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Special Studies Program Procedures

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Section 1 - Overview

(1) These procedures are for the guidance of the academic staff of the University of New England for implementing and complying with the University's Special Studies Program (SSP) Policy, and must be read in conjunction with that policy.

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Section 2 - Scope

(2) This procedure applies to continuing and fixed-term academic staff and Heads of School of the University of New England, from the date of its approval.

(3) SSP is intended to support staff to concentrate on research, scholarship, creative work, professional experience, gain academic leadership and management experience, or to complete a higher degree.

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Section 3 - Procedures

Eligibility

(4) Academic staff appointed under any of the following conditions may be eligible to apply for SSP:

  1. those appointed on a continuing basis with three or more years of service;
  2. those appointed to fixed-term positions and who are subsequently appointed without a break in service to a continuing position, may count continuous prior service towards eligibility for SSP;
  3. those appointed to organisational units other than a School, e.g. the Learning Innovations Hub;
  4. those appointed in a part-time capacity, where SSP may be granted on a pro-rata basis; and
  5. Heads of School (HoS).

(5) Unless excluded by contract, a staff member may also be eligible to apply for SSP where he/she has held a fixed-term contract of employment with the University for a minimum of three years and has been reappointed to a fixed-term contract of sufficient length to enable him/her to comply with the requirement to return to the service of the University following the completion of SSP.

Qualifying Period of Service

(6) A staff member is not eligible to be considered for SSP unless and until the staff member has completed a qualifying period of service at the University. The maximum period of SSP that a staff member is eligible to apply for accrues at the rate of two months for each full year of service, up to a maximum of twelve months subject to the criteria specified in clauses 21 & 22.

(7) Periods of long service leave, leave without pay or SSP will not count as service for the purpose of determining SSP eligibility.

(8) If a staff member is granted SSP for a period of time, then that period is deducted from the maximum period of SSP that the staff member is eligible to apply for in future. If the SSP report is not submitted within two months of returning to normal duties, further SSP accrual will not commence until the date on which the report is accepted by the HoS.

Planning for Special Studies Program

(9) The timing must conform to the School's requirements which should be outlined by the HoS prior to the commencement of each round of SSP.

(10) The period of time granted for SSP will be no less than four months and no more than one year.

(11) As the applicant requires the approval of their HoS to undertake SSP, they should discuss and document their SSP plans with their HoS and their supervisor (if the HoS is not their supervisor) as part of their ongoing performance and development planning process before the call for applications in any particular round.

Preparation and Submission of Application

(12) Applications for SSP will normally be called bi-annually, and must be submitted on the SSP Application Form available from the SSP website.

(13) Applicants may are encouraged to seek advice from their peers and HoS on the preparation of their application.

(14) Applications agreed upon by the applicant and their supervisor will be escalated for endorsement to the HoS and finally, to the Provost and Deputy Vice-Chancellor (DVC) for approval.

Assessment of Application

(15) Applications will be assessed by the HoS on the basis of a complete and accurate submission, which will include:

  1. the merit and relevance of the proposed program and its capacity to contribute to furthering the University's Strategic Plan by producing pedagogical, research and/or scholarly outcomes that will contribute to the University's profile;
  2. the potential for the proposed program to support staff to concentrate on research, scholarship, creative work, professional experience, gain academic leadership, or to complete a higher degree;
  3. the demonstrated capacity of the applicant to undertake and produce outcomes from the proposed program as demonstrated through the annual PPDR;
  4. the applicant's record of achievement (including, where applicable, outcomes from previous SSPs);
  5. evidence that all teaching (including supervision), research, service and administration obligations and commitments can be accommodated to the satisfaction of the HoS;
  6. evidence of the mutual benefit that the proposed program will bring to the University and the staff member, including the opportunities to represent the University in official business or to present seminars or lectures to broaden awareness of the University of New England, and
  7. evidence that the proposed activity to be undertaken and experience to be gained cannot be achieved at the University of New England without SSP.

(16) The HoS may support or oppose an application. In order to support an application, the HoS is required to certify that:

  1. school teaching and administrative commitments will be met without the appointment of additional staff within budget or that there is funding relief available;
  2. all tasks relating to teaching responsibilities (e.g. marking, unit revision and preparation) for the trimesters both before and after SSP period have been discharged;
  3. adequate provision has been made for the supervision of all postgraduate students for whom the applicant is responsible;
  4. it is in accordance with discussions between the applicant and their supervisor and HoS during the annual (Performance Planning Development and Review (PPDR) process; and
  5. there is sufficient evidence from previous PPDR that supports the likelihood of the program of work being achieved.

