Policy

Consultancy, Secondary Employment and Internal Work

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1.0 Purpose and Scope

The University of Queensland (UQ or the University) is committed to facilitating its Staff to partner with industry, government and other organisations to enable their specialised skills to be used to the benefit of our society. This may be achieved through UQ staff engaging in Consultancy or Secondary Employment. 

This policy defines the principles relating to work that UQ staff may engage in using their specialised skills and that do not form part of the staff members’ core employment duties.

The purpose of this policy is to facilitate that work while protecting the interests of the University.

The three different types of work covered by this policy are:

  1. Consultancy (section 2.1 and 2.1.1);
  2. Secondary Employment (section 2.2 and 2.2.1); and
  3. Internal Work (section 2.3 and 2.3.1).

This policy should be read and applied in conjunction with the following:

This policy applies to University staff and Affiliates, unless stated otherwise.

2.0 Principles and Key Requirements

The University acknowledges there may be potential overlap between Research and consultancy work.  Where this occurs, the University’s preference is that work be conducted as research rather than consultancy.  Similarly, it is the University’s preference that any non-research work be conducted through UQ as consultancy rather than as secondary employment.

  1. Work must not adversely impact the core academic activities of the University or damage the University’s reputation.
  2. Any non-research work that utilises the University’s name, property, facilities or other resources must be transacted through the University as consultancy.
  3. Any work must be consistent with the requirements of the Conflict of Interest Policy which promotes the alignment of staff interests with those of the University. All actual, perceived and potential conflicts of interest must be disclosed and managed in accordance with the Conflict of Interest Policy and its procedures.
  4. Consultancy and internal work must:
    1. be consistent with UQ’s statutory functions, objectives and aims; and
    2. provide demonstrable benefit to UQ and align with the strategic objectives of UQ and the relevant organisational unit.

Any breach of this policy and supporting procedures will be managed in accordance with the provisions of the UQ Code of Conduct, the UQ Enterprise Agreement, contracts of employment and/or any other applicable UQ policy or procedure.

2.1 Consultancy

The University is committed to encouraging and enabling consultancy activities that are aligned with the core academic activities of UQ, and enhance prospects for future research partnerships with industry, government and other organisations. This policy is intended to establish principles and practices that facilitate consultancy, and the benefits it can deliver to the University and its staff, while remaining aligned with the University’s interests.

Consultancy includes any work or services provided by UQ to an external party (e.g. industry, government or other organisations) in return for payment and involves the University providing:

  • skills and expertise of University staff; and/or
  • access to University Resources name, property, equipment or facilities to work on a specific task or project with a specific end objective.

Consultancy includes, without limitation professional services, expert opinion, advice, analysis, product testing, general testing services, process development, and delivery of programs and courses to non-enrolled students. Consultancy can be generally defined as the provision of professional services based on existing knowledge.

Consultancy activities must provide a benefit to the University that may include:

  • Generating and enhancing strategic industry partnerships, and expanding research opportunities;
  • Maintaining and enhancing industry relevance, expertise and knowledge for dissemination to the academic community, members of the public, government and other organisations;
  • Diversifying income streams to support further research and teaching activity;
  • Developing and enhancing individual professional development capability and opportunity;
  • Developing continuing professional development programs and other teaching consultancy activities that may lead to future UQ student enrolments.

Consultancy must be approved by HR Authorisation Level 5 Authorised Officer or above prior to contract signature and commencement of work.

Approval requirements are detailed in the Consultancy Procedure.

