Paid Outside Work - Policy 000835

Date of Commencement: Friday, 31st August 2007

1. Introduction

The 2007 – 2011 University of Newcastle Strategic Plan asserts the need to protect and further the University’s interests by developing and implementing a comprehensive and robust risk management framework. It is in the interests of the University for members of staff to participate in appropriate paid outside work activities which bring benefits to the institution while promoting or maintaining the professional standing of staff.

2. Policy Intent

This policy provides a framework for the undertaking of paid external work by academic and non-academic staff.

2.1 Policy Objectives

The objectives of this policy are:

i. to encourage staff participation in consultancies which bring opportunities and benefits to the University, its staff and its clients;

ii. to facilitate the negotiation and determination of contracts bringing significant benefits to the University and its staff whilst ensuring full cost recovery and compliance with relevant legislation;

iii. to provide a flexible management framework to cover the range of paid outside work opportunities available to the staff of the University;

iv. to define the University's expectations of the types of paid outside work to be undertaken by staff which involve or implicate the University, including ensuring the proper functioning of the School or Faculty of the staff member; and

v. to provide guidance to persons inside and outside the University as to the range of paid outside work which can be undertaken using the University’s name, services, or resources, either directly or by implication.

3. Definitions

The following definitions apply for the purpose of this policy:

academic staff member means a member of staff employed as a member of the academic staff of the University;

client external to the University means a controlled entity of the University or another body or person other than the University, with whom the staff member contracts to perform paid work;

non-academic staff member means a member of staff employed as a member of the general staff or as a teacher of the University;

paid outside work means paid work performed by a member of staff for a client external to the University; it includes:

i) University-sponsored paid outside work;

ii) position specific paid outside work;

iii) teaching related paid outside work;

iv) private work; and

v) the appointment of members of staff to adjunct and visiting appointments (however titled) in other institutions, for payment other than reimbursement of out-of-pocket expenses such as for travel, accommodation and incidental expenses;

position specific paid outside work means paid work that is directly related to the requirements of the professional accreditation or standing of the staff member, or of the University;

private work means paid work performed for a client external to the University:

i) by a staff member; and

ii) undertaken in the individual’s name; or

iii) undertaken through a company in or with which the individual has an interest or association;

Statement of Compliance means a statement signed by a staff member indicating that the requirements of this policy have been complied with in relation to University-sponsored paid outside work and/or private work;

teaching related paid outside work means teaching of a course or program of the University or another institution for payment to the staff member by:

i) the University in addition to normal salary; or

ii) another body or institution;

University-sponsored paid outside work means paid outside work undertaken through The University of Newcastle Research Associates Limited (TUNRA);

University resources means any resources of the University ; it includes the staff member’s workload and/or duties set out in a Position Description or Workplace Agreement; University equipment; facilities; finance and other systems; IT networks; other staffing resources; and the University’s name, logo or any other identifying mark of the University.

4. Scope

4.1 This policy:

i) applies to all University staff members - academic and non-academic; and

ii) does not apply to exempt activities.

5. Exempt Activities

5.1 The following activities are exempt from the operation of this policy:

i. refereeing of articles, papers and books and similar scholarly work;

ii. examining for educational and professional bodies (eg theses);

iii. delivering occasional guest lectures, seminars and conference papers or sessions;

iv. providing occasional performances, exhibitions, media contributions and appearances;

v. writing, editing and reviewing of scholarly works;

vi. membership of editorial boards;

vii. membership of company or other boards as a University appointee or nominee;

viii. service on community, educational, professional committees or groups;

ix. any activity serving educational, community service or professional purposes, where any remuneration is by way of reimbursement, a gratuity or honorarium, and is not a commercial fee for service;

x. any activity undertaken by a part-time or casual member of staff outside and unrelated to the contract of employment with the University, providing that the conditions in Clause 7.1 iii – v. are observed; and

xi. any other activity for which a staff member receives approval to conduct as an exempt activity under this policy.

5.2 Approval to conduct an activity as an exempt activity must be obtained in writing by the staff member from the relevant Pro Vice-Chancellor or Head of Division prior to commencing the activity or, if the activity is already being undertaken when this policy commences, within 14 days of the commencement date of the policy.

5.3 If a staff member is uncertain about whether an activity is an exempt activity, the advice of the relevant Pro Vice-Chancellor or Head of Division should be sought before the activity commences or, if it is already being undertaken when this policy commences, within 14 days of the commencement date of the policy.

5.4 An exempt activity must not be undertaken by a member of staff if conducting the activity:

i. constitutes a conflict of interest in relation to the member of staff’s employment relationship with the University; or

ii. will adversely affect the capacity of the staff member to perform duties or organisational functions within the University.

