Professional and Consultative Work: Policy Requirements
1.1 Scope of the Policy
1.2 General Statement — The Nature of Professional and Consultative Work
1.3 Other Activities
1.4 Professional and Consultative Work – Definitions
1.5 Objectives of the Policy
1.6 Operative Date
1.7 Conjunctional Reading
2.1 Conditions Governing Who May Be Approved to Undertake Professional and Consultative Work
2.2 Participation and Benefits
2.3 Key Principles
3.1 Obligations of the Staff Member
3.2 Role of the Head of School
3.3 Role of the Senior Deputy Vice-Chancellor
3.4 Role of the Senate
4.1 Directorships and Partnerships
4.2 Market Competition
4.3 Pro Bono Work
4.4 Other Community Activities
5.1 Time Allocation
5.2 Approvals (Application to Undertake Professional and Consultative Work)
5.3 Recording of Information about Professional and Consultative Activity
5.4 Information for Reporting Purposes
5.5 Audit Requirements
6.1 Financial Recoup
6.2 Return of Revenue to the University
6.3 Legal Issues
6.4 Sub Contracting
7.1 University Contracts
7.2 Contract Education Courses
7.3 University Duties
7.4 Conflicts of Interest in University Business Transactions
Appendix 1 – Definitions
1 Purpose, Scope and Objectives of the Policy
1.1 Scope of the Policy
1.1.1 The core responsibilities of a member of staff of the University of Western Australia are set out in their conditions of employment and, in the case of academic staff, are generally focused on teaching, research and service to the University and community. In the course of these duties members of staff may engage in a range of professional activities that may attract fees or royalties. Examples of such activities include:
- Publication of books
- Proceeds from articles published in journals
- Refereeing of articles in learned journals
- Publication of book reviews
- Acting as an external examiner or reviewer
In addition, competitive research grants (that attract no private income) and University contract research funded on behalf of or jointly with public or private sector organisations that attracts no income to individuals, can be seen as part of the research role.
1.1.2 Such activities, therefore, are not the major subject of this policy. Formal approval for activities such as those listed above, and which are seen as part of regular duties (including activities outlined in 1.2.1(e)), is not required. For annual reporting purposes, notification of the Head of School is advised via the staff member's Annual Activity Return (see 5.4.1) so that they might be included in the Annual Report of the University, faculty or school.
1.1.3 Beyond their regular duties The University of Western Australia supports staff (academic staff and professional staff whose contracts provide for consulting) to engage in professional and consultative activities that advance their professional interests and the wider interests of the University. This policy statement sets out the conditions under which consulting may occur. Definitions of terms used in this policy are found at Appendix 1.
1.2 General Statement — The Nature of Professional and Consultative Work
1.2.1 Under specified conditions, certain staff members (see 2.1) may engage in a variety of professional and consultative work activities that bring additional funds to the University and/or to them as individuals or other third parties. The time allowance for such activities is up to 20% of a working year averaged at one day of an assumed five day working week (see time allocation at 5.1.1). These activities include:
- (professional and consulting work including company directorships, contract consulting and contract teaching (in which all or some proportion of the income is disbursed to the individual); and part time appointments on government or related committees, or judicial or administrative bodies;
- sitting on government or related committees, or judicial or administrative bodies for which a fee is paid;
- professional practice in medicine and dentistry. Clinical academics who engage in medical private practice shall do so consistent with this policy and any policy or regulation stipulated by the relevant teaching hospital. Time spent on medical private practice shall be deducted from the 20% of time allocation provided for other forms of professional consultative work covered by this policy.
- provision of professional expertise on an occasional basis that may attract a fee or honorarium. Examples include
- contributions to the press
- radio or television broadcasting
- occasional lectures, exhibitions or performances
- expert witness testimony
and
- pro bono work within the community (resulting in no additional University or private income but enhancing the reputation of the University).
1.3 Other Activities
1.3.1 Members of staff may also have private, recreational and other professional interests that are subject to payment but do not otherwise occupy or interfere with the staff member's University time and duties. For example, a member of the academic staff may have an active ownership interest in a winery or other agricultural activity that produces an income. Where private income arises from these activities notification of the Head of School is required.