2.1.1 Principles

  1. Most types of consultancy require written approval, prior to any work being undertaken, in accordance with the Consultancy Procedure;
  2. Consultancy activities may utilise the University’s name, property, facilities and resources;
  3. UQ Insurance will apply only to approved consultancy in accordance with this policy;
  4. Consultancy activities must comply with any ethical approval processes, professional standards and regulations applicable to the nature and conduct of that work;
  5. Clients or counterparties to a UQ consultancy agreement must be external to UQ. Staff (or external entities controlled by staff) are not permitted to be engaged and paid by UQ, directly or indirectly, under a consultant agreement;
  6. Consultancy activities must not be carried out by staff through UQ controlled entities, except where that activity has a direct and tangible connection to an on-going commercialisation activity being managed by those entities.
  7. Staff and affiliates:
    1. may be entitled to access the Surplus arising from some consultancy activities as a personal payment, subject to the provisions specified in the Consultancy Procedure;
    2. engaged in consultancy are not to derive any income from the consultancy other than that distributed to them by UQ in accordance with the Consultancy Procedure;
    3. are required to conduct themselves in a manner consistent with the standards set out in the UQ Code of Conduct.

2.2 Secondary employment

Secondary employment includes any work that is undertaken outside or separate to a staff member’s UQ employment contract (including, without limitation, self-employment, independent contracting, Directorships, consulting or employment by a family company or other entity), including during absences on approved leave.

The University acknowledges that staff may wish to undertake secondary employment for a variety of reasons, including augmenting their income, or to enhance their personal or professional development. The University has an obligation to manage the risks associated with secondary employment, including the establishment of the necessary governance mechanisms to register, and monitor secondary employment.

Staff may undertake Secondary Employment without approval, with the exception of:

  • Paid employment in an academic role at another University;
  • Paid employment or Directorships of another entity that utilises UQ intellectual property that the staff member has contributed to; or
  • Directorships of a publicly listed company.

Approval for these types of secondary employment must be gained prior to their commencement from the Provost on the recommendation from relevant Level 3 HR authorised officer:
The secondary employment principles outlined in this section do not apply to casual staff or affiliates, with the exception of conjoint appointments where UQ is the lead employer.

2.2.1 Principles

  1. Secondary employment must not:
    1. be represented as a UQ sponsored or associated activity;
    2. compete with any UQ activity, including consultancy;
    3. negatively affect the performance or efficiency of the staff member or colleagues in the conduct of their UQ duties, or adversely affect their availability for UQ work;
    4. be gained by staff using their position or association with UQ as the basis for obtaining the work;
  2. Academic staff on contracts of 12 months or longer and professional staff HEW 8 and above are required to complete the annual registration in the Secondary Employment Register;
  3. Staff earn the proceeds of secondary employment in their private capacity. Staff will however not be eligible to earn the proceeds of work in their private capacity where the position with the entity was obtained as a result of the staff member’s position at UQ (e.g. positions on boards of UQ controlled entities, colleges, or other associated entities);
  4. Staff may undertake Private Outside Work without approval;
  5. UQ is not responsible for any of the administrative, financial or contractual arrangements relating to the secondary employment, including the provision of insurance.

2.3 Internal work

Internal work includes the provision of work or a service to/for a UQ organisational unit other than the unit to which the staff member reports where no external client exists. This work forms part of the staff member's duties of employment to UQ and is understood as a component of an approved workload with standard employment obligations and expectations. It includes, without limitation, Internal Clinical Practice, Research Infrastructure Services, and Collaborative Research. Internal work excludes collaborative service teaching, work which is part of the normal service expectation and work which is minor or incidental to normal workload.

Internal work requires the approval of the relevant HR Authorisation Level 5 Authorised Officer or above.

The requirements for the treatment of costs, margin and surplus for internal work are found in Table 2 of the Appendix in the associated procedures.

2.3.1 Principles

  1. Wherever possible, internal work should be carried out within the staff member’s existing workload;
  2. Internal work must be approved, prior to undertaking the work; and
  3. Staff are not permitted to derive personal income from internal work through payments from the client UQ organisation unit.  Any additional recognition or reward must be made in accordance with provisions contained in the UQ Enterprise Agreement and in any other applicable UQ policy or procedure, with the approval of the staff member’s supervisor.