(17) Where the HoS opposes an application, they must indicate, in writing, the reasons why the SSP is not supported and return the application to the applicant.

(18) Depending on the reasons given by the HoS, either clause 81 or clause 82) of these Procedures applies to the decision, and the applicant may have the right of rebuttal for the consideration of the DVC.

(19) If the applicant is a HoS, the relevant section of the application will be completed by Pro Vice-Chancellor (Research) or the Pro Vice-Chancellor (Academic) as appropriate.

(20) The applicant is required to submit the application and HoS's certification to the DVC for consideration.

Criteria for Approval

(21) A valid application for SSP must meet the following criteria:

  1. The proposed deployment of the staff member is supported by their relevant Head of School and is contingent upon:
    1. the requirements under clause 16 being met, and
    2. evidence of appropriate travel insurance arrangements in place.

(22) Applications that do not satisfy the conditions at clause 21.a will not proceed to the DVC for approval. The HoS will determine whether an application satisfies the conditions at clause 21.a.

Endorsement and Approval

(23) On assessing applications, the HoS will determine and advise the applicants in writing whether the application:

  1. receives unconditional endorsement pending approval by the DVC;
  2. is endorsed with specified conditions which must be incorporated prior to approval by the DVC and commencement of SSP;
  3. is not endorsed, but the applicant be granted an opportunity to revise and resubmit their application to the HoS for consideration; or
  4. is rejected outright.

(24) The HoS will provide to the applicant, in writing, the reasons for rejection or the matters requiring amendment prior to resubmission of an application.

(25) The HoS will forward to the DVC a ranking of all applications from their School for SSP.

(26) The DVC will assess applications that have been endorsed by each HoS, with reference to the academic merit of the application and its alignment with the University's strategic priorities.

(27) The DVC will consider rebuttals against a decision of a HoS concerning the academic merit of an application and will determine whether the application should be reconsidered for approval.

(28) An application is only considered approved once authorised by the DVC.

Financial Assistance

(29) Staff on SSP will be entitled to financial assistance as determined by the University on an annual basis.

(30) HRS will publish on the web site relating to SSP, the level of financial assistance available each year. This will vary depending on the location and duration of periods away from the applicant's normal place of employment/deployment.

(31) The funds available for SSP places will be determined in advance as part of the annual operating budget of the University, and will be administered by the Director, Human Resource Services (DHRS).

(32) The number of applications approved in a calendar year will be limited by the funds available in the University annual operating budget and determined by the DVC taking into account the nature of the applications received and the capacity of the School to maintain normal teaching/administration operations.

(33) Schools may choose to allocate funds in their annual operating budget to supplement SSP beyond that provided for centrally, with the HoS having responsibility and discretion in the allocation of these funds.

(34) Staff members on SSP must remember that University policy requires first and foremost that the purpose of a UNE-paid trip is for business purposes.

(35) If a staff member and partner are both employed at the University and both apply to undertake a SSP, they shall be treated as separate applicants for financial assistance.

(36) If a staff member will be travelling on SSP with one or more dependents, the staff member should check with HRS the level of additional financial assistance.

(37) If a staff member receives funding from the University, this will be transferred into their Academic Pursuit Fund (APF) at the time of their SmartBook booking. If a staff member does not have an APF, they must set one up (refer to Financial Services website).

(38) Staff members must book their travel and accommodation through the SmartBook booking tool. The cost code in this booking will be the APF account. When this booking is approved by HRS, the funding will be transferred into the staff member's APF account.

(39) If a staff member is unable to book their accommodation through the SmartBook booking tool, they must pay for their accommodation using a UNE corporate credit card. The transaction will then appear in ProMaster and need to be acquitted.

(40) Where the staff member does not return to normal duties as required under Clauses 56 & 57 of these procedures, the staff member will repay to UNE any SSP financial assistance (or appropriate proportion thereof, as determined by the HoS and DVC).

Additional Financial Support

(41) Staff may utilise other University funds to which they have access, such as research grants, in order to contribute towards travel and accommodation expenses not covered by the travel grant or accommodation allowance, provided they comply with University policy and the conditions of expenditure of such funds.

Application for Financial Assistance

(42) To apply for financial assistance, the following must be provided:

  1. the staff member's travel itinerary as provided by UNE's travel provider;
  2. a budget for the total amount claimed against each funding source, including an itemised list and associated cost; and
  3. justification of the budgeted expenditure, such as the Australian Taxation Office's (ATO) City/Country Cost Groupings, or evidence of the cost of living at each location in the approved SSP itinerary.

