Employment of Heads

Guide to Governing Bodies in Employing Heads of Colleges and Halls

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No decision that a Governing Body of a College or Hall makes is more important than that which appoints the college Head. It is not difficult to enumerate the qualities sought in a Head – a person of academic distinction and/or standing within the University and the community; a person with qualities of character, especially the ability to bring out the best in people; a person of administrative competence and ability.

If the appointment of the right person is essential, then the process by which this appointment takes place is no less important. At the time of advertising a position and interviewing candidates, a Governing Body has many expectations of what it hopes the new appointee will accomplish. The appointee also has his or her hopes and dreams. Some of these expectations are stated in the advertisement, some become the subject of discussion during the interview process, and still others are formalised in the duty statement given to the appointee when taking up the position. The basis for mutual satisfaction of Governing Body and College Head in the subsequent performance of the appointee can be found in a series of documents that fully recognise the special responsibilities of the position and provide the best conditions for realising them. All too often in the urgency to have the appointee take over, important elements of the negotiations are overlooked.

The Association of Heads of Australian University Colleges and Halls Incorporated has developed this document which it hopes will assist both Governing Bodies and appointee Heads to undertake these negotiations as conclusively as possible. The document is divided into three sections. Not every clause in every section will apply to every Head of College or Hall – self catering colleges, for example, will have no use for arrangements relating to catering. However, we hope that both Heads and Governing Bodies will consider the document and attempt to draw up their various documents having considered all the elements raised.

1. Role and Responsibilities of a Head of College or Hall of Residence

This section describes the role and various responsibilities of a Head of College or Hall. It distinguishes between leadership tasks, which are common to all Heads, and management tasks, some or all of which the Head may undertake directly or through other staff members, depending on the size or complexity of the College or Hall. In Colleges or Halls where the numbers of staff are limited, the Head may have a direct role in providing services to residents; in larger Colleges or Halls with more complex staffing arrangements, the Head’s involvement may be directed through others. In both kinds of Colleges or Halls the Head has primary responsibility for leading the organisation, whereas the direct supervision of, and delegates responsibility for, management roles and tasks may vary considerably between Colleges and Halls.

We hope that Governing Bodies will make use of this document with its clear delineation of leadership and management responsibilities when writing duty statements and establishing criteria for appointment

2. Terms and Conditions of Employment of a Head of College or Hall of Residence

This section is a guide to the terms and conditions of employment of Heads. It covers matters such as tenure, remuneration, and benefits. We hope appointee Heads and Governing Bodies will find it useful in establishing the terms and conditions under which the head is employed.

3. Appointment, Review & Reappointment of a Head of College or Hall of Residence

The third section describes the process University Colleges Australia recommends in appointing or reappointing a Head. In these increasingly litigious times it is incumbent upon all parties to undertake the negotiations professionally and equitably. If there is a common failing among parties at the time of appointment it is to establish clearly the criteria on which future reviews will take place. Any appointee is entitled to know at the time of appointment the grounds on which the Governing Body will establish whether or not his or her performance is satisfactory, leading to the appointment being confirmed, further reviewed or terminated. Failing to establish these grounds at the time of the initial appointment will place an appointee at a serious disadvantage and leave a Governing Body open to a charge of unfair dismissal should reappointment subsequently not take place.

ROLE AND RESPONSIBILITIES

OF A HEAD OF COLLEGE OR HALL OF RESIDENCE

The role of a college Head is complex, with many apparently conflicting responsibilities. This section represents an attempt by University Colleges Australia to codify what is expected of a Head, so that both the Head and interested parties may better appreciate the wide range of tasks to be undertaken.

Put simply, the role of a Head of College or Hall is to provide the optimum residential environment for a student to succeed at University. University Colleges Australia sees this primary function as having two major components: a leadership role and management supervision. The balance of these roles varies with the size of the College or Hall and the prevailing management structure. In Colleges and Halls where the numbers of staff are limited, the Head may have a direct role in providing services to residents; in larger Colleges and Halls with more complex staffing arrangements, the Head’s involvement may be directed through others. In both kinds of Colleges and Halls, the Head has primary responsibility for leading the organisation, whereas the direct supervision of, and responsibility for, management roles and tasks may vary considerably between Colleges and Halls.

This section, therefore distinguishes between leadership tasks, which are common to all Heads, and management tasks, some or all of which the Head may undertake directly or through other staff members, depending on the size of the College or Hall.