3.0 Roles, Responsibilities and Accountabilities

3.1 Heads of organisational units

Heads of organisational units must:

  • Manage and approve consultancy and internal work in accordance with this policy and related procedures;
  • Monitor primary work performance of staff to ensure that consultancy and secondary employment do not adversely impact on that performance;
  • Monitor the Secondary Employment Register to ensure compliance with this policy and the Conflict of Interest Policy;
  • Ongoing review of Secondary Employment Register entries for the relevant organisational unit and follow-up and resolution of any items that require further management in line with the Conflict of Interest Policy or any other UQ policy or procedures.

3.2 Human Resources Services

Human Resources Services are responsible for the provision of periodic reporting to Heads of organisational units of the information disclosed in the Secondary Employment Register.

3.3 Managers / supervisors

Managers and supervisors are required to:

  • Manage and approve consultancy, secondary employment and internal work in accordance with this policy and related procedures;
  • Monitor management of potential, perceived or existing conflicts of interest in accordance with the Conflict of Interest Policy.

3.4 Staff

Staff are required to:

  • Read, understand and comply with this policy and related procedures;
  • Declare and manage potential, perceived or existing conflicts of interest in accordance with the Conflict of Interest Policy;
  • Ensure work relating to consultancy activities or secondary employment duties does not adversely impact on primary work duties;
  • Consider and comply with any regulations and ethical guidelines applicable to the nature and conduct of that work.

4.0 Monitoring, Review and Assurance

The Provost, Deputy Vice-Chancellor (Research) and Chief Human Resources Officer are responsible for continuous monitoring of the effectiveness and application of this policy and its related procedures with a formal review to occur at least every three years.

5.0 Recording and Reporting

The Integrity and Investigations Unit will manage all reporting processes for conflicts of interest that are identified as a result of staff undertaking consultancy, secondary employment and internal work, in accordance with the Conflict of Interest Policy.

Human Resources Services will manage reporting processes for information disclosed in the Secondary Employment Register under this policy.

The financial results of consultancy and internal work are recorded in the University’s financial system.

6.0 Appendix

Affiliates - academic title-holders, visiting academics, affiliate title-holders, emeritus professors, adjunct and honorary title-holders, industry fellows, and conjoint appointments.

Collaborative Research Services: are internal services provided by a University staff member into another staff member’s research project.

  • Unless specifically budgeted for and contractually approved, staff are not permitted to charge their services to a research project as a Consultancy fee.
  • Services provided into a research project are deemed to be research services. These costs are managed in accordance with the Contract Research and Grants Financial Management Procedures. Transfers of UQ research funds into individuals’ consultancy accounts are therefore not generally permitted.

Directorships - includes all paid or unpaid company directorships, and all similar types of governance positions involving custodianship, duty of care and responsibility in relation to external legal entities.

Enterprise Agreement - The University of Queensland Enterprise Agreement.

External Party - a company, joint venture, association, partnership, person, government or other organisation, other than UQ and UQ controlled entities.

Internal Clinical Practice: is clinical practice in University owned health care clinics conducted as part of the staff member’s allocated workload (Generally the expectation would be that the University will support clinical practice within workload allocations if required in order to maintain clinical/ professional registration, if this is a requirement of the position). 

  • This work is transacted through the University and uses the University’s name and resources. Internal Clinical Practice is available to staff who need to maintain clinical or professional credentials for their position at UQ.
  • Clinical practice in non-University owned health care clinics is excluded from this work type, refer to Private Practice.
  • Fees earned in undertaking Internal Clinical Practice are utilised to fund the clinic operations. No personal payments or transfers of funds to an individual’s Consultancy Account is permitted.

Organisational unit – a school, faculty, institute, centre or division, or part thereof.

Private Outside Work – outside employment that does not utilise the specialised skills that UQ has employed a staff member for and is not associated with the University in any way, falls outside the definition of secondary employment, and is not required to be registered.

Private Practice – external work related to the staff member’s professional identify where the University is not party to the arrangements and UQ resources are not used. Includes work completed by a staff member acting in their professional ‘practicing’ capacity, such as a clinician, lawyer, journalist, engineer, architect, IT or business professional.

