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Equity and Justice 1.1 Equity of Access to Employment and Programmes 1.2 Harassment
1.3 Academic Freedom 2.1 Confidentiality 3.0 Personal and Professional Responsibility 3.1 Fraud and Corruption
3.5 Use of University Facilities and Equipment Appendix 1: Relevant Acts
A CODE OF ETHICS AND A CODE OF CONDUCT
Members of The University of Western Australia This Code of Ethics and Code of Conduct forms part of the University’s accountability framework and offers guidance and direction to you on a range of ethical issues that you may confront in your day-to-day work or study. The University of Western Australia is committed to complying with all applicable laws and standards, promoting a culture of fair and ethical behaviour and encouraging the reporting of corrupt practices, breaches of the law and matters detrimental to the University or its reputation. The University Senate fully supports the principles and related practices espoused by the UWA Code of Ethics and Code of Conduct. The Codes are part of a three-tiered package. The Code of Ethics is a set of broad-based statements centred around three key principles:
The Code of Conduct then identifies a number of specific ethical issues likely to emerge in a University setting relating to these three principles and provides further guidance. It does not and cannot cover every possible situation. The third level is that of University Policy. The University of Western Australia has a well-developed policy framework in regard to the items identified in the Code of Conduct. Rather than restate these in full in this document, reference is made to the website addresses where further information can be obtained. Professor Alan Robson
CODE OF ETHICSThis Code of Ethics is a statement of the ethical principles, values and behaviours expected of staff and students at The University of Western Australia. It flows from the following statement in the University’s Strategic Plan: The University fosters the values of openness, honesty, tolerance, fairness and responsibility in social and moral, as well as academic, matters. The Code of Ethics is intended to assist staff and students to identify and resolve ethical issues that might arise during their employment or in the course of their studies. It is designed to guide them in their dealings with colleagues, students, the University, and local, national and international communities. The Code puts forward a set of general principles rather than detailed prescriptions. It stands beside, but does not exclude or replace, the rights and obligations of staff and students under common law or legislation. The University is a complex organisation comprising diverse groups that have different relationships to one another. These may be relations of power and/or status. It is essential in such a community that all members recognise and respect not only their own rights and responsibilities, but also the rights and responsibilities of other members of the community and those of the University itself. The University recognises that many of its staff are also bound by codes of conduct or ethics defined by learned or professional societies or groups. Staff may have multiple allegiances: to their disciplines or profession at national and international levels (the invisible colleges), to the academic profession, to the community at large and to the University. Staff and students may also have allegiances to particular religious or cultural traditions. It is recognised that these allegiances are not always in harmony. It is an obligation of a staff member or student to weigh the importance of these allegiances in each particular set of circumstances and to notify an appropriate officer of the University where such conflict does or may arise. The Code of Ethics is based on three universal ethical principles. These are: Equity and Justice People are to be treated fairly – not discriminated against, abused or exploited. Justice is concerned with power sharing and preventing the abuse of power. In a just community all members can access opportunities that allow for their full participation in that community. Respect for People People should be treated as individuals with rights to be honoured and defended. Respect empowers others to claim their rights and to achieve their potential. Respect for the rights of other people is the basis on which individuals become members of a community and accept their social responsibilities to behave with integrity. Membership of a community means that individuals not only have rights but also duties and responsibilities to others to act openly and honestly. Demonstrating respect for persons requires, for example, dealing with disagreements by reasoned argument rather than by using language (words, style and tone) that have the effect of inappropriately attacking or demeaning the listener. Personal and Professional Responsibility The principle of taking personal and professional responsibility requires not only that people avoid doing harm to others but that they exhibit courteous behaviour upholding the standards expected of all members of the University community as part of achieving a common good. In so doing they are expected to protect the rights of others and respect the diversity of cultures and peoples. Those well-positioned enough to assert their rights have a reciprocal duty to exercise care towards those who depend on them for their well-being. This principle involves stewardship of assets, resources and the environment. When a conflict arises between a staff member’s or student’s self-interest and duty to the University, the issue should be disclosed to an appropriate officer of the University. Wherever feasible the staff member or student should not play a role in decision-making that might be associated with that issue. The Code of Ethics underpins a Code of Conduct that defines guidelines on specific actions or procedures applicable to employees and students at The University of Western Australia for a range of specific ethical issues.