6. Paid Outside Work Which May Not be Approved

6.1 Paid outside work may not be approved by the University where:

i. the staff member has or may have a conflict of interest in relation to the staff member’s employment relationship with the University, including where the work may be in competition with the University because it is an area in which the University could reasonably claim to have expertise to undertake such work;

ii. University resources are or will be used without the consent of the University or where the costs of such use cannot be reimbursed;

iii. the capacity of the staff member to perform their duties or organisational functions in the University is or will be directly affected;

iv. the reputation, standing or performance of the University is or may be adversely affected; and/or

v. a significant risk for the University exists or may be created in the course of performing the paid outside work.

6.2 If a staff member wishes to undertake paid outside work where any of the conditions in Clause 6.1 applies, the member of staff may apply in writing to the relevant Pro Vice-Chancellor or Head of Division, who may, taking into account the University’s interests, accept or reject the application.

7. University-Sponsored Paid Outside Work

7.1 A staff member may undertake University-sponsored paid outside work if the following conditions are met:

i. the work

(a) has the prior approval of the relevant Pro Vice-Chancellor or Head of Division; and

(b) is undertaken outside the workload allocation for an academic staff member or outside normal working hours for a non-academic staff member; or

(c) where there is prior written approval from the relevant Pro Vice-Chancellor or Head of Division to conduct it within the workload allocation for an academic staff member or within the normal working hours for a non-academic staff member;

ii. the prior approval is renewed annually by the relevant Pro Vice-Chancellor or Head of Division;

iii. the work is not an exempt activity;

iv. either no University intellectual property will be used in the work or approval to use University intellectual property has been obtained prior to the work commencing;

v. the staff member complies with the requirements of Clauses 13 and 14 in relation to the use of any University affiliation and the Managing for Performance procedures respectively;

(a) no University resources will be used; or

(b) if any University resources will be used, the staff member will:

§ first seek specific approval from the relevant Pro Vice-Chancellor or Head of Division for the use; and

§ make arrangements for any reimbursement of costs to the University, as determined by the Pro Vice-Chancellor or Head of Division;

vi. there is no conflict of interest with, or significant risk to, the interests of the University;

vii. the staff member provides by 31 December each year a Statement of Compliance for that year, to the relevant Pro Vice-Chancellor or Head of Division; and

viii. the Statement of Compliance states that in undertaking the University-sponsored paid outside work the staff member:

§ has complied with this policy; and

§ has reimbursed the University in full for any costs incurred under Clause 7.1.v.(b).

7.2 In the event that TUNRA decides that paid outside work proposed as University-sponsored work will not be undertaken through TUNRA, the member of staff may elect to treat that work as private work under this policy.

8. Position Specific and Teaching Related Paid Outside Work

8.1 A staff member may only undertake position specific or teaching related paid outside work with the prior written approval of the relevant Pro Vice-Chancellor or Head of Division.

8.2 Approval must be sought in writing.

8.3 Approval must be renewed in writing on an annual basis, by 31 December.

8.4 Position specific or teaching related paid outside work may be undertaken by the member of staff by agreement with the Pro Vice-Chancellor

(i) within the workload allocation for an academic member of staff or within normal working hours for a non-academic member of staff or

(ii) as University-sponsored paid outside work or

(iii) as private work.

9. Written Contract of Employment with the University

9.1 Where a staff member has a specific written condition in the contract of employment with the University giving a right to undertake particular paid outside work, further approval is not required under this policy, but the work must comply with the requirements of Clauses 7.1 iii. to vi. of this policy.

9.2 Where a staff member undertakes paid outside work as provided for in the written contract of employment with the University, an annual Statement of Compliance must be provided to the relevant Pro Vice-Chancellor or Head of Division, by 31 December.

9.3 The Statement of Compliance provided under this Clause must state that the staff member has complied with the requirements of Clauses 7.1 iii to v. of this policy and that there has been full reimbursement for any costs incurred under Clause 7.1.v(b) in using University resources.

10. Private Work

10.1 A member of staff may undertake private work provided that:

i. the nature, proposed duration and frequency of the work does not affect the performance of the staff member’s duties;

ii. no University resources will be required or the University is fully recompensed for any resources used and such use only occurs with the prior written consent of the relevant Pro Vice-Chancellor or Head of Division;

iii. no conflict of interest exists with the interests of the University;

iv. the University is not exposed to any risk;

v. the staff member maintains adequate insurance coverage including professional indemnity coverage in relation to the private work;

vi. a statement is provided in writing to the external client for whom the work is to be conducted by the staff member, stating:

§ that the work is being undertaken by the staff member in a private capacity; and

§ that the University is in no manner involved in the particular activity;

vii. the staff member provides by 31 December each year a Statement of Compliance with this policy to the relevant Pro Vice-Chancellor or Head of Division; and

viii. the Statement of Compliance states that in undertaking any private work the staff member:

§ has complied with this policy; and

§ has reimbursed the University in full for any costs incurred.