Research – the concept of research is broad and includes the creation of new knowledge and/or the use of existing knowledge in a new and creative way to generate new concepts, methodologies, inventions and understandings. This could include synthesis and analysis of previous research to the extent that it is new and creative.

Research Infrastructure Services - are internal services provided by University-owned and operated equipment and infrastructure.

  • This work is transacted through the University and uses the University’s name and resources.
  • This work forms part of the operating staff member's duties of employment to the University.
  • Fees earned in undertaking internal Infrastructure Services are utilised to fund the operating unit’s operations. No personal payments or transfers of funds to an individual’s Consultancy Account is permitted.

Staff - continuing, fixed-term and research (contingent funded) and casual staff members.

Surplus - the excess of the total revenue over total expenses of a consultancy, determined at the end of a contract.

UQ resources - any resource of UQ including staff and students’ time, property, rooms, equipment, consumables, the Library, other books and manuals,  research materials, intellectual property, energy supply, University name or brand, letterhead, address and contact details, web address, or any other information or resource that might associate UQ with the service being performed.

Work - any activity where staff use the specialised skills that UQ has employed them for in a payment-for-service engagement with an external party, or UQ organisational unit other than the one (s) to which they report.  Work includes the payment of stipends or allowances.

Custodians
Chief Human Resources Officer Dr Al Jury

Procedures

Secondary Employment and Internal Work

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1.0 Purpose and Scope

The University acknowledges that Staff may wish to undertake secondary employment for a variety of reasons, including augmenting their income or to enhance their personal or professional development. The University has an obligation to manage the risks associated with secondary employment, including the establishment of the necessary governance mechanisms to register and monitor secondary employment.

Internal work includes the provision of work or service to or for an Organisational Unit other than the unit to which the staff member reports where no external client exists. The University has an obligation to appropriately manage the remuneration of its staff.

This procedure details UQ’s requirements for secondary employment and internal work, and should be read in conjunction with the Consultancy, Secondary Employment and Internal Work Policy and the Consultancy Procedures.

All actual, perceived, and potential conflicts of interest must be disclosed and managed in accordance with the Conflict of Interest Policy and its procedures.

This procedure applies to all University staff unless stated otherwise.

2.0 Process and Key Controls

  1. Academic staff on contracts of 12 months or longer and professional staff HEW 8 and above undertaking secondary employment (Private Practice) are required to complete an annual registration in the Secondary Employment Register.
  2. The secondary employment requirements do not apply to casual staff or Affiliates.
  3. Internal work requires the relevant approval prior to the work commencing.

3.0 Key Requirements

3.1 Secondary employment

Secondary employment includes any work that is undertaken using a staff member’s specialised skills that does not use the University’s name or resources in any way. It includes the following types:

  1. Additional Academic Employment: engagement in academic positions, including the receipt of allowances or stipends, at academic institutions other than UQ. Excluded from this definition are paid engagements with external entities in the service of the discipline as defined under Academic Consultancy in the Consultancy Procedures.
  2. Private Practice: All external work related to the staff member’s professional identity, where the University is not a party to the arrangements, and University resources are not used. Work completed by a staff member acting in their professional ‘practicing’ capacity, such as a clinician, lawyer, journalist, engineer, architect, IT or business professional.
  3. Directorships: Directorships include all paid or unpaid company directorships, and all similar types of governance positions involving custodianship, duty of care and responsibility in relation to external legal entities.

Registration of secondary employment must occur at least annually, or where circumstances change, using the online Secondary Employment Register.

Private Outside Work, which does not utilise the specialised skills that UQ has employed a staff member for and is not associated with the University in any way, falls outside the definition of secondary employment, and is not required to be registered.

Staff earn the proceeds of secondary employment in their private capacity. Staff will however not be eligible to earn the proceeds of work in their private capacity where the position with the entity was obtained as a result of the staff member’s position at UQ (e.g. positions on boards of UQ controlled entities, colleges, or other associated entities).