1.4 Professional and Consultative Work – Definitions
1.4.1 This policy pertains most particularly to those members of staff engaged in professional and consultative work (described in Part 1.2.1 above) that meets one or more of the following conditions:
- The work is conducted within the time allocation allowed by the University for this purpose. OR
- The work utilises University resources and/or facilities. OR
- The work has been obtained as a consequence of the reputation of the University and the individual's affiliation with and skills/knowledge demonstrated at this institution. (For example, an architect engaged in paid home renovations is likely to be covered by these guidelines. An historian doing the same thing would not.)
1.4.2 This policy is concerned particularly, but not exclusively, with professional and consultative work undertaken by a staff member that may result in private income. The payment arrangements for these activities might vary from payment to staff members as individuals, including through a trust, or to a company or partnership or other registered business. Alternatively, payment for the work may come through a University account from which a portion is withheld to cover University overheads and the remainder disbursed to the individual through the University payroll system or allocated as research funding. For the purposes of this policy, professional and consultative work (as defined in 1.2.1) in which revenue is returned to a University account will be known as a University Consultancy. A special category of University Consultancy is a School Consultancy in which the Head of School contracts for the consultancy work on behalf of one or more members of staff. Work in which payment is made to an individual, trust, company, partnership or other registered business, is known as a Private Consultancy.
1.4.3 For a range of academic, legal and financial reasons outlined in this policy statement staff are encouraged to engage in their professional and consultative work as a University Consultancy (or School Consultancy) where possible.
1.5 Objectives of the Policy
The objectives of this policy on professional and consultative work are to:
- encourage staff participation in professional and consultative work that the University regards as bringing opportunities and benefits to the University, its staff and students;
- provide a flexible management framework governing the granting of approval for the range of professional and consultative work customarily undertaken by members of the University using the University's name, services, space including laboratories, facilities, equipment including computers, or paid work time, including those directed toward charitable purposes and community service;
- provide guidance in relation to the University's management and quality control expectations for contracts of professional and consultative work that involve or implicate the University, including those relating to risk management and accountability; and
- provide guidance to persons both inside and outside the University as to when and how professional and consultative work may be undertaken using the University's name, services, space including laboratories, facilities, equipment including computers, or paid work time, and how School cosultancy funds may be expended.
1.6 Operative Date
1.6.1 The operative date of this revised policy is (to be determined). It supersedes any previous policy on professional and consultative work. Private arrangements in effect prior to the operative date must show evidence that they comply with the arrangements described in this policy statement or other such remedy as may be agreed by the Senior Deputy Vice-Chancellor.
1.7 Conjunctional Reading
1.7.1 This policy statement should be read in conjunction with relevant State and Federal legislation including:
- The Financial Administration and Audit Act
- Corruption and Crime Commission Act
The following related University policies may also be relevant:
1.7.2 In determining the applicability of these guidelines to a specific type of professional or consultative work staff are advised to refer to the Decision Tree.
2 General Information on Professional and Consultative Work
2.1 Conditions Governing Who May Be Approved to Undertake Professional and Consultative Work
2.1.1 Conditions of appointment for members of all academic teaching and research staff holding tenurable or fixed-term appointments (full time, fractional and honorary) allow them to undertake professional and consultative work as defined in 1.2.1 under the conditions specified in this policy and where formal approval has been sought and granted. For detailed information about the approval process see 5.2.
2.1.2 Fractional appointees are requested to advise the Head of School of their external professional or work commitments. In ordinary circumstances no member of staff will be given approval to hold a concurrent appointment in another organisation where the appointments together constitute a greater than full time position (for example, 0.7 at UWA and 0.5 elsewhere). Approval must be sought from the Head of School for any employment and consulting work external to the University. Staff seeking such approval shall complete in a timely manner the Application to Undertake Professional and Consultative Work and indicate, where relevant, the time commitment in fractional terms.
2.1.3 While approval for staff holding honorary appointments is required, in most circumstances such approval would be anticipated.
2.1.4 Some members of the professional staff have employment contracts that allow them to undertake professional and consultative work under the same conditions as for academic staff and as specified in this policy. Alternatively, they can understake such work with approval of the Dean or equivalent. Other professional staff are prohibited from this activity during normal working hours, as are members of the research staff whether or not their salary is on the academic scale. In the case of research staff, there may be exceptional circumstances in which this restriction may be waived with the permission of the Head of School and Dean on recommendation of the grant holder funding the research staff member's salary.