11. Register of Paid Outside Work and Statements of Compliance

11.1 Each Pro Vice-Chancellor or Head of Division will maintain a register of approvals for paid outside work and Statements of Compliance by staff members in the relevant Faculty or Division.

11.2 Information on each register may be used for University purposes including audit, reporting, compliance monitoring and other purposes required by government, legislation or University workplace agreements, rules, policies or procedures.

12. Intellectual Property

12.1 It is acknowledged that a staff member who undertakes paid outside work will use his or her professional expertise in undertaking that work.

12.2 A staff member who proposes to undertake paid outside work which may involve the use of University intellectual property is required to first obtain the written approval of the Deputy Vice-Chancellor (Research) for the use of that intellectual property, and to enter into a written agreement with the University regarding the use of the University intellectual property.

12.3 The Deputy Vice-Chancellor (Research) may, in the interests of the University, decline to approve the use of University intellectual property in paid outside work.

13. Use of University Affiliation

A staff member of staff in undertaking private work:

i. may only use their University affiliation or academic title with the prior written approval of the relevant Pro Vice-Chancellor or Head of Division;

ii. must not use University stationery or letterhead; and

iii. must direct mail, email, telephone and other communications relating to the private work to a place other than the University.

14. Managing for Performance and Paid Outside Work

14.1 Compliance with this policy will be assessed as part of the annual Managing for Performance process.

14.2 Each staff member who undertakes paid outside work will provide to their supervisor an annual report on the paid outside work undertaken in that year, including University-sponsored paid outside work and private work.

15. Register of Expertise

15.1 The Office of the Pro Vice-Chancellor, Corporate Development and Community Partnerships will maintain a University Register of Expertise.

15.2 The Register of Expertise will record the names and University contact details of staff members who are willing to be contacted by a prospective external client to perform paid outside work in a field of expertise listed for that staff member in the Register.

15.3 In order to be listed in the Register of Expertise, the staff member must provide to the Pro Vice-Chancellor, Corporate Development and Community Partnerships sufficient evidence that the staff member has previously performed paid outside work and is recognised as having expertise in that field.

15.4 It is the responsibility of any staff member listed in the Register of Expertise to ensure that the information in the Register relating to that staff member is current and accurate.

15.5 The Pro Vice-Chancellor, Corporate Development and Community Partnerships may provide information from the Register of Expertise to any prospective or existing external client of the University, or may use it to promote the University’s expertise and capabilities in any medium or forum.

15.6 TUNRA will have access to the Register of Expertise as determined by the Deputy Vice-Chancellor (Research) for purposes agreed between TUNRA and the Deputy Vice-Chancellor (Research).

16. Complaints

Complaints about determinations made under this policy may be made to the University Complaints Manager, who will deal with them in accordance with the University’s Complaint Resolution Policy.

17. Breach of the Policy

A breach of this policy may be dealt with by:

i. conditions being placed by the relevant Pro Vice-Chancellor or Head of Division on the approval for the paid outside work;

ii. withdrawal of approval to conduct the paid outside work;

iii. withdrawal of eligibility to apply to undertake paid outside work;

iv. referral to the Vice-Chancellor under the relevant Workplace Agreement misconduct/serious misconduct provisions; and/or

v. any other action considered necessary by the Deputy Vice-Chancellor (Research).

18. Review, Amendment and Promotion of the Policy

18.1 The policy will be reviewed within 18 months of the commencement date and thereafter every two years by the Deputy Vice-Chancellor (Research).

18.2 The Deputy Vice-Chancellor (Research) is responsible for approving any amendments to the policy.

18.3 The Deputy Vice-Chancellor (Research) will ensure that the policy is promoted widely within the University, including to every new member of staff and to all supervisors.

19. Essential Supporting Documents

Avoiding Conflicts of Interest - Policy 000420 http://www.newcastle.edu.au/policylibrary/000420.html

20. Related Documents

Code of Conduct Staff - Policy 000059 http://www.newcastle.edu.au/policylibrary/000059.html

Complaint Resolution - Policy 000745 http://www.newcastle.edu.au/policylibrary/000745.html

Intellectual Property – Policy 000169

http://www.newcastle.edu.au/policylibrary/000169.html

Performance Management Policy and Procedures

Approval Authority: Council

Date Approved: Friday, 31st August 2007

Date For Review: Tuesday, 31st August 2010

Policy Contact Position: Deputy Academic Registrar, Governance and Policy

Amendment History:

Approved Council 31 August 2007;
Definition amended 2 October 2007.