UQ is not responsible for any of the administrative, financial or contractual arrangements relating to the secondary employment, including the provision of insurance.

3.1.1 Approval

Staff may undertake secondary employment without approval, with the exception of the following activities which require approval from the Provost (for Academic staff) or the Chief Operating Officer (for Professional staff), on the recommendation from the relevant Level 3 Authorised Officer in accordance with the HR Authorisation Schedule:

  1. Additional Academic Employment;
  2. Paid employment or Directorships of another entity that utilises UQ intellectual property that the staff member has contributed to; or
  3. Directorships of a publicly listed company.

3.2 Internal work

Wherever possible, internal work should be carried out within the staff member’s existing workload. If it cannot be accommodated within load, staff are eligible for consideration for recognition and reward under the UQ Enterprise Agreement and UQ policies, subject to the necessary HR Authorisations for approval and with consideration of total existing remuneration packages.

Staff are not permitted to derive personal income from internal work through payments from the client UQ organisation unit nor may staff have funds from the client UQ organisational unit transferred to a consultancy account for internal work.
If the work is substantial in nature, an internal fee for service arrangement, at cost, may be negotiated between operational units. For minor/incidental work, it is expected there would not be any internal charge.

Internal work includes the following activities:

Internal Clinical Practice: is clinical practice in University owned health care clinics conducted as part of the staff member’s allocated workload. (Generally the expectation would be that the University will support clinical practice within workload allocations if required in order to maintain clinical/ professional registration, if this is a requirement of the position). 

  • This work is transacted through the University and uses the University’s name and resources. Internal Clinical Practice is available to staff who need to maintain clinical or professional credentials for their position at UQ.
  • Clinical practice in non-University owned health care clinics is excluded from this work type, refer to Private Practice (3.1).
  • Fees earned in undertaking Internal Clinical Practice are utilised to fund the clinic operations. No Personal Payments or transfers of funds to an individual’s consultancy account is permitted.

Research Infrastructure Services are internal services provided by University-owned and operated equipment and infrastructure.

  • This work is transacted through the University and uses the University’s name and resources.
  • This work forms part of the operating staff member's duties of employment to the University.
  • Fees earned in undertaking internal Research Infrastructure Services are utilised to fund the operating unit’s operations. No personal payments or transfers of funds to an individual’s consultancy account is permitted.

Collaborative Research Services are internal services provided by a University staff member into another staff member’s research project.

  • Unless specifically budgeted for and contractually approved, staff are not permitted to charge their services to a research project as a consultancy fee.
  • Services provided into a research project are deemed to be research services. These costs are managed in accordance with the Contract Research and Grants Financial Management Procedure. Transfers of UQ research funds into individuals’ consultancy accounts are therefore not generally permitted.

Internal work excludes collaborative service teaching, work which is part of the normal service expectation and work which is minor or incidental to the normal workload.

3.2.1 Approval

Internal work requires the approval of the relevant Level 5 Authorised Officer (or above) in accordance with the HR Authorisation Schedule prior to undertaking the work.

3.3 Transitional arrangements

Any current secondary employment requiring approval under this procedure must be approved in accordance with this procedure.

Any current secondary employment that represents a conflict of interest will be required to be disclosed and managed appropriately in accordance with the Conflict of Interest Policy. This may include immediate cessation of the activity.

Any current secondary employment activity not approved under the previous Outside Work and Business Interests for University Staff Policy, and that is not consistent with the key requirements of secondary employment under the Consultancy, Secondary Employment and Internal Work Policy, must be ceased immediately.

Where a current secondary employment activity has been approved under the previous Outside Work and Business Interests for University Staff Policy, and is consistent with the key requirements of secondary employment under the Consultancy, Secondary Employment and Internal Work Policy, the activity may continue under the conditions that activity was approved for the approved period, or up until 31 December 2020 (but not beyond) if approval extended beyond this date. 

