• Section 1 - Purpose and Context
• Section 2 - Definitions
• Section 3 - Policy Statement
• Application to Staff
• Part A - External University Work
• External University Work Not Covered by this Policy
• Part B - External Private Work
• External Private Work Not Covered by this Policy
• Part C - Prohibited External Work
• Section 4 - Procedures
• Part D - Approvals
• External University Work
• External Private Work
• Part E - Disciplinary Matters
• Part F - Review of Policy and Compliance
• Section 5 - Guidelines
• External Work Not Covered by the Policy - External Private Work
• Prohibited External Work
• Conflict of Interest
• Affecting Capacity
• Damage to Reputation or Risk
• External Private Work
• Use of University and Academic Titles
• Clinical Academics
• Use of University Resources for External Private Work
• Honorary Appointments with Other Universities or Organisations

Section 1 - Purpose and Context

(1) The University recognises the importance of academic staff members having the opportunity to undertake a limited amount of external work to enhance their practical and professional skills, to improve and disperse their research knowledge and professional expertise and to establish or continue good relations between the University and the community.

(2) This Policy aims to support the professional development and interaction of staff with the professional world as well as providing a framework under which additional income can be generated for the University as well as for individual staff members in appropriate circumstances.

(3) The Policy also aims to ensure that any external work by academic and general staff is consistent with the objectives of the University, does not present a conflict of interest, and is conducted in a manner that protects the University from liability and risk. It does not aim to interfere with legitimate external private work that staff may undertake related to their professional expertise but rather establishes the framework to delineate between that work and work on behalf of the University. As such it protects the interests of individuals as well as the University.

(4) In the 2001/03 Enterprise Agreement there were extensive provisions related to outside/additional work. With the introduction of the 05/08 Agreement the expectation was that policy would be developed to address this issue. In addition the NSW Audit Office undertook a Performance Audit of academics' paid outside work in 2000 and this has subsequently been reviewed by the NSW Public Accounts Committee. This Policy has been drafted to address the standards prescribed in those reports, and relevant extracts are included as Associated Information to this Policy.

(5) This Policy does not deal with additional internal work (such as additional teaching) undertaken within the University that is subject to procedures dealt with under the terms of employment specified in agreements and the Additional Work Policy.

Section 2 - Definitions

(6) This Policy deals with two categories of external work:

1. External University Work, being work undertaken with or for a party external to the University, including an entity of the University, that can be either part of or additional to the staff member's workload. This is work conducted in the University's name and for which payment is made to the University. The staff member remains as the employee of the University and receives remuneration for the additional or outside work via the University. This work falls within the parameters of university consulting managed by Innovation and Consulting and the Consulting Policy (under development).
2. External Private Work, being work undertaken with or for a party external to the University and that is entirely unconnected with the University. It is separate from and additional to the staff member's workload or contracted hours of work and the University is not the employer. This is work conducted in the individual's name (or by a company or other party with which they have an interest or association) and for which payment is made to the individual (or company/other party) direct.

(7) Work for the purpose of this Policy means personal effort or exertion that derives financial or other benefit for an individual or a person/s or body associated with that individual.

Section 3 - Policy Statement

Application to Staff

(8) This Policy applies to all continuing and fixed-term full-time academic and general staff members. It also applies to academic and general staff members who are employed on a part-time basis where the conduct of external work affects their ability to fulfil the duties of their employment, where there is an association with the University, or where there is a potential conflict of interest.

Part A - External University Work

(9) External University Work includes consultancies and other forms of commercial enterprise as covered by the University's Consulting practices managed by Innovation and Consulting (Consulting Policy and associated Consulting Procedures under development) and the Commercial Activities Guidelines.

(10) External University Work provides a range of benefits to staff including:

1. coverage under the University professional indemnity insurance;
2. recognition under workload, performance and promotions criteria;
3. access to the University's resources and use of the staff member's University title;
4. additional income to the University, individual units and to the individual staff member;
5. organisational support with respect to contractual arrangements; and
6. recording relevant activities in terms of research performance.

(11) External University Work can be undertaken within a staff member's workload agreement, in the case of academic staff, or in accordance with the terms and conditions of employment in the case of other staff. External University Work can also be undertaken in addition to a staff member's workload or terms of engagement with the University, subject to approval.

(12) A staff member does not receive any additional remuneration in relation to External University Work that is undertaken within the parameters of the staff member's workload agreement (or other terms of engagement).

(13) A staff member may receive additional remuneration for External University Work that is undertaken in addition to a staff member's defined workload or terms of engagement. Any such payment must be made through the University's finance and payroll systems and in compliance with ATO requirements and not through a private company or non-University body.