A Head’s role encompasses eight major areas. Leadership within these areas, however, is not undertaken without constraints. Beyond the usual limits of time and money, are the expectations of Governing Bodies and Universities as well as those of parents and students, the requirements of statutory bodies and regulations, the need to be sensitive to prevailing community standards, as well as to the professed ideology of the College or Hall or the less formalised ethos which may have developed over decades of operation. As leader of the community, the Head has to negotiate between these often conflicting and sometimes unrealisable expectations to secure the optimum environment for residents as well as the security and viability of the College or Hall.

Following are details of the leadership and management tasks contained within the eight major areas that constitute a Head’s role.

Area of Responsibility	Leadership Tasks	Management Tasks
1. Vision
	1.1 plan to meet projected requirements; anticipate and identify future trends	1.1.1 undertake strategic planning; develop challenging and achievable plans for Governing Body approval
	1.2 optimise present facilities; set goals – raise standards	1.2.1 manage residence to achieve agreed strategic plans
	1.3 share the vision – make the mission “real”	1.3.1 motivate residents and staff
	1.4 interpret and promote College/Hall ethos	1.4.1 reflect and promote College/Hall ethos on College/Hall occasions and in College/Hall activities, eg in all College/Hall communications with residents and resident groups, and in promotional literature and handbook
	1.5 ensure congruence of values – values of Head must be congruent with College/Hall ethos	1.5.1 College/Hall ethos is reflected in the interaction of the Head with the Governing Body, individual residents and resident groups
2. Planning & Financial	2.1 Undertake financial planning	2.1.1 establish budgets 2.1.2 exert financial control 2.1.3 establish accountability procedures 2.1.4 develop a maintenance program
	2.2 optimise utilisation of resources	2.2.1 establish a debt reduction program 2.2.2 provide resource protection eg: insurance, depreciation and/or contingency reserves, assets register 2.2.3 promote conference trade as an ancillary activity to optimise the use of facilities and thereby provide extra resources – financial and physical – for the benefit of residents. (see also #4.1)
	2.3 maintain appropriate staffing policies & structures including review procedures	2.3.1 select, train and develop staff with a view to the quality of the College/Hall operation, equality and job satisfaction for staff 2.3.2 negotiate contractual agreements if appropriate
	2.4 mandate quality procedures and standards	2.4.1 evaluate all aspects of College operations against TQM principles
	2.5 promote the College/Hall within and without the College/Hall, University & community	2.5.1 ensure the College/Hall is promoted through its literature and activities and through occasions which reflect the College/Hall in a positive light 2.5.2 encourage the development of foundation/alumni associations
	2.6 ensure statutory compliance	2.6.1 review policies in light of Government regulations relating to health & safety, equality, harassment etc
	2.7 ensure procedures are in place for crisis management	2.7.1 establish procedures for crisis management (eg: death/suicide of a resident, incident involving criminal activity, charge of harassment against senior staff member, etc)
3. Accommodation	3.1 ensure appropriate standards of accommodation and supporting facilities	3.1.1 provide student rooms which are secure, comfortable, clean and conducive to study and sleep; “a home away from home” 3.1.2 provide buildings which are attractive, convenient, optimally arranged, properly services and maintained 3.1.3 provide grounds which are attractive, tidy, and conducive to active and passive recreation 3.1.4 provide common facilities which are supportive of residents’ academic and social needs (see also #4 and #5)
4. Facilities & Services	4.1 exploit the possibilities inherent in communal dining and ensure quality in catering provided	4.1.1 provide attractive, nutritious meals prepared in a hygienic manner; menus meeting different dietary needs and conducive to social interaction; meals supportive of developing residents’ appreciation of food quality and variety; and the notion of dining as a social activity
	4.2 utilise conference trade as the pretext and means for the development of residential facilities	4.2.1 develop conference trade ancillary activity to optimise the use of facilities and thereby provide extra resources – financial and physical – for the benefit of residents
	4.3 provide for a variety of social and recreation needs of residents	4.3.1 provide the following facilities as appropriate to the mission of the College/Hall: teaching areas and equipment; libraries and learning resources; computer rooms, games and recreational facilities and equipment; kitchenettes, party rooms, laundries, bike sheds
5. Academic	5.1 ensure the primacy of academic focus, with emphasis on accountability and accessibility	5.1.1 provide relevant support through qualified tutorial staff
	5.2 provide academic opportunities	5.2.1 provide appropriate facilities and support, eg library, computers, tutorial and study rooms
	5.3 promote University interaction	5.3.1 provide interactive opportunities, eg faculty dinners
Educational Programs	5.4 promote personal development	5.4.1 provide social awareness programs eg: drugs, sex, alcohol, AIDS, harassment etc 5.4.2 develop cultural awareness eg: through theatre trips, opera, ethnic festivals 5.4.3 promote intercultural activities amongst residents 5.4.4 promote intellectual pursuits eg: debates, chess, writers-in-residence, workshops, etc
	5.5 provide educational opportunities to the University community and on behalf of the University to the wider community	5.5.1 provide public lectures and debates, music, drama, events
6. Community Life & Pastoral Care	6.1 provide a caring environment for residents and staff 6.2 establish clearly understood behaviour standards 6.3 act as advocate for residents or staff when appropriate	6.1.1 appoint general staff and specialist staff (eg: chaplains) who can provide pastoral care 6.1.2 provide Orientation Programs which emphasise peer group caring and promote student leadership 6.1.3 develop programs which promote resident to resident care 6.1.4 develop a crisis care safety net 6.2.1 provide moral and practical support to residents and staff in appeals to University and civil authorities where this can be undertaken in good conscience 6.3.1 provide a community environment which is supportive of minorities 6.3.2 provide a community environment which is supportive of minorities
	6.4 promote debate regarding ethical issues and socio-political considerations	6.4.1 provide a community environment which is aware of national and international crises and accepts some personal and communal responsibility towards these events
7. University	7.1 promote interaction with University; establish credibility with University	7.1.1 seek membership on University committees 7.1.2 seek “visibility” of the College/Hall and the Head within the University 7.1.3 undertake an advocacy role with University authorities on behalf of the College/Hall and/or individual residents (see also 6.3) 7.1.4 invite University personnel to College/Hall functions 7.1.5 contribute to University life and foster public debate (see also 5.5)
8. Personal	8.1 be active in pursuing personal responsibilities	8.1.1 clarify your understanding of the terms and conditions of your employment, including criteria for review or reappointment 8.1.2 clarify your needs and expectations when negotiating with your employer 8.1.3 reserve adequate personal time and space 8.1.4 seek privacy for self and family
	8.2 be active in undertaking professional development and in considering career alternative	8.2.1 regularly attend conferences or undertake other professional education and opportunities 8.2.2 maintain and update professional associations and qualifications