4.0 Roles, Responsibilities and Accountabilities

4.1 Provost

The Provost is required to approve certain types of secondary employment for academic staff in accordance with these procedures.

4.2 Chief Operating Officer

The Chief Operating Officer is required to approve certain types of secondary employment for professional staff in accordance with these procedures.

4.3 Level 3 Authorised Officer

The Level 3 Authorised Officer in accordance with HR Authorisation Schedule has responsibility within their relevant organisational unit to:

  • Make recommendation to the Provost on the approval of certain types of secondary employment in accordance with these procedures.
  • Monitor the Secondary Employment Register to ensure compliance with this policy and the Conflict of Interest Policy.

4.4 Level 5 Authorised Officer

The Level 5 Authorised Officer in accordance with HR Authorisation Schedule has responsibility within their relevant organisational unit to:

4.5 Human Resources Services

Human Resources Services are responsible for the provision of periodic reporting to Heads of organisational units of the information disclosed in the Secondary Employment Register.

4.6 Staff

Staff are required to:

  • Declare and manage potential, perceived or existing conflicts of interest in accordance with the Conflict of Interest Policy;
  • Ensure work relating to secondary employment duties does not adversely impact on primary work duties.
  • Register at least annually, or where circumstances change, secondary employment activities in the Secondary Employment Register.

5.0 Monitoring, Review and Assurance

This procedure will be reviewed on a triennial basis by the joint procedure owners: Provost and Chief Human Resources Officer to ensure its ongoing relevance and effectiveness.

6.0 Recording and Reporting

The Integrity and Investigations Unit will manage reporting processes for conflicts of interest that are identified as a result of staff undertaking secondary employment and internal work, in accordance with the Conflict of Interest Policy.

Secondary employment registration and approvals occur within the Secondary Employment Register.

7.0 Appendix

7.1 Definitions

Affiliates - academic title-holders, visiting academics, affiliate title-holders, emeritus professors, adjunct and honorary title-holders, industry fellows, and conjoint appointments.

Organisational unit – a UQ school, faculty, institute, centre or division, or part thereof.

Personal payment – refer to Consultancy Procedures.

Staff - continuing, fixed-term and research (contingent funded) and casual staff members.

Custodians
Chief Human Resources Officer Dr Al Jury

Procedures

Consultancy

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1.0 Purpose and Scope

The University of Queensland (UQ or the University) is committed to facilitating its Staff to partner with industry, government and other organisations to enable their specialised skills to be used to the benefit of our society. This may be achieved through UQ staff engaging in Consultancy. 

This procedure must be read in conjunction with the Consultancy, Secondary Employment and Internal Work Policy and the Research and Consultancy Costing and Pricing Procedures and outlines UQ’s requirements for consultancy including:

  • The types of consultancy;
  • Approval and management of personal payments from consultancy activities; and
  • Use of consultancy accounts.

All actual, perceived, and potential conflicts of interest must be disclosed and managed in accordance with the Conflict of Interest Policy and its procedures.

This procedure applies to University staff and Affiliates unless stated otherwise.

2.0 Process and Key Controls

  1. Standard and Teaching Consultancy must be approved by a Level 5 Authorised Officer (or above) in accordance with the HR Authorisation Schedule prior to contract signature and commencement of work.
  2. Individual financial consultancy projects are required to be established where the income and expenditure relating to a consultancy needs to be separately identified and managed. 
  3. Any consultancy activities that do not meet the criteria for an individual project may be recorded within the individual staff member’s consultancy account using the appropriate fund code.
  4. The staff conducting the work and those approving must ensure compliance with relevant University policies, procedures and tools. Consultancy funding is to be used in accordance with the contract conditions and all University policies and procedures.
  5. Consultancy costs, margin and surplus must be managed in accordance with table 1 of the Appendix (section 7.1) and in accordance with the Research and Consultancy Costing and Pricing Procedure.