(14) Additional income from External University Work may also be credited to School and College entrepreneurial accounts as an alternative and/or in addition to payment to individuals. In such cases the funds are then applied to School related purpose under delegation. That is, the account is not held by or 'attached' to the individual staff member.

(15) The level of remuneration that a staff member may receive for External University Work is subject to the provisions for University Consulting managed by Innovation and Consulting (Consulting Policy and Consulting Procedures under development).

External University Work Not Covered by this Policy

(16) This Policy does not apply to the following external activities that are considered part of the normal expectations of academic work:

1. the refereeing of journal articles; papers and books;
2. occasional lectures, performances, exhibitions, conference participation, media appearances and the like;
3. the undertaking of reviews related to academic programs, quality assessments and the like;
4. writing, editing or publishing scholarly works or membership of editorial boards;
5. examining for educational and professional bodies (e.g. theses); and
6. service on educational, professional, and community committees and groups.

(17) Staff may engage in this activity and receive and retain any payment provided that the payment is in the nature of a reimbursement or gratuity rather than a commercially priced fee for service.

(18) The provisions also apply to general staff where they undertake work of a similar nature such as administrative reviews, service on committees or groups and the like.

Part B - External Private Work

(19) External Private Work may be undertaken by a staff member so long as:

1. it is reported and approved in accordance with the procedures in this Policy;
2. it does not fall within the category of prohibited external work;
3. it is not in any way represented as being associated with the University or covered by University insurance and clients of the staff member are fully informed of that;
4. it does not utilise the intellectual property of the University; and
5. evidence is provided that the staff member has appropriate and separate insurance for the activities to be undertaken.

(20) University resources, including the staff member's workload allocation, University equipment, facilities, finance and other systems, other staffing resources, IT network, etc. are not to be used for any External Private Work, except where the staff member concerned accesses and pays for the use in accordance with the normal provision of facilities to the community. For example a staff member may hire a University facility that is made available for hire to the community at large. Further information about use of University resources in these circumstances is contained in the Guidelines (see Section 5).

(21) A staff member may not use their University or academic title in the representation of External Private Work except with the prior and formal approval of the Head of School /Director. Such permission is to be granted in exceptional circumstances and examples of this are covered in the Guidelines (see Section 5).

(22) The University provides no indemnification or insurance cover to staff undertaking private external work or to their clients. Staff members undertake such work entirely at their own liability and risk, and must be able to demonstrate that any client they work with is fully aware of that status.

(23) Clinical academics who engage in private professional practice to ensure that they maintain requirements for professional registration and standards must meet the requirements of this Part. A critical issue is to ensure that such activities are fully insured and that the University is indemnified against any claims. Further guidance on this situation is provided in the Guidelines (see Section 5).

(24) Staff members who undertake teaching at another educational institution must meet the requirements of this Part. When undertaking employment with another organisation, such staff are subject to the employment conditions of that organisation. Further guidance on this situation is provided in the Guidelines (see Section 5) with respect to the potential for conflict of interest.

(25) Staff members wishing to take up honorary appointments with other institutions (such as visiting or adjunct appointments) must meet the requirements of this Part. Further guidance on this situation is provided in the Guidelines (see Section 5).

(26) Where external work has been identified at the initiative of a staff member in the course of their employment, or has been identified by the University, such work must be undertaken as External University Work. Staff members must not use their position or association with the University for the purposes of generating External Private Work.

External Private Work Not Covered by this Policy

(27) This Policy does not apply to external work undertaken that is unrelated to the discipline, skills, qualifications, professional role or expertise in respect of which the staff member is engaged by the University, unless that work affects the fulfilment of the contract of employment that the staff member has with the University or the work falls within the ambit of the clause below on prohibited external work.

(28) Where a staff member is unclear whether any External Private Work they are undertaking falls within this exclusion, they should discuss the matter with their supervisor. Further elaboration of this point is contained in the Guidelines (see Section 5).

Part C - Prohibited External Work

(29) External work that is prohibited is work that:

1. represents a conflict of interest with the staff member's employment at the University, such as engaging in activities that compete directly with UWS activities and including the private tuition of UWS students;
2. directly affects the capacity of the staff member, or their organisational unit, to perform the duties of their position or organisational function with the University; or
3. adversely affects the reputation and standing of the University, or creates a risk for the University.

(30) Guidance as to the kinds of circumstances encompassed by these prohibitions is provided in the Guidelines section of this Policy.

Section 4 - Procedures

Part D - Approvals

External University Work

(31) The Head of School (or Director in the case of staff in administrative units) may approve the undertaking of External University Work either within load or above load, in accordance with University Consulting managed by Innovation and Consulting (Consulting Policy and Consulting Procedures under development), the Delegations (Administrative) Policy and the Commercial Activities Guidelines where appropriate.