2.2 Participation and Benefits
2.2.1 Approval for the participation of staff members in professional and consultative work, involving the application of their special knowledge and skills, will be given only where the activity is of benefit to both the University and the general community
Some of the benefits to the University may include:
- the ability to attract and retain high quality staff, particularly in some professional areas;
- opportunities for staff to maintain their professional skills;
- opportunities for postgraduate students to gain professional skills;
- opportunities for the University to perform its community service role;
- ways to enhance the status and prestige of the University in the community; and
- contributions to the research quantum of the University and, hence, to its overall research funding.
2.3 Key Principles
The four key principles central to this policy on Professional and Consultative Work are summarised below and elaborated elsewhere in the document:
2.3.1 Principle 1: Maintaining Priorities: The priority activity for staff is to fulfill their employment/contractual obligations to the University in such areas as teaching, research and servicing core functions, that further the mission of the University. Professional and consultative work is a privilege, not a right, and should be approved only in those cases where performance is satisfactory, and there will be no undue impact on the workload of colleagues or on the staff member's contribution as an academic citizen in the University. See Part 3.
2.3.2 Principle 2: Ethical Behaviour: In discharging their contractual obligations and in any other external liaison with members of the community, staff will display the highest possible ethical standards. See Part 4.
2.3.3 Principle 3: Accountability: Professional and consultative work will occur within an accountability framework with clear requirements for approvals, recording and reporting of these activities on behalf of the University. Failure to comply with these accountability requirements will be considered as misconduct and may result in disciplinary action. See Part 5.
2.3.4 Principle 4: Legal and Financial Arrangements: All legal and financial arrangements established for the purpose of participation in a Private Consultancy, where payment is made direct to an individual, will ensure that the University is not liable for such activities. In ordinary circumstances those engaged in a Private Consultancy may not use any University facility (power, space including laboratories, equipment including computers, letterhead, consumables). Where such use has been agreed, any and all costs that arise as a consequence of private use of University services and facilities will be recouped in accordance with full cost recovery principles. Staff engaged in University and School Consultancies are indemnified by existing University policies. See Part 6.
3 Principle 1: Maintaining Priorities – Roles and Responsibilities
3.1 Obligations of the Staff Member
3.1.1 Professional and consultative work should be related to the work of the University and should not conflict with the interests of the University.
3.1.2 The opportunity to participate in such work is given on the basis that contractual obligations to the University must take priority over any professional and consultative work and that the work is related to and will directly or indirectly contribute to the mission of the University. Consultative work undertaken by a member of staff shall not have an undue impact on the workloads of colleagues. Equally those engaged in consultative work are still expected to play a full role as academic citizens, including attending meetings and undertaking other academic and administrative activities.
3.1.3 In most instances staff members have a contractual obligation associated with teaching and research or the servicing of such areas. Fulfilling these obligations at a high level is the primary task. The standard of the professional and consultative work should generally be such as to enhance the prestige of the University and the professional reputations of the staff involved.
3.1.4 Routine testing and professional work that could easily be carried out by other persons in the community should, if possible, be avoided. (It is recognised, however, that such work may be undertaken in the context of a field work programme for students.)
3.1.5 Staff should engage in professional and consultative work that addresses more challenging and innovative problems within the staff member's discipline and/or fields of particular expertise. In the case of academic staff it should build on and enrich a staff member's teaching and research interests and be of a quality that could well lead to peer reviewed journal articles and/or graduate theses. In the case of professional staff, the work should enhance the image of the University in the community as a source of high quality expertise.
3.2 Role of the Head of School
3.2.1 As consulting is a privilege and not a right for staff, it should be approved only in those cases where performance of the full range of duties is satisfactory. This judgment falls to the Head of School (other than provided for under 5.2.6).
3.2.2 Where such approval has been granted it is also the role of the Head of School to monitor its effects on a staff member's priority commitments and its impact on other staff (refer to time limits in 5.1.1).
3.2.3 It is the role and responsibility of the Head, on behalf of the University, to withdraw the privilege of consulting where there are concerns about a staff member's performance or about its impact on the work of the School. In doing so, the Head must make a judgment in relation to not only teaching but also to research and administrative performance. The University does not regard private consulting reports as equivalent to refereed research publications, as a rule.