CODE OF CONDUCTThe Code of Conduct is based on principles, values and behaviours outlined in the Code of Ethics. It is a formulation of policies, rules or guidelines that define the specific actions or procedures applicable to members of The University of Western Australia for a range of specific ethical issues. The Code of Conduct is based on the three universal ethical principles described in the Code of Ethics. This Code applies to all staff and students of the University. Contractors, their employees and representatives, and visitors engaging in any university-related activity are expected to conduct themselves in a manner consistent with this Code. The Code of Conduct underlines:
The objectives of the Code are to:
The Code does not supersede other policies or agreements that The University of Western Australia has in place. Appendix 1 contains a list of Acts relevant to the Code of Conduct, and reference is made to relevant University policies and agreements throughout this document. Appendix 2 provides a list of contact positions for further information on specific matters contained in the Code of Ethics and Code of Conduct. The Code of Conduct does not and cannot cover every possible situation. You can, however, test yourself on whether your behaviour is ethical by asking yourself three questions:
Members of this University should be aware that any breach of this Code may result in disciplinary action being taken. Because the University falls under the WA Corruption and Crime Commission Act, staff and students who are alleged to have committed, corrupt or other improper behaviour are protected by that Act’s provisions on confidentiality, as are those who report such behaviour. The University is also bound by the WA Public Interest Disclosure Act which permits complaints about University staff to be investigated on a protected, anonymous, basis. The University Lawyer is the UWA Public Interest Disclosure Officer. If you believe that a colleague has breached this Code you can discuss that person’s behaviour confidentially with your supervisor or other senior member of the University. If you are unsure about any aspect of this Code please consult your supervisor, the Director of Human Resources, or the relevant contact provided in Appendix 2.
1.0 Equity and Justice The University has adopted the following Equal Opportunity Policy Statement. The University of Western Australia is committed to a policy of equal opportunity in employment and education. The University accepts that it has a responsibility to create an environment free from discrimination, and to ensure that the principle of merit operates unhindered by regard to irrelevant criteria. To this end the University will act to ensure that its structures are free from direct or indirect discrimination on the grounds of sex, marital status or pregnancy, race, age, sexual orientation, gender identity, religious or political beliefs, impairment, family responsibility or family status. (Senate, 1993, amended 2002) Equal Opportunity and Affirmative Action Policy Statement 1.1 Equity of access to employment and programs The University of Western Australia remains committed to 'the recruitment, development and retention of the highest quality staff' to achieve its mission. This objective is supported by an employment philosophy of providing job security through ongoing employment where possible, and encouraging flexible work practices that accommodate a range of needs in a diverse workforce. The University seeks to remove any barriers that may impede full access to the benefits and conditions of employment and the delivery of University services. The University is committed to providing an environment of equal opportunity, free from discrimination, for existing and prospective staff and students in the pursuit of their academic goals and the realisation of their potential to contribute to the achievement of the University’s mission. (UWA Strategic Plan 2007). The UWA Disability Access and Inclusion Action Plan 2007-2011 Flexible Work and Leave Practices Policy Policy and Procedures for Dealing with Equity Enquiries and Grievances 1.2 Harassment The University is committed to maintaining a campus culture of inclusivity and respect. Harassment of any form such as sexism, racism or bullying has no place in such a culture, as it denies respect for the rights of staff and students to fair treatment. Harassment can be extremely detrimental to the University’s effectiveness as an institution of higher learning, as an employer, and as a responsible organisational and community citizen. Harassment is contrary to the principles developed in the University’s Code of Conduct and to the University Equal Opportunity policy. It may also be unlawful. Discrimination Under Equal Opportunity legislation, discrimination occurs when a person, or a group of people, are treated less favourably than another person or group, in the same or similar circumstances, because of irrelevant attributes including their age; race, colour, descent, national or ethic origin; sex; marital status, pregnancy, or family responsibilities; disability; political or religious conviction; or sexual orientation or gender history. Indirect discrimination occurs when an apparently neutral requirement, condition or rule has a negative effect on a substantially higher proportion of people with a particular attribute or characteristic (for example, race) compared to people without that attribute or characteristic, and the rule or requirement is not reasonable in the circumstances. in addition to the University policies on Equal Opportunity, Conduct in the Workplace, Racial Harassment and sexual Harassment, the University is bound by legislation which makes discrimination unlawful. This legislation includes the WA Equal Opportunity Act, Disability Services Act and Lesbian and Gay Law Reform Act, and the Commonwealth Age Discrimination Act, Disability Discrimination Act, Disability Standards for Education Act, Equal Opportunity for Women in the Workplace Act, Racial Discrimination