TERMS AND CONDITIONS GOVERNING THE EMPLOYMENT OF

HEADS OF COLLEGES AND HALLS OF RESIDENCE

The Association of Heads of Australian University Colleges and Halls Inc recognise that there are, across the many institutions, differing governing configurations to which the Head of College or Hall is responsible. This document recognises these differences but believes that basically similar principles should apply to the terms and conditions of Heads.

1. Tenure

A Head will normally have previously held a significant vocational position prior to appointment as a Head. It is in the interests both of the College or Hall and the Head that the Head’s total attention be devoted to the affairs of the College or Hall and to the professional development of the Head in the Head’s new role. A Head should therefore be full-time in a permanent position. In any event there should be clarity and written agreement as to:

whether full-time or part-time; in each case it should be clear what is encouraged, permitted or excluded in terms of outside employment;
the period of appointment;
whether or not there is a probationary period;
any method of review, and
the method of termination of appointment.

2. Duties and Responsibilities of the Head

It is essential for good relations between the Head and the Governing Body, and for the good administration of the College or the Hall, that the Governing Body and the Head should clearly understand and observe their respective areas of responsibility. The Governing Body is ultimately responsible for establishing policy and for finance. The Head should be given sole responsibility for the academic, administrative and pastoral oversight of the College or Hall, and should be given full support in this by all members of the Governing Body.

Procedures should be established to ensure that the Governing Body does not need to become involved in issues relating to the day to day administration of the College or Hall or to receive direct representations from individuals. Direct lines of communication should be clearly understood by both parties.

3. Relocation Expenses

Appropriate provision needs to be made to relocate the Head and any spouse and family upon the commencement of the appointment. Such provision will include fares and removal expenses for furniture and vehicle, and may include the cost of transit accommodation, school fees, or other costs incurred by the Head as a result of the move. In any case provision for relocation expenses should cover not less than those covered by the policy of the University concerned.

4. Salary

University Colleges Australia considers that the salary component of a Head should be in the range of Associate Professor to Professor. Adjustments should take place in line with University scales and conditions. This salary is in addition to, and quite separate from, the provision of free housing, any meals, use of motor vehicle, travelling and entertainment, study leave, etc.