3.2.4 Within the context of this policy the Head of School is also responsible for:
- providing guidance to staff on professional and consultative work;
- ensuring that applications for professional and consultative work comply with the requirements of this policy including the time allocation allowed (see 5.1.1);
- monitoring professional and consultative activity within the school;
- recording and reporting on the quantum of professional and consultative work to the Dean of the Faculty (or other appropriate officer) of the University; and
- facilitating internal and external audit processes.
3.3 Role of the Senior Deputy Vice-Chancellor
3.3.1 The Senior Deputy Vice-Chancellor has overall responsibility for the implementation and operation of the policy, and is final arbiter in any dispute as to its application, meaning and scope.
3.4 Role of the Senate
3.4.1 The University Senate has final authority for approving alterations to this policy on professional and consultative work.
4.1 Directorships and Partnerships
4.1.1 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.
4.1.2 Requests for permission to hold a directorship or other commercial positions, including those within public agencies, will be considered by the Senior Deputy 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 Senior Deputy 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.
4.1.3 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.
4.1.4 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).
4.2 Market Competition
4.2.1 The opportunity to engage in professional and consultative work is not given to staff members for the purpose of enabling them to supplement their incomes, but any fees charged should not be less than the normal professional fee. Additionally, no individual member of staff should solicit professional or consultative work by any form of public advertisement. Private Consultancy work must not compete with services otherwise provided by the University on a commercial basis.
4.3 Pro Bono Work
4.3.1 In addition to community pro bono work, as identified in 1.2.1(e), there are a number of academic disciplines within the University (law, psychology, social work, for example) that provide opportunities for students to engage in practical work. This is a means for them to gain important experience and to offer a service to the community. Staff assist and observe. The revenues from such activities are not considered within the ambit of these guidelines and all such income must be managed within the school accounting system.
4.4 Other Community Activities
4.4.1 Members of the University staff, as individuals and members of the community, may be involved in activities that have no direct relationship to their professional commitment to the University. This policy does not relate to these activities. On occasion, however, there might be disagreement as to whether or not a particular activity relates to their position as a staff member of the University. It is desirable that the Senior Deputy Vice-Chancellor be informed of significant activities that could be seen in this way, especially if remuneration is involved.
4.4.2 Where academic staff engage in community service activities the time required will be included in the 20% allocation for professional and consultative work. In the case of general staff on standard employment contracts, however, these activities must normally occur outside working hours. Where private income arises from these activities notification of the Head of School is suggested.
5 Principle 3: Accountability Framework
5.1 Time Allocation
5.1.1 In normal circumstances the time devoted to professional and consultative work by general staff with approved employment contracts and academic staff should not exceed 20% of the working year. It is assumed that consulting work will be spread across the year, although in special circumstances, the Head may approve more concentrated periods of such work. Heads are asked to inform the Dean (or other appropriate officer) of individual consultancies in excess of 26 days.
5.2 Approvals (Application to Undertake Professional and Consultative Work)
5.2.1 For each inidividual instance of professional and consultative work members of staff must obtain written approval from the Head of School on the Application to Undertake Professional and Consultative Work 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 and the expectations of this policy.
5.2.2 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 6.3.2). 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 Part 6 on Legal and Financial Protection.)
5.2.3 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.
5.2.4 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.
5.2.5 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 such as the Senior Deputy Vice Chancellor in the case of single school faculties) 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.
5.2.6 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.
5.2.7 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.
5.2.8 Prior to approving the application form, 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.
5.3 Recording of Information about Professional and Consultative Activity
5.3.1 To provide the University with aggregate information about staff involvement in professional and consultative activities, and to facilitate the maintenance of an appropriate audit trail, records are required. Heads of Schools must keep, for a period of at least two years, originals or copies of application forms, staff Annual Activity Returns and Annual School Activity Reports. In some instances a Head of School may seek, for his/her more formal records, more detailed information from the staff member about activities undertaken.
5.4 Information for Reporting Purposes
5.4.1 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:
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.
The aggregate of information appearing on staff members returns as per the clause above 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 Internal Audit Office, on behalf of the Vice-Chancellery, for a period of two years.
5.4.2 Clear and accurate reporting within the above forms is essential.
5.5 Audit Requirements
5.5.1 Officers from the internal audit group will visit individual schools on a test basis each year. Information from the aggregate reports will be available to Senate and other University committees for the purposes of annual reporting.