Taxation

(43) All applicants are referred to Australian Taxation Office (ATO) rulings or their tax advisor regarding matters including: claiming appropriate expenses, compliance with any substantiation provisions for travel or other work-related expenses, maintenance of a travel diary.

Prior to Commencement

(44) At least four weeks prior to commencement of SSP, staff members who supervise postgraduate research students must submit the form advising of the arrangements that have been made for the supervision of their postgraduate students, through the HoS, to Research Services.

(45) An SSP must incorporate a period of pro-rata annual leave within the proposed SSP period unless a case for exemption is made and accepted. Such annual leave will form part of the total SSP period.

  1. applicants must submit requests to their supervisor for annual leave as per their approved SSP itinerary via Web Kiosk, prior to commencement of SSP.
  2. public holiday entitlements will be those applicable in the country in which the staff member is undertaking SSP when the holiday occurs (rather than as gazetted for Australia).

(46) Applicants should note the FBT requirements with respect to personal leave days, which are days on which staff members do not undertake Official University Business.

(47) An up-to-date traveller's itinerary must be submitted to HRS.

Variations to Approved SSP

(48) A variation requiring substantial change to the focus of the SSP must be submitted to the HoS for endorsement and the DVC for approval.

(49) A variation that is made before SSP commences that does not involve substantial change and does not impact on the approved financial assistance does not require approval, but the HoS and HRS must be notified of the final arrangement prior to the commencement of SSP.

(50) Variations required following commencement of SSP and/or variations that result in a change to financial assistance required, must be approved by the HoS and submitted to HRS.

(51) It is the responsibility of the staff member to ensure that their travel insurance remains valid after the variation.

Unforeseen Interruptions in the SSP Period

(52) The University may direct a staff member to postpone or interrupt a period of SSP. Before doing so, the relevant University officer/s will consult staff in the affected area and explain the reason. If such a direction is issued, the staff member will usually be permitted to undertake SSP in the next available period and will continue to accrue SSP up to a maximum of twelve months.

(53) While on SSP, and only in cases of extreme urgency, a staff member may be asked by the University to assist in a specific situation. In these circumstances appropriate expenses will be paid.

(54) A staff member on SSP may apply for leave (other than long service leave) as allowed for under University policies. Such leave will normally be deemed to be part of the total SSP period and must be applied for through the Head of School.

(55) Where more than five consecutive working days are lost to the SSP for unforeseen interruptions, the staff member may apply to extend the SSP period or to have the days re-credited (although no additional financial assistance will be provided for re-accredited days).

Return to Service

(56) Academic staff undertaking SSP are required to return to normal duties for a period of time equal to at least the period of time spent on SSP.

(57) Where a staff member resigns from UNE while on SSP, he/she will be expected to return to UNE within one week to resume normal duties for the duration of the term of notice.

Reporting

SSP Report

(58) Within two months of return to normal duties, the staff member must complete and submit an SSP report to the HoS and HRS following the format of the template provided. The report will include:

  1. a short summary of achievements (200 words) for inclusion in the Summary SSP Report presented annually to Academic Board;
  2. a summary of activities undertaken and contacts established or developed;
  3. a summary of progress towards original outcomes and goals;
  4. any additional outcomes or goals;
  5. plans for publicising outcomes through peer-reviewed outlets; and
  6. a financial report providing details of any outside earnings and other assistance, including research grants, travel grants and/or scholarships, which relate to the value of travel and accommodation, received by the staff member during SSP.

(59) A staff member who accepts a position with an external body must comply with the UNE's Paid Outside Work Policy.

(60) The University reserves the right to seek clarification of grants and earnings received while on SSP.

(61) The University may seek repayment of the travel grant if, in its view, the financial assistance received is not consistent with University policy or with the goals of the SSP program as set out by the staff member.

(62) The HoS will provide an evaluative comment on the report within four weeks of submission. The staff member will sign that they have seen the evaluative comment and submit it to HRS.

(63) A copy of the report, together with the HoS's comments, will be forwarded to the DVC for information.

(64) A supplementary report may be submitted to the HoS, at any time.

(65) If the report is not submitted within two months of returning to normal duties, further SSP accrual will not commence until the date on which the report is submitted to the HoS.

(66) Where there is an outstanding report, no further application for SSP will be considered.

(67) A staff member may apply to the HoS for an extension to the date for the submission of the report.An extension will not normally be given retrospectively.

Compliance

(68) If the staff member does not comply with SSP reporting requirements within six months of the return to normal duties at UNE and no extension has been approved, disciplinary action may be taken against the staff member. Such action may range from initiation of Unsatisfactory Performance procedures, to recovery of any financial assistance provided for the SSP.