Act and Sex Discrimination Act. Equity and Diversity Lectopia: Workplace Discrimination Series Bullying Due to the effect on the safety and health of employees and others at the workplace, violence, aggression and bullying are unacceptable under the Occupational Safety and Health Act. WorkSafe Western Australia advises that bullying in the workplace should be treated like any other workplace hazard. Bullying is a term used to describe behaviour that undermines an individual’s right to dignity and respect at work. At The University of Western Australia it is also used to describe similar inappropriate behaviour towards or from a student. Bullying behaviour can be described as: … the repeated less favourable treatment of a person by another or others on the campus, which may be considered unreasonable and inappropriate practice. It includes behaviour that intimidates, offends, degrades, threatens or humiliates. (Conduct in the Workplace Policy) The general 'duty of care' provisions embedded in legislation apply to all staff, and every employee must be aware of their duty not to place the safety and health of others at risk by engaging in violence, aggression or bullying behaviour. This behaviour contravenes the ethical values underpinning the University’s Code of Ethics and is addressed in the University’s Conduct in the Workplace Policy. Bullying behaviour will not be condoned by the University and sanctions will apply to any staff member or student who is found to have bullied another member of the University community. Conduct in the Workplace Policy Statute 17 Student Discipline and Regulations for Student Conduct and Discipline Equity and Diversity Lectopia – Workplace Bullying Prevention Series Racial Harassment Racial harassment is any verbal, physical or written act which is based on a person's colour, physical characteristics, descent, country of origin, ethnic background or nationality, and is unwanted, unacceptable and offensive to the person, or those related to, or closely associated with, that person. The WA Equal Opportunity Act and Commonwealth Racial Discrimination Act make racial harassment in employment and education unlawful. Racial harassment conflicts with the University's Equal Opportunity and Affirmative Action Policy and with the rights of all staff and students to receive fair and equitable treatment. Racial harassment is a serious issue that undermines morale and can adversely affect the ability of staff and students to achieve their full potential within the University. Such behaviour is unacceptable and all complaints will be dealth with fairly and promptly. Sanctions will apply to any staff member or student who is found to have racially harassed another member of the University community. Sexual Harassment Sexual harassment is any form of conduct of a sexual nature that is unwanted. Such conduct can be in the form of words or actions. Sexual harassment is not about sexual attraction: it is about inappropriate and unacceptable behaviour towards a member of the University’s staff or student body, or towards a visitor to the University. Sexual harassment conflicts with the University's Equal Opportunity Policy and denies respect for the rights of staff and students to fair treatment. Under the Western Australian Equal Opportunity Act and the Commonwealth Sex Discrimination Act, sexual harassment in employment and education is unlawful. Sexual harassment is a serious issue that undermines morale and can adversely affect the ability of staff and students to achieve their full potential within the University. Such behaviour is unacceptable and all complaints will be dealt with fairly and promptly. Sanctions will apply to any staff member or student who is found to have sexually harassed another member of the University community. Charter of Student Rights and Responsibilities 2006 Equity and Diversity Lectopia – Introduction to Sexual Harassment in the Workplace 1.3 Academic Freedom Academic freedom is recognised and protected by this University as essential to the proper conduct of teaching, research and scholarship. Academic and research staff should be guided by a commitment to freedom of inquiry and exercise their traditional rights to examine social values and to criticise and challenge the belief structures of society in the spirit of a responsible and honest search for knowledge and its dissemination. In this context students have the right to participate in political activities on campus. The University is committed to the belief that freedom of intellectual thought and enquiry and the open exchange of ideas and evidence are essential to the achievement of its mission, and it will seek to protect staff and students from any attempts to remove or reduce this freedom. (UWA Strategic Plan 2007) 1.4 Union Membership University staff and students have the right to choose whether or not to join a trade union or association. Similarly, those who choose to join may also choose whether or not to participate in union activities. 1.5 Lawful Obedience All members of the University must comply with all relevant legislative and industrial requirements, as well as the rules and regulations of the University. See the list of the relevant Acts at Appendix 1. 