3.0 Key Requirements

3.1 Consultancy types

Three different types of consultancy are distinguished in this section:

1. Standard Consultancy (section 3.1.1)

  • Type 1
  • Type 2
  • Type 3

2. Teaching Consultancy (section 3.1.2)

  • Type A
  • Type B

3. Academic Consultancy (section 3.1.3)

3.1.1 Standard Consultancy

Standard Consultancy includes, without limitation, professional services, expert opinion, advice, analysis, product testing, general testing services and process development.

Three distinct types of standard consultancy are applied to academic staff, based on a combination of significance and value, strategic importance and the operating model of the organisational unit are recognised:

Type 1 is based on the operating model and strategic requirements of the organisational unit rather than the monetary value of the consultancy work. The primary purpose of Type 1 is to support the budget of the organisational unit. Type 1 is currently limited to the Sustainable Minerals Institute, Institute for Social Sciences Research, and any research infrastructure services.

Type 2 is a contract or engagement that results in over $10,000 of direct costs to UQ. Type 2 is strategically important, usually collaborative, must be supported by a contract, and often has reporting requirements. The purpose of Type 2 is to develop external partnerships and/or receive discretionary research funds. All expert witness work, regardless of the value, is considered Type 2. The Consulting and Research Expertise unit is responsible for providing advice and support for all Type 2. May be eligible for Consultancy Performance Payments (CPP).

Type 3 is a contract or engagement that results in $10,000 or less of direct costs to UQ. Type 3 is usually the result of an external request, is not initiated as a strategic requirement, is within a normal workload allocation, and should be supported by a contract. The purpose of Type 3 is to generate connections, discretionary research funds, or enhance the personal development of a staff member.

All professional staff consultancy work, regardless of the value, is treated as Standard Consultancy Type 3.

3.1.2 Teaching Consultancy

Teaching Consultancy involves the delivery of programs, courses and professional development to non-enrolled students. Two types of Teaching Consultancy are recognised:

Type A is work of strategic importance to the organisational unit and is key to supporting its budget and core business. Type A typically utilises staff resources from other operational units and is work conducted outside workload. Type A is currently limited to the UQ Business School, Executive Education and the Institute of Continuing and TESOL Education, International Development. May be eligible for Teaching Consultancy Payments (TCP).

Type B is primarily to generate income for an organisational unit and to generate connections with industry and/or future students. Type B is work conducted within workload. Examples include CPD teaching and contract teaching to students from other universities.

3.1.3 Academic Consultancy

Academic Consultancy work profiles the University through academic engagement and provides a service to the discipline. Academic Consultancy involves services supplied to a government funding agency or another university, or solely supplied for the dissemination of knowledge. Academic Consultancy includes services such as honorariums; speaker fees; thesis reviews; grant reviews; journal editorships; allowances or stipends received while on Special Studies Program (SSP) from a host institution; reimbursement of travel costs; participation on grant award and academic review panels, and receipt of academic prizes.

Academic Consultancy work above the threshold value per transaction ($1,000) is within the scope of this procedure and should normally be transacted through the University’s financial systems. With prior approval, the payment from a government department or organisation may be made directly to the academic via the payroll of the organisation provided that the work falls under the definition of Academic Consultancy, and the organisation will not make payment directly to the University.

Staff can earn the proceeds of any work below the threshold value in their private capacity.

Receipt of funds above $1,000 into the University may be accomplished by:

  • Requesting the Finance Professional Services Transactional team to send a UQ invoice to the organisation intending to pay the staff member on the basis of a purchase order from the organisation, or a contract or agreement.
  • Complying with the requirements of the Receipting and Banking Procedures for all types of receipts.

The following should not be accepted for academic consultancy funds over $1,000:

  • Cash payments;
  • Cheques payable to individual staff members;
  • Payments into private bank accounts; and
  • The issue of non-UniFi generated invoices.

Book royalties are specifically excluded from the definition of Academic Consultancy in accordance with the Intellectual Property Policy.  Royalties may be received by staff members in their private capacity.

