;
3. encouraging collaboration (i.e. inter-ANU, nationally and internationally); and
4. membership of committees as appropriate.

71. Students

1. overseeing the academic welfare and progress of students;
2. facilitating postgraduate programs;
3. preparing enrolment plans, promoting the University, and monitoring enrolment trends; and
4. reporting on student matters.

72. Financial/Infrastructure

1. developing budgets and ensuring cost effective use of funds;
2. ensuring satisfactory provision of IT infrastructure, accommodation and facilities;
3. ensuring that the AOU is a safe and healthy environment, and that risks are managed; and
4. actively pursuing opportunities to increase funding outside the recurrent grant.

73. People Management

1. managing human resources issues within the AOU, including recruitment, selection, induction, mentoring staff, performance management, staff development, promotion, grievances, community outreach, and consultation about change;
2. ensuring appropriate allocation of staffing resources for the effective performance of the AOU's research, teaching and postgraduate training functions;
3. ensuring that staff have workloads which are equitable and manageable, and which enable staff to balance their University life with their outside responsibilities and interests; and
4. ensuring that the working and learning environment is safe and free from harassment, bullying and discriminatory practices.

74. Representational

1. representing the AOU's interests, academic work, achievements and plans, in the context of the University-wide strategies and directions, at internal fora, and to industry and government, and to professional and educational communities in local and international arenas; and
2. promoting the AOU to potential academics, liaising with professional accrediting bodies and maintaining links with Alumni of the ANU.

75. Selection Criteria

1. capacity to provide strategic direction to the AOU, within the overall strategic direction of the University and College, including implementing change;
2. demonstrated management and leadership skills to ensure the effective operation of the AOU;
3. capacity to provide academic leadership to the AOU including responsibility for the management, development and quality of the AOU's teaching, research and student support services;
4. ability to manage and enhance the development and skills of the AOU's academic and general staff;
5. ability to develop and manage the AOU's finances and infrastructure; and
6. ability to enhance and develop the AOU's national and international reputation and performance in education and research.