Professional and Consultative Work: Policy Requirements

No member of staff should, without the permission of the Vice-Chancellor, become a director of a company, whether public or private, except companies which are charitable and not for profit, (such as schools or companies formed to deal solely with private affairs) or become a partner or principal in a firm or partnership of a commercial nature.

Requests for permission to hold a directorship or other commercial positions, including those within public agencies, will be considered by the Vice-Chancellor on the advice of the Dean (or other appropriate officer) after recommendation by the Head of School. In the case of Deans, a direct request should be made to the Vice-Chancellor. The time commitments associated with a directorship must be included within the time allocation for professional and consultative work. For general staff members without provision for consulting within their employment contract this activity must be out of working hours.

Such an appointment shall not conflict with a person's academic or administrative responsibilities or their duties or responsibilities as a member of the staff of UWA. It should also advance good relations between the University and the organisation concerned. Heads will review permission to hold such positions every two years.

No public statement must be made by staff in regard to issues dealt with by the company, except where the staff member is identified as acting in their capacity as a director rather than as a member of the University. (Refer to Guidelines on Public Comment by University Staff).

For each instance of professional and consultative work members of staff must obtain written approval from the Head of School on the appropriate application form, providing details of the proposed work. In the case of ongoing work for a single organisation approval is required only annually. The approval process must specify whether the work will be undertaken as a University Consultancy or a Private Consultancy. In approving the consulting work the Head of School is indirectly confirming that the staff member is satisfactorily performing their normal duties in accordance with the contract of employment.

Staff are advised that when engaging in work on a private basis (Private Consultancy) they are not covered by the University's insurance policies and will require Workers' Compensation, Public Liability and Professional Indemnity insurance (see B – 33.1.14.3.2). They must also complete an indemnity, a pro forma of which is attached as part of the application form, absolving the University of Western Australia from any liability. In those cases where the University receives payment, the University's insurance policies offer sufficient cover to the consulting staff member. In approving a Private Consultancy the Head must feel confident that the arrangements made do not put the University at risk. (Refer to B – 33.1.14 on Legal and Financial Protection.)

There may be instances in which it is in the best academic interests of the University and its students to establish a formal agreement with a company owned and operated by one or more individuals who are also members of the University staff. This is a form of Private Consultancy and, in such circumstances, it is essential for the Head of School and Dean, through the University's Legal Office, to prepare a formal memorandum establishing the relationship.

The Head of School shall approve or not approve the "Application to Undertake Professional and Consultative Work" giving written notice within seven (7) days, where practicable. A photocopy of the application form signed by the Head will suffice as notice of approval.

Should the Head of School not approve the professional or consultative work then the staff member may ask for the Dean (or other appropriate officer) to review the decision. The review process requires a copy of the application form together with a statement as to why permission should be granted, and a statement from the Head of School detailing reasons for not approving the request. The Dean (or other appropriate officer), will decide, where practicable, within seven (7) days of receipt of the submission.

Heads of School wishing to undertake professional and consultative work should seek approval from the Dean (or other appropriate officer). Deans wishing to undertake such work should seek approval from the Senior Deputy Vice-Chancellor.

Should staff members accept professional and consultative work without approval, this will be deemed to be misconduct and subject to disciplinary action. Heads should obtain advice from the Director Human Resources before embarking on this course.

Prior to signing the application form as approved, the Head of School must be satisfied that all sections are fully completed (including signatures). Incomplete forms should be returned to the applicant for completion.

For its broader reporting requirements to Senate for research funding planning, and to support the accountability process for audit and other purposes, the University requires completion of the following forms:

1. Application to Undertake Professional and Consultative Work (refer to Sections B – 33.1.13.2.1 to B – 33.1.13.2.8 and Application to Undertake Professional and Consultative Work.

2. Staff Members Annual Activity Return to the Head of School

   At the conclusion of each calendar year the Head of School must request the completion of an Annual Activity Return from all members of academic staff and from those members of the general staff whose contracts provide for participation in professional and consultative work.

   Completed returns are to cover the twelve month period to the end of December.

   Nil Returns: Staff eligible to engage in professional or consultative work as defined in this policy but who have not done so are still required to complete an Annual Activity Return by ticking the 'No' box.