5. Housing

Since the duties of the Head will normally require the Head to be resident in the College or Hall, the College or Hall should provide an adequate residence to meet the family and official needs of the Head and to ensure that the Head and the Head’s family have adequate privacy.

It should be recognised that the Head’s duties generally require residence within the College or Hall and in a very real sense the Head is thus always on call. This situation amounts to a surrender of freedom of choice on the part of the Head and the Head’s family to live away and apart from the Head’s place of employment. Appropriate housing should be provided rent-free with any Fringe Benefits Tax to be the responsibility of the College or Hall.

University Colleges Australia's annual surveys reveal that the majority of Heads are provided with rent free accommodation.

6. Entertainment Allowance

The Head will be required to entertain for College or Hall purposes and should receive an entertainment allowance or budget in addition to salary, but assessed as a percentage of salary to ensure its automatic adjustment.

7. Car Allowance

Generally the Head requires the use of a car to perform various duties. This need should be met by the College or Hall providing the Head with a car.

University Colleges Australia's annual surveys reveal that the majority of Heads have either exclusive or shared use of a College or Hall vehicle.

8. Superannuation

A College or Hall should seek admission of the Heads to the SSAU and TESS. In any case, the terms offered to its staff should be no less beneficial in terms of contributions and benefits than those offered by the University SSAU and TESS schemes.

9. Leave

The Head should enjoy the same leave conditions as University staff. Annual leave, long service leave, parental leave and special study leave should be provided.

10. Support Staff

Adequate support staff should be provided, in order that the Head can take reasonable time off during the week (especially at night) and at weekends and can take annual leave as it falls due, in the secure knowledge that the College or Hall is properly administered in the Head’s absence. The office should be adequately staffed by competent salaried employees and the accommodation and services provided for support staff should be in accordance with their positions.

11. Sabbatical Leave

* * *

Prepared by the Standards Board of the Association: Standard S3 (approved Biennial Conference, 1991); amended by the Executive in 1995; and proposed for adoption by the Association at its AGM, Canberra, September 1995.

APPOINTMENT, REVIEW AND REAPPOINTMENT OF A

HEAD OF COLLEGE OR HALL OF RESIDENCE

The appointment of a Head may be thought of as an on-going process. There is the initial process of determining the criteria for appointment, advertising, interviewing and finally making an appointment. The process should not end there, however. University Colleges Australia expects appointees to be reviewed from time to time, either informally or formally, to encourage, assist, and offer guidance for the maintenance or improvement of performance and to provide support for the person holding this key position which brings special demands, stresses and strains to the incumbent. Reviews may be formal or informal, but ideally will engage both the Head and the Governing Body in a mutually supportive dialogue during the entire period of employment.

The essential elements in this process are identified below.

1. Appropriate statement of duties for the position of Head

Colleges and Halls of Residence within Australian Universities vary in size, structure, and headship. While the majority are directed by a full-time Head, others are supervised by Heads who are part-time, and, in some cases, might best be described as ‘spare time’ Heads. (Part-time Heads, however, are usually supported by full-time managers). Despite this diversity, an appropriate statement of duties for a Head of College or Hall is essential. (A sample of an appropriate Duty Statements is included as an Appendix to this section).

2. Institutional processes for the appointment of a Head

University Colleges Australia's expectations with regard to the appointment of a Head of College or Hall are that:

all institutions, whether public or private, shall advertise the position nationally in appropriate publications and all applicants shall be provided with a written statement of terms and conditions, duties and responsibilities;
an appropriate selection committee be appointed. (It would be appropriate, in University Colleges Australia's view, for a student member of the College or Hall and a current or former member of the Association of Heads of Australian University Colleges and Halls Inc. to be invited to join the selection committee);
appropriate selection criteria be established;
the process of interview and selection be carried out with fairness to all applicants, bearing in mind the particular needs of the College or Hall (eg; its religious affiliation).
That the person selected for appointment be offered a written agreement which makes specific reference to the various terms and conditions dealt with in the section entitled Terms and Conditions Governing the Employment of Heads of Colleges and Halls of Residence.

3. Institutional processes for the review of a Head

Where a position is tenured, the initial appointment is usually probationary and requires a review to confirm the appointee in the position. Contractual appointments, while limited in time (generally 3-5 years), also usually allow for reappointment of the incumbent following a review. Furthermore, in recent times it has become the practice to regularly review staff as a means of ensuring and rewarding quality performance. The review process may be informal.