(69) Applicants must acknowledge their affiliation with UNE in all publications resulting from SSP.

(70) A deliberate misrepresentation in an application or report under this policy, or failure to make a good faith attempt to carry out the approved SSP program may constitute unsatisfactory performance or misconduct, as defined in the Collective Agreement, depending upon the gravity of the case.

(71) Actions taken in respect of SSP will be subject to the University's monitoring and compliance framework.

(72) Where a staff member does not return to normal duties as required under clause 55 of this procedure, the staff member will repay to UNE any SSP financial assistance (or appropriate proportion as determined by the HoS and DVC).

Records

(73) A copy of the report, together with the HoS comments, will be recorded on the staff member's personal file, together with all other documentation relating to a staff member's SSP.

Responsibilities

(74) The Vice-Chancellor is responsible for approving the policy.

(75) The DVC is responsible for:

  1. overseeing the development, review and implementation of the policy, procedure, guidelines and forms for SSP, in partnership with Academic Board , the Academy, and HRS;
  2. approving the SSP procedures, guidelines and forms;
  3. convening and chairing an SSP Advisory Group, the membership of which will be determined on a needs basis, when required;
  4. the final approval of all SSP applications;
  5. receiving and assessing rebuttals to unfavourable determinations on an SSP application by a Head of School; and
  6. providing unsuccessful applicants with feedback when requested.

(76) An SSP Advisory Group, membership constituted on a needs basis, is responsible for providing advice and support to the [Undefined Division/Position]DVC on a determination of an SSP application when deemed necessary. This may be at the request of an unsuccessful applicant or a HoS.

(77) The HOS is responsible for:

  1. including in the annual School operational budget an allocation to support SSP where appropriate;
  2. working with applicants in the development of applications;
  3. receiving and considering SSP applications, including on the operational and budgetary constraints of the Cost Centre, the benefit to the University and to the staff member;
  4. providing feedback to applicants whose applications are not endorsed;
  5. providing a supporting report and ranked applications based on merit to the DVC for approval;
  6. approving variations to approved programs and actioning subsequent variation to financial support as appropriate, and reporting all approved variations to the DHRS; and
  7. preparing an annual report to the DVC showing the benefits the School has derived from the previous year's SSP activity, with reference to that which was originally approved.

(78) The DHRS is responsible for:

  1. in conjunction with the DVC, developing guidelines and forms for SSP; and
  2. overseeing the administration of these procedures as directed by the DVC.

(79) Staff members approved for SSP are responsible for:

  1. raising with their supervisor and HoS the intention to apply for SSP during the annual PPDR;
  2. abiding by the conditions of SSP;
  3. abiding by all UNE policies and procedures;
  4. submitting a SSP report and a financial report within 2 months of returning to normal duties; and
  5. maintaining contact and engagement with the university while on SSP and responding to any matters that require attention.

Appeals

(80) If the Hos does not endorse the application on the basis of resources or strategic alignment, there is no right of appeal on that ground.

(81) If the HoS does not endorse the application on the grounds of academic merit and relevance of the proposal, the applicant has a right to submit a rebuttal with their application to the DVC, providing a copy to the HoS.

(82) The final decision on the academic merit and relevance of the proposal is a matter for the DVC.

(83) If the staff member is not successful in their application for SSP and wishes to lodge a grievance in relation to their treatment throughout the SSP application process, they should do so within five (5) days of the decision being delivered to them and in accordance with the grievance and dispute settlement procedures outlined within Section 52 and 53 of the University of New England Academic Staff-Union Collective Agreement 2010-2012 or the replacement Collective Agreement.

(84) For further information, please contact Human Resource Services at: HRS-AcademicServices@une.edu.au.

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Section 4 - Definitions

(85) Accrual of Service —the length of time identified as being available for future SSP should the applicant meet the criteria for approval.

(86) Dependent —accompanying dependent spouse/partner and/or children.

(87) Deputy Vice-Chancellor (DVC) —the DVC or nominee.

(88) Head of School (HoS) — also Director of Centre, Head of Cost Centre or equivalent.

(89) Collective Agreement —The University of New England Academic Staff — Union Collective Agreement 2010—2012 or replacement Collective Agreement, as applicable.

(90) Normally - that it is the default position that must be followed unless exceptional circumstances exist that require a departure from the default position, as determined by the policy administrator acting reasonably.

(91) School - School and other organisational units such as Oorala, Learning Innovations Hub and UNE research centres.

(92) Staff — a staff member, who is not a casual employee, and is covered by The University of New England Academic Staff — Union Collective Agreement 2010—2012, or the replacement Enterprise Agreement.

(93) Supervisor - the role to whom a position reports