3. Annual School Activity Report to the Vice Chancellor.

   The aggregate of information appearing on staff members returns as per B – 33.1.13.4.1(b) must be summarised by the Head of School onto a School Activity Report which is then forwarded to the Dean (or other appropriate officer). It is the responsibility of the Dean (or other appropriate officer), upon receipt of all School Activity Reports from Heads of Schools, and by 20th February each year, to forward these on to the Vice Chancellor. Reports will be held in the Vice Chancellery for a period of two years.

Clear and accurate reporting within the above forms is essential.

As part of a University Consultancy the full costs of power, space and equipment must be recovered and reimbursed to the School. This includes the costs of any secretarial and/or technical support (including on-costs) together with all consumable items (including stationery, postage, telephone charges, fax, photocopy, email and travel). It is the responsibility of the Head of School to ensure that the costs are recovered in accordance with a set of standard charges to be developed within each school.

Where the consulting is done in a private capacity no University letterhead, stationery, postal address, phone number, fax number, email address or Web address is to be used, nor any other information that might associate the University with the Private Consultancy. In ordinary circumstances neither will the staff member use any University facilities (power, space, equipment and consumables). However, in circumstances where a Head of School agrees to the use of University facilities for a Private Consultancy, they must ensure reimbursement of the full costs. If it is determined that the staff member has used University facilities (power, space, equipment and consumables) without approval they may be subject to disciplinary action.

It is to be noted that in a University Consultancy the revenue is returned to a School account and is considered to have been done by the individual on behalf of the University. It is therefore University income and does not attract taxation. A University Consultancy also provides liability coverage for the staff member(s) concerned (see B – 33.1.14.3.1 and B – 33.1.14.3.2). When work has been done as a University or School Consultancy the Head may agree to payment of a portion of these funds to the staff member in a private capacity (see B – 33.1.2 and B – 33.1.14.5.2(b)). In this case it must be done through the Human Resources payroll system and becomes taxable. The school must maintain full documentation of such payments. school may also choose to use the revenue from a School Consultancy to cover the costs of providing market salary loadings to staff meeting the criteria.

When professional and consultative work is undertaken as part of normal duties (eg University contract research) or as agreed in B – 33.1.14.2.1 above (a University or School Consultancy within the 20% time allocation), staff are covered by Workers' Compensation and University insurance policies. The Insurance Officer can offer advice on the specifics of this cover and arrange for legal opinions in respect of any work of a controversial nature.

When professional and consultative work is undertaken in a private capacity (Private Consultancy), the University will not accept any liability for accident or injury that may occur to the staff member during the course of that work including travel to and from the place of work. It is the responsibility of the member of staff concerned to ensure that he or she is adequately covered by appropriate Workers' Compensation/personal accident insurance. Similarly, the University accepts no liability in regard to the work done. Staff must indemnify themselves through taking out Public Liability and Professional Indemnity insurance. Alternatively, they must provide evidence that the client is indemnifying the staff member. Should staff members choose not to indemnify themselves, any risk is theirs alone. Staff should be particularly aware of the possibility of defamation and slander actions. Staff operating on a private basis should ensure that the insurance coverage is adequate if the professional or consultative service is to be delivered outside Australia.

Staff seeking to engage in a Private Consultancy are required to confirm their insurance coverage to the University (through the Head of School) prior to approval being granted as part of the application process. Heads approving a Private Consultancy where no indemnity is identified must consider whether it is necessary for the staff member to obtain from the client a standard letter that indicates the private nature of the work undertaken and absolves the University of any liability. This letter will be placed on a school file.

Should the staff member undertake the work as a University Consultancy conducted under the auspices of the University, completion of the application form is still required. A provision exists within the application form for the Head of School's signature waiving the indemnity requirement.

Under no circumstances should staff members engaged in professional and consultative work accept liabilities for third parties such as publishers, companies, partners, etc.

Staff members who employ others or sub contract a portion of their work to students or other staff are responsible for ensuring that approvals are granted where necessary and that personal indemnity insurance is in place. Any staff member who participates in a consultancy arrangement as a 'sub-contractor' is required to seek independent approval from the Head of School and must ensure that insurance as detailed in B – 33.1.14.3.2 above is in place. Staff are cautioned about the need to comply with existing legal requirements when using students for consulting work and it is recommended that they seek advice from Human Resources.

Contracts between the University and external parties are often undertaken on University premises with the use of University facilities. Projects in this category may include research and development activities, testing or sampling services, practical and/or field-work studies, expert investigations, surveys, audio, video and film productions, script-writing, graphic work, etc.