The appointee should be given the opportunity, with the chairperson of the Governing Body or advisory board, to appraise progress achievements, and difficulties after a first year of office; and together they should review goad setting for the following year. This provides a positive process through which the appointee can reflect upon the year, including his or her performance, and enable him or her to make adjustments as necessary. This process could be followed each subsequent year.

If an appointee is to be formally reviewed, the criteria that form the basis of the review should be agreed upon at the time of the initial appointment by the appointee and representatives of the governing body. In the absence of such agreed criteria, the review should take place within the terms of the duty statement of the appointee.

If after such formal appraisal, the review committee is unhappy with the appointee’s performance, then the committee should:

inform the appointee of the areas of his/her performance which are considered deficient;
mutually identify the steps needed to correct these deficiencies;
specify the standard of performance which is necessary to satisfy the committee, and ultimately enable the Head to secure reappointment;
propose a realistic time frame in which the appointee may undertake the necessary and agreed changes;
establish a process of ongoing review.

It is important that the appointee be reviewed by a committee which can knowledgeably evaluate his or her performance. Above all, the appointee should feel comfortable with the composition of the committee and believe he or she will receive a fair hearing. To this end University Colleges Australia recommends that:

the committee should include all the stakeholders in such an enterprise, together with others except in the area;
a representative of the Governing Body, and, where one exists, a representative of the advisory board;
a representative of the staff of the College or Hall;
a representative of the resident members;
a member of the Association of Heads of Australian University Colleges & Halls Inc. University Colleges Australia would be pleased to propose a selection of names of appropriate Heads of Colleges or Halls, one of whom could be selected to serve on the committee;
an outside representative, from the University or wider community (eg: from an affiliated church or service organisation), not being a member of the Governing Body or advisory board, who is knowledgeable about the College or Hall, its functioning and contribution to the University and wider community.
The appointee should be given the opportunity to recommend members of the committee or to veto the names of any proposed member(s) he or she believes to be prejudiced.

4. Institutional processes for the reappointment of a Head

University Colleges Australia's expectations with regard to the reappointment of a Head of a College or Hall are that:

An appointee may reasonably expect to be reappointed at the end of his or her contract period if there has been no indication prior to this point that his or her performance is deficient. To fail to reappoint an appointee who had not previously been advised of performance difficulties would seem to be a denial of natural justice.
If the appointment has been made with a review process established, then a review date, well in advance of the date of reappointment (perhaps one year), should be established for the purpose of evaluating the appointee for reappointment.
In cases where the reappointment is to be a formality, it should take place as quickly as possible. The appointee should be advised if further appointment is possible and under what conditions.

Note: It may also be appropriate at the time of review to reappraise the conditions of employment. If quality has been assured and improved during the term of appointment, or if there has been a significant increase in responsibility through such things as increases in student numbers, enhanced business/conference activity, or an enlarged budget, some recognition of this by way of improvement in remuneration and conditions would be appropriate.

APPENDIX

A statement similar to the one offered below reflects a widespread understanding of what constitutes an appropriate statement of duties for a Head of College or Hall.

1.1 The Head of College or Hall is the Chief Executive Officer responsible to the Governing Body and/or Advisory Board for all aspects of the academic and pastoral oversight, professional management and cost effective conduct of the operations of the College or Hall to achieve its stated mission and objects.

1.2 The Head reports to the Governing Body and/or Advisory Board and carries out the duties and responsibilities of this key position under the general direction of the Governing Body.

1.3 The principal accountabilities associated with the position of Head of College or Hall are:

i. as the chief executive officer and senior member of the community, to articulate a vision and develop a collegiate ethos to promote the mission and objects of the College or Hall;

ii. to ensure that academic and pastoral support, fostered through collegiate activities, structures, personnel and the provision of suitable amenities and services for the student residents, compliment and supplement the stated mission and objects of the College or Hall;

iii. to ensure that the College or Hall is operated cost-effectively through the efficient management of its financial, physical and personnel resources and business enterprises;

iv. to appoint and supervise the staff of the College or Hall with appropriate attention to performance management, equal employment opportunity, workplace health and safety, staff development, employee relations and duty of care priorities;

v. to offer membership of the College and Hall to students seeking residence and to foster the academic progress of resident members by providing appropriate support through tutorial programs and other support facilities;

vi. to foster social, cultural, educational and sporting activities appropriate to a collegiate university residence;

vii. to represent the College or Hall within the University and wider community.