2.0 Respect for People 2.1 Confidentiality Staff members who have access to official University documentation and information must take care to maintain the integrity, confidentiality and privacy of such information to protect any individual concerned. Members of the University should also undertake to maintain the privacy of oral communications where that has been requested. Staff files are highly confidential records relating to staff members. It is essential that staff members be able to feel confident that information relating to them is treated in an appropriate manner, with due attention paid to the need for non-disclosure of file contents outside normal University business transactions. Failure by a staff member to comply with the guidelines outlined below may result in disciplinary action. (Access to and Use of Personal Files) Staff must take care to respect the confidentiality and privacy of students and only provide information when authorised by the Registrar’s Office or for legitimate academic purposes. Access to and Use of Personal Files Professional and Consultative Work: Policy Requirements About the Freedom of Information Act 2.2 Grievances Staff and students of this University are entitled to fair and equitable grievance procedures. The University has a number of avenues for assistance with grievances and disputes, depending on their nature. These include the Equity and Diversity Adviser Scheme, Employee Relations and Management Services, Equity and Diversity, the Manager, Compaints Resolution, and the UWA Student Guild. Contact details are listed in Appendix 2. Procedures for Settlement of Grievances (Academic Staff) Grievance Settlement Procedures (Professional Staff) Dispute Settling and Grievance Procedures (ELICOS Teachers) Dispute Settling Procedures (Childcare Employees) Policy and Procedures for Dealing with Equity and Diversity Enquiries and Grievances Code of Good Practice for Graduate Research Supervision Charter of Student Rights and Responsibilities 2006 2.3 Intellectual Property Intellectual Property is recognised by this University and stipulates that the benefits should provide equitable returns to the originators of intellectual property, both as an incentive and reward, as well as to the University. Regulations provide for the ownership of intellectual property created by students and staff of the University. Intellectual Property includes inventions and copyright in various types of work. University Policy on: Intellectual Property 3.0 Personal and Professional Responsibility 3.1 Fraud and Corruption All employees contribute to creating an honest, ethical and professional workplace through the minimisation and prevention of activities which may be considered as fraud or corrupt conduct. Employees at all levels within the University, as Public Officers, have a duty to report any act or situation that may be suspected as fraudulent or corrupt conduct as soon as they are aware of these circumstances. Fraudulent and corrupt conduct generally involves behaviour that is deliberately dishonest or deceitful and involves the abuse of trust which leads to a person gaining a benefit from these types of actions. This Code of Ethics and Code of Conduct may assist in identifying activities considered as fraudulent or corrupt conduct within the University. Examples include unauthorised use of University property, undeclared conflicts of interest, falsifying or manipulating research data, misrepresenting a person’s involvement in research/projects, or making false claims of expenses or leave entitlements. University Policy on: Anti-Fraud and Corruption 3.2 Ethical Conduct of Research The University expects all those engaged in research to observe high ethical standards in the conduct of that research and, when relevant, to comply with the obligations imposed by the codes of practice as outlined by the relevant funding bodies. Ethical clearances must be gained where appropriate. Guidelines on Research Ethics and Research Conduct 3.3 Information Technology The University places a high value on integrity, professionalism and respect for others. These values can be compromised by inappropriate use of information technology. In particular, accessing or disseminating offensive material via the internet or email contravenes University Regulations and may be unlawful. The University has formally adopted a number of IT Policies and, unless otherwise indicated, they are binding upon all members of and visitors to the University. Disciplinary action will apply to staff or students found in breach of the University’s IT Policies and the Computer and Software Use Regulations. University Information Technology Regulations University Information Technology and Communications Policies 3.4 Conflicts of Interest A conflict of interest includes any circumstance, whether actual or perceived, arising from conflict between the performance of public duty and private or personal interests. It arises where there is a reasonable expectation of direct or indirect benefit or loss for an individual employee with a particular personal interest that could be influenced in favour of that interest, in the performance of their duties. The benefit or loss may be financial or non-financial. Staff members should take suitable measures to avoid, or appropriately deal with, any situation or relationship in which they may have, or be seen to have, a conflict of interest that could, directly or indirectly, compromise the performance of their duties. When staff members become aware of such a situation they should take appropriate steps to disclose the conflict or potential conflict. Failure to do so and continuation of such a conflict of interest will lead to disciplinary action. The following questions may assist in identifying whether a situation or relationship is potentially a conflict of interest:
Research Conduct Disclosure of any potential conflict of interest is essential for the responsible conduct of research. Researchers have an obligation to disclose any affiliation with, or financial involvement in, any organisation or entity with a direct interest in the subject matter or materials of researchers. A conflict of interest may also arise if any organisation or entity with a direct interest in the subject matter provides direct benefits to the researchers such as sponsorship of the investigation, or indirect benefits such as the provision of materials or facilities, or the support of individuals such as provision of travel or accommodation expenses to attend conferences. Guidelines on Research Ethics and Research Conduct Professional and Personal Relationships Examples of relationships that may cause conflicts of interest are: family relationships, positive and negative emotional relationships (including all sexual relationships, antagonisms, close friendships), and financial