6 Principle 4: Legal and Financial Arrangements
6.1 Financial Recoup
6.1.1 University Consultancy: 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.
6.1.2 Private Consultancy: 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 including laboratories, equipment including computers, 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 including laboratories, equipment including computers, and consumables) without approval they may be subject to disciplinary action.
6.2 Return of Revenue to the University
6.2.1 It is to be noted that in a University Consultancy the revenue is returned to a School account and the consultancy is considered to have been done by the individual on behalf of the University. It is therefore University income and and deemed to be public monies and must be treated in accordance with the Finanacial Management Act 2006 (FMA). Expenditure of these funds must satisfy the requirements of the FMA and be in accordance with the University Finance Policies and Procedures Manual. As such it must be spent on University activites and authorised per University delegation policy appropriate to the kind of expenditure.
6.2.2 A University Consultancy also provides liability coverage for the staff member(s) concerned (see 6.3.1, 6.3.2). 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 1.4.2 and 7.1.2(b)) In this case it must be done through the Human Resources payroll system and becomes subject to the full range of taxation requirements. The School must maintain full documentation of such payments. The 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.
6.3 Legal Issues
6.3.1 When professional and consultative work is undertaken as approved in 5.2 above (a University or School Consultancy within the 20% time allocation), staff are covered by Workers' Compensation and University insurance policies. The Insurance and Risk Management Officer can offer advice on the specifics of this cover and arrange for legal opinions in respect of any work of a controversial nature.
6.3.2 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 to the Head of School 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 also ensure that the insurance coverage is adequate if the professional or consultative service is to be delivered outside Australia.
6.3.3 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. Heads approving a Private Consultancy where no indemnity is identified should request that the staff member 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.
6.3.4 Should the staff member undertake the work as a University Consultancy 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
6.3.5 Under no circumstances should staff members engaged in professional and consultative work accept liabilities for third parties such as publishers, companies, partners, etc.
6.4 Sub Contracting
6.4.1 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 6.3.2 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.
7 Other Provisions
7.1 University Contracts
7.1.1 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.
7.1.2 A contract can only be entered into between legal entitles and our only legally constituted entity is the University of Western Australia. Therefore, only the Vice-Chancellor and staff with the expressly delegated authority of the Vice-Chancellor, normally the Senior Deputy Vice-Chancellor, the Deputy Vice-Chancellor (Research and Innovation), the Registrar, and the Executive Director [Finance and Resources], are empowered to sign contracts or agreements on behalf of the University. Agreements should normally provide that intellectual property rights and any equipment purchased should vest in the University and there should be no restrictions on publication; any decision to divest University intellectual property or assets or limit publication rights requires the approval of the Deputy Vice-Chancellor (Research and Innovation) as delegate of the Vice Chancellor. Any previous relationship between the client organisation and the staff member must be declared to the Vice-Chancellor.
- 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.
- 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 (see 6.2.1), or nominated company.
- A realistic assessment of the costs of the project, including consumables, postage, telephone charges and travel shall be included in the budget.
- 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 Intellectual Property ownership rights. See Recovery of University Infrastructure Costs.
7.2 Contract Education Courses
7.2.1 Contract education courses may be conducted either on the University campus or elsewhere.
- 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 7.1 shall apply. Such arrangements should follow the same reporting procedures as School Consultancies (refer to requirements in 5.4.1)
- University staff teaching such courses outside their normal teaching loads may be paid an appropriate consulting fee plus incurred travel expenses (see 6.2.1).
7.2.2 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.
7.2.3 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 University payroll system. For further guidance on arrangements for Offshore Teaching refer to http://www.hr.uwa.edu.au/transnational
7.2.4 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 1.2.1(d). 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.
7.3 University Duties
7.3.1 No full time staff member may, without the permission of the Senior Deputy 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.
7.3.2 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.
7.4 Conflicts of Interest in University Business Transactions
7.4.1 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.
7.4.2 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.
7.4.3 Proposed transactions include Tenders and Invitations to Tender for the supply to the University of goods and services.
7.4.4 All proposed transactions subject to such declarations shall be directed to the Executive Director (Finance and Resources), in the first instance. The Executive Director (Finance and Resources) may refer them to the Vice-Chancellor for approval in writing.
7.4.5 Any conflict of interest relating to research activity needs to be reported to the Deputy Vice-Chancellor (Research) as set out in the Guidelines on Research Ethics and Research Conduct.
Senate July 1995
Resolution 226
Amended July 1999
Amended ???
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