Generally, only the Vice-Chancellor and staff with the expressly delegated authority of the Vice-Chancellor, normally the Deputy Vice-Chancellor, the Registrar, and the Executive Director [Finance and Resources], are empowered to sign contracts or agreements on behalf of the University. Agreement on intellectual property rights and equipment should vest in the University and there should be no restrictions on publication; any decision to divest copyright requires approval of the Vice Chancellor. Any previous relationship between the client organisation and the staff member must be declared to the Vice-Chancellor.

1. Staff members who are expected to provide services as part of a University Contract should be advised of any arrangements for consulting fees to be made available to them, the terms upon which they will be made available and agree to those conditions before the contract is signed.
2. Staff time, including support staff costs, shall be recovered in full. Costs shall include salary, salary-related costs, superannuation and other charges. Alternatively, the costs may be charged at professional rates. In most circumstances, the funds shall be credited to the School for its own use. Upon the request of the staff member, a Head of School may give approval to convert the School's income to a consulting fee to the staff member, or nominated company.
3. A realistic assessment of the costs of the project, including consumables, postage, telephone charges and travel shall be included in the budget.
4. A minimum infrastructure charge of 15% of the total value of the contract will be recovered by the University. Full infrastructure costs of a minimum 35% should be charged if the University Contract is commissioned and the funding body seeks full ownership rights. See Recovery of University Infrastructure Costs.

Contract education courses may be conducted either on the University campus or elsewhere.

1. Educational courses of a contractual nature outside the normal work of the University (eg professional upgrading courses) may be considered as a sub-category of contracts and as such the provisions of B – 33.1.14.5 shall apply. Such arrangements should follow the same reporting procedures as School Consultancies (refer to requirements in B – 33.1.13.4.1)
2. University staff teaching such courses outside their normal teaching loads may be paid an appropriate consulting fee plus incurred travel expenses.

Staff of this University are sometimes asked to teach courses in other higher education institutions. Other than in the case of guest lectures or teaching on study leave (for which honoraria may be paid), permission must be obtained from the Head of School for this activity. Where the teaching commitment is considered significant (20% or more of the normal teaching load in this institution) consideration must be given to arrangement of fractional appointments at both institutions.

A staff member from one School in this University may be asked to teach in the programme of another School. Other than in the case of guest lectures, permission must be obtained from the Head of School in consultation with the Head of School seeking the assistance. Any additional teaching of this nature, together with other consultancy activities, cannot exceed 20% of a normal workload. In normal circumstances, consideration will be given to a joint appointment where the additional workload exceeds 20% of a normal teaching load. Summer Sessions and Offshore Teaching, where they exceed a normal teaching load, will also adhere to these requirements. Payment will normally be made through the Payroll system.

Staff may be asked to participate in occasional teaching opportunities (eg University Extension programmes). Assuming that this occurs outside their regular working hours it should be considered under the provisions of B – 33.1.1. Approval for such activities is not required although notification of the Head of School is advised so that they might be incorporated in the annual reporting process.

No full time staff member may, without the permission of the Vice-Chancellor, receive a personal fee for acting in a consultative or advisory or professional capacity towards any School, Centre or service centre of the University. It is possible, however, that a staff member may be asked to assist another part of the University for a defined period of time on a specified project. In such cases the 'home' school may seek a recoup of salary costs.

A staff member shall not accept fees for private coaching of students of the University except where such coaching has been approved by the Head of School.

It is the responsibility of every staff member of the University involved in the supply of goods or services, to or for the University, to declare in writing all relevant interests that the staff member may have in any proposed transaction.

A staff member shall be deemed to have a relevant interest for the purpose of these rules if the staff member or their immediate family is or could be the proposed supplier of goods or services, or if the staff member or any of their immediate family has some interest whether as proprietor, shareholder, director, partner or otherwise in any firm, company or other business entity which is or could be the proposed supplier of the goods or services, other than an interest as a shareholder in a public listed company.

Proposed transactions include Tenders and Invitations to Tender for the supply to the University of goods and services.

All proposed transactions subject to such declarations shall be directed to the Executive Director, in the first instance. The Executive Director may refer them to the Vice-Chancellor for approval in writing.

Any conflict of interest relating to research activity needs to be reported to the Pro Vice-Chancellor (Research and Research Training) as set out in the Guidelines on Research Ethics and Research Conduct.