relationships, including sponsorships. Professional Relationships in the University of Western Australia: Workplace Policy Recruitment and Employment The employment of relatives is only acceptable when the appointment is made in line with University policy regarding appointment of new employees. Prior approval must be sought from the Dean or Vice Chancellor where a staff member is required to directly supervise a relative. A member of staff should not take any direct part in the selection process for an appointment for which a family member is a candidate. The relationship to which this policy applies includes those of parent and child, wife and husband, including de-facto relationships, same sex partners and siblings. Outside Employment and Private Practice Professional and consultative work carried out by members of staff in their area of expertise may be of benefit to the University, the individual and the community, provided certain conditions are met. Professional and consultative work should be related to the work of the University and should not conflict with the interests of the University. Consulting is a privilege not a right and requires approval by the Head of School. Professional and Consultative Work: Policy Requirements Procurement 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 interest that the staff member may have in any proposed transaction. In particular, those staff who deal directly with suppliers must:
All Business Units should ensure that employees and their agents are aware of the requirements to not disclose confidential information and to properly manage the information they receive as part of the procurement process. In the event of doubt or perceptions of conflict, further advice should be sought from Strategic Procurement. Conflicts of Interest in University Business Professional and Consultative Work: Policy Requirements Acceptance of Gifts or Benefits Staff members should not solicit, encourage or accept gifts or benefits if it could be reasonably seen as an inducement to act in a particular way or to place a staff member under an obligation that may either directly or indirectly compromise or influence them in their official capacity. In particular, University employees should indicate to the prospective gift bearers that gifts cannot be accepted from those with whom the University has, or potentially has, commercial dealings. Gifts of a nominal value (under $100) used for promotional purposes by the donor or ones in accordance with social or cultural practice are acceptable. Gifts and Benefits received by staff members should be declared to the relevant Dean or Executive Director. 3.5 Use of University Facilities and Equipment Members of the University are expected to use all University facilities and equipment efficiently, carefully and honestly. Resources should be used economically, secured against theft or misuse and waste avoided. These resources should not be used for personal purposes unless express permission has been granted in accordance with University policy. Professional and Consultative Work: Policy Requirements University Information Technology and Communications Policies 3.6 Public Comment Public comment includes public speaking engagements, comments on radio or television, and expressing views in letters to newspapers or in books, journals or notices or where it might be expected that the publication or circulation of the comment may spread to the community at large. Staff members are encouraged to comment publicly in relation to their area of professional expertise. When staff members are representing the University the highest ethical and professional standards are expected of them primarily due to the sensitivity of some issues within the community. Staff members in their capacity as private citizens have a right to make public comments. If a staff member is publicly commenting on an issue not within their professional expertise, the staff member must make it clear that the comment is being made in a private capacity. Guidelines on Public Comment by University Staff 3.7 Professional Development All staff must maintain and develop knowledge and understanding of their area of expertise or professional field. They should continuously seek to improve work performance with an emphasis on quality skills. All staff should actively seek out ways to bring about quality improvements in their workplaces. Students should endeavour to take full value of their learning opportunities while at The University of Western Australia. Staff Development Policy Statement Staff Development Grants for Professional Staff Leave for Staff Development Purposes Student Contribution Amount – Payment of Fees for University Staff Code of Good Practice for Graduate Research Supervision For a list of useful publications on professional development see:
APPENDIX 1Relevant Acts There are a number of Commonwealth and State Acts relevant to members of this University. While the University has policies, guidelines, awards and agreements that reflect this legislation, such Acts take precedence over any internal policies or practices (including this Code). Relevant examples of this legislation are:
This list of legislation is current as of January 2009. For a full listing of major statutes affecting the University, see Major Statutes Affecting the University.
APPENDIX 2For further information regarding specific areas within the Code of Conduct, contact: Bullying, Discrimination, Harassment and Grievances Complaints Resolution Conduct of Research Confidentiality Conflicts of Interest Information Technology Intellectual Property Personal and Professional Development Public Comment Employment Conditions Public Interest Disclosure (PID) Officer The Code of Ethics and Code of Conduct is maintained and updated by Equity and Diversity in Human Resources. Should there be any changes to law or policy in your area which may need to be altered, amended or included in the Codes, please contact Equity and Diversity on 6488 3873.
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