(32) The Head of School /Director is responsible for maintaining records of External University Work undertaken by staff and such work may be required to be entered into the Commercial Register maintained by Innovation and Consulting in accordance with the Commercial Activities Guidelines.

External Private Work

(33) Staff members are required to seek approval to any External Private Work as and when it occurs by submitting the External Private Annual Disclosure and Approval Form (see attachment) to their supervisor for referral to and approval by the relevant Head of School and Executive Dean, in the case of academic staff, and Director and DVC /CFO in the case of general staff. Approval must be sought in advance of the staff member committing to the undertaking of the work. Where this has not occurred the University reserves the right to refuse permission to the staff member.

(34) New staff being employed by the University will be asked to declare any work that they intend to continue following their engagement with the University. This will be managed by the Office of Human Resources as part of the employment process and be made available to applicants as part of the conditions of employment information.

(35) All staff members are also required to declare, by 30 November each year (normally as part of their annual workload agreement or annual performance review) that any External Private Work that they have undertaken has been declared and remains consistent with the requirements of this Policy. Staff must also declare at this time if it is the case that they have not undertaken any External Private Work. The External Private Annual Disclosure and Approval Form is used for this purpose.

(36) For staff engaged in approved External Private Work, the annual workload/performance discussions and agreements with supervisors and the HOS /Director, must review the work being undertaken to ensure that it continues to meet the requirements of this Policy (Part B).

(37) The Head of School /Director is required to maintain a register of External Private Work undertaken and declared by staff in their Unit. Any use of University facilities or resources, including academic titles should be recorded along with the associated conditions of use. This register and all associated documentation evidencing the status and nature of the External Private Work must be retained on formal UWS TRIM files in accordance with the Records Management Policy. Such information does constitute personal information and must be managed in accordance with the University's Privacy Policy.

Part E - Disciplinary Matters

(38) A staff member may be subject to disciplinary action if the staff member breaches the provisions of this Policy. In particular disciplinary action may be taken where a staff member:

1. represents (actively or passively) to an external party that work is being conducted under the auspices of the University when it is not;
2. undertakes work that breaches the Prohibited External Work provisions of this Policy;
3. makes use of University resources for Private External Work, for which prior approval has not been given and/or where no appropriate arrangements for payment to the University have been made;
4. undertakes External Private Work that was introduced through the University that should be undertaken as External University Work; or
5. undertakes External Private Work of any kind without appropriate approval.

Part F - Review of Policy and Compliance

(39) The Policy will be reviewed by the Office of Human Resources after two years. The Audit and Risk Assessment Unit may include key compliance elements in its audit program during that period.

Section 5 - Guidelines

External Work Not Covered by the Policy - External Private Work

(40) The kind of work that is not covered by this Policy is work that is completely unrelated to the staff member's role or basis for employment with the University. So for instance, a role such as a paid sports referee would generally fall in this category. Such work does not need to be reported but staff are obliged to advise their supervisor if such commitments affect their employment with the University. In the case of driving a taxi this could become an issue for discussion with a staff member's supervisor if it has a deleterious effect on the staff member's performance of their duties at the University.

(41) If the work falls within the category of Prohibited External Work then it must be declared.

Prohibited External Work

Conflict of Interest

(42) Conflicts of interest are dealt with in the University's Code of Conduct and cover situations where a staff member's interests, separate to the University, in some way affect the actions or decisions of the staff member on behalf of the University, or affect the operations of the University. Such a conflict may be real or perceived.

(43) So for instance the undertaking of work that would directly compete with the University represents a conflict as does the private tuition of any UWS student. Teaching at another educational institution does not, on the face of it, represent a conflict of interest but there may be circumstances in which a conflict does arise and cases need to be considered individually. The conflict of interest principle extends to cover situations such as a staff member being involved with a business that undertakes competing work rather than the individual themselves. Likewise being involved in University decisions about persons or entities in which the staff member has an interest is also a conflict.

(44) Real and potential conflict of interest situations need to be declared and dealt with in discussion with supervisors. The Code of Conduct includes a simple ethics test that can be used.

(45) In terms of External Private Work the conflict of interest principle also means that you cannot use your University position and associated resources for private benefit or gain.

Affecting Capacity

(46) If the activity concerned is likely to result in some damage or diminution of the capacity or services, or quality thereof of the University or its staff or students then it should not be approved. This could be as simple as the private external time commitment directly affecting the capacity of the staff member to maintain standards of teaching and assessment for their students. In short can they satisfactorily fulfil the requirements of their workload?

(47) Where the work being undertaken is External University Work, the expectation is that any adverse affects would be assessed and addressed as part of the approval process.

(48) As a guide it is considered that for a staff member with a full time workload with the University that the limit on the undertaking of External Private Work is the equivalent of one full day per week. For anything beyond this the staff member must be able to demonstrate that the additional work will not affect their capacity to fulfil the requirements of their engagement with the University.

Damage to Reputation or Risk

(49) Work will not be approved where it has the potential to damage the reputation of the University. This does not relate to circumstances associated with the academic pursuit of free enquiry but rather to situations where work may be inconsistent with the mission, goals or values of the University.

(50) In terms of risk, all projects must be assessed in terms of any potential risks to the University. Risk assessment relates to the possibility of events or actions affecting the University's capacity to deliver its organisational objectives. Applicants should declare any perceived risks and the Head of School is responsible for the risk assessment.

External Private Work

Use of University and Academic Titles

(51) Generally staff members may not use their University or academic (or other) titles when undertaking External Private Work. However, it is recognised that in some circumstances, while a person may be undertaking work in a private capacity, there may be some rationale for the person to continue to use their academic title. Where such activities represent minimal risk to the University and involve work consistent with the mission, objectives and values of the University, the Executive Dean of the relevant College, on the recommendation of the Head of School, may give approval to the use of the title. Divisional staff would be approved by the relevant DVC on the recommendation of the relevant Director or Manager.

Clinical Academics

(52) Clinical academics undertaking private practice for professional reasons are required to abide by the provisions of this Policy. Approval must be obtained from the Head of School using the approval form along with disclosure of relevant details.

(53) Evidence needs to be provided that such persons have full insurance cover dealing with current and future liabilities.

(54) It is not uncommon for clinical practice to be conducted on campus and staff must ensure that formal arrangements have been entered into for the use of the University's premises. In these circumstances it is essential that proper measures are put in place to ensure that patients are fully aware that the practice is fully private and has no association with the University. Acknowledgements by patients of this fact must be contained in patient documentation. This also extends to signage that may be present in the clinic location.

(55) Other University staff may not be engaged in the support of such activities unless a formal agreement including appropriate payment to the University has been entered into or a separate and private employment arrangement is made. University staff should not be involved in making appointments, responding to enquiries etc. except in individual cases of emergency. The critical issue here is to ensure that, notwithstanding the location of the activity on UWS premises that clients do not gain the impression that the clinical service is being provided by the University.

Use of University Resources for External Private Work

(56) The essential principle is that External Private Work is not associated with the University and as such any use of University resources must be fully accounted for and paid for by the academic at the same rates that might be charged to external persons in the community. For the use of University facilities such as office or teaching spaces a standard rate of charge is available via Innovation and Consulting.

(57) However, for more complex arrangements that might involve the use of equipment and possibly staffing resources a formal calculation will need to be made of the resources owned by the University and the payment to be made by the staff member. These arrangements need to be assessed at the time of seeking approval and a formal agreement entered into between the staff member and the University. The relevant Executive Dean or DVC /CFO is responsible for approving any arrangements for the use of University resources and Innovation and Consulting must certify that the costings are accurate. The agreement will also establish the terms and conditions for payment.

(58) The annual review of External Outside Work arrangements will also review whether any agreement related to resources is being met and approval must be withdrawn where that is not the case.

Honorary Appointments with Other Universities or Organisations

(59) Appointments to honorary positions at other universities such as visiting or adjunct appointments come within the definition of work in this Policy (clause 7) and as such they must be reported and approved. It is also the case that new appointees to the University may wish to undertake or maintain honorary appointments with their former (or other) institutions. These can be dealt with under this Policy in accordance with clause 34.

(60) By their nature, these appointments do not fit exactly within the definitions of External University Work or External Private Work in that while their conferral is largely contingent upon the status and achievements of the individual as a UWS staff member, the appointments are offered to persons individually.

(61) The procedures to be applied for these honorary appointments are those provided in this Policy for External Private Work. This means that approval is given by the Executive Dean on the recommendation of the Head of School or Director of University Research Centre.

(62) These appointments represent significant professional recognition and development of the individuals, enhance the reputation of the University and generally should be supported unless there are practical reasons not to do so.

(63) In considering and approving these appointments particular regard must be had to:

1. the prohibition on the use of UWS intellectual property including course material, noting that the appointee remains an employee of UWS and that the provisions of the UWS Intellectual Property Policy will apply;
2. the need for a written agreement between the parties relating to the creation of any intellectual property where this is likely;
3. the potential for any conflict of interest situations that might arise. For example a staff member's research standing could potentially divert prospective research students away from UWS; and
4. the need to ensure that the research output of the staff member is credited through their UWS affiliation for the purpose of the DEST Higher Education Research Data Collection (HERDC) and other research reporting.

(64) It is important to ensure that these issues are considered and addressed during the approval process and that where necessary formal clarifications or agreements are reached with the appointing institution so that the appointment can proceed on the basis of certainty among the parties. In particular a written agreement should be entered into between UWS and the host organisation where there are intellectual property considerations.