3.2 Personal payments from consultancy activities

The University recognises the value of consultancy work and seeks to encourage staff in undertaking consultancy projects of strategic value to the University. Payments to academic staff in their personal capacity (‘personal payments’) from Standard Consultancy Type 2, Teaching Consultancy Type A or Academic Consultancy activities are available under specific conditions in accordance with this procedure.

An academic staff member can access a Standard Consultancy Type 2 Consultancy Performance Payment (CPP) up to an approved annual limit and Teaching Consultancy Payments (TCP) if:

  • An annual proposal for the ability to access a CPP or TCP has been endorsed by the appropriate Level 5 Authorised Officer in accordance with the HR Authorisation Schedule, including the setting of the annual limit for the personal payment, after review of the staff member’s existing remuneration package and recent academic performance; and
  • The CPP or TCP plan has been approved by the appropriate Level 3 Authorised Officer in accordance with the HR Authorisation Schedule and processed through the University payroll system.

CPP will be paid annually and is subject to there being sufficient consultancy funds earned and available in the individual’s consultancy account under the applicable fund code, and the satisfactory performance of the individual staff member up to the time of payment.

TCP will be paid at the satisfactory completion of each individual teaching consultancy activity.

Academic Consultancy Personal Payments may be accessed on a transactional basis related to external income received, on written approval by appropriate Level 5 Authorised Officer or above.

Local areas are required to establish a set of standard rates applicable to all Teaching Consultancy Type A personal payments, which must be approved by the Level 3 Authorised Officer. Considerations in establishing these rates should include:

  • Market demand for the service,
  • Proportionate allocation of consultancy income split between TCP and the organisational unit,
  • The complexity of work,
  • Staff member’s experience and/or academic level, and
  • Repeat work (consider a reducing sliding scale for multiple deliverables of the same output).

3.3 Use of University consultancy accounts

Consultancy project surpluses are managed through the use of consultancy accounts which are a sub-set of the Academic Consultancy & Award (ACA) Accounts within the financial system. Fund codes associated with external Consultancies in Academic Consultancy & Award (ACA) Accounts are classified as Restricted in the University’s financial records.
Requirements for the use of consultancy accounts are:

  1. Consultancy funds generated at UQ are University-owned and cannot be transferred to other institutions when staff members leave the employment of the University;
  2. Consultancy accounts are subject to a maximum threshold balance accumulation of $200,000, unless approved by the Provost with an appropriate and achievable spend down plan in place in MyBalance.
  3. Project surpluses are allocated to consultancy accounts of staff members who were involved in the Consultancy project. Where a number of staff members contribute to a consultancy project, the project leader will determine the distribution of the surplus and will take into account local area guidelines in this regard.
  4. Unless otherwise agreed by the project leader, staff members who are recruited specifically to undertake consultancy work and whose salary is paid by that consultancy project, are not eligible for participation in the distribution of a surplus.
  5. Funds from consultancy accounts must be used for valid UQ business purposes, in compliance with requirements of all UQ policies and procedures, and with the primary objective of supporting research, teaching and academic-related service activities.
  6. Revenue earned by staff members as a result of secondary employment cannot be transferred to University consultancy accounts, as these earnings are taxable and must be included as income in their personal tax returns.
  7. The University wishes to encourage staff retiring from service to consider endowing unused consultancy funds to support the establishment of a new named endowment fund, or to add to an established endowment fund, to support areas of importance to both the staff member and organisational unit. Endowment of consultancy funds will be subject to the naming rules and recommended minimum gifts detailed in the Naming Policy and Guidelines, and must be approved by the appropriate Level 3 Authorised Officer.

Professional staff are not eligible to retain consultancy surpluses in consultancy accounts. Any consultancy income earned by professional staff is billed by the University and retained in the operating funds of the organisational unit. Professional staff performing significant consultancy to the benefit of the University may be eligible for additional recognition or reward in accordance with provisions contained in the UQ Enterprise Agreement and in any other applicable UQ policy or procedures.

3.4 Transitional arrangements

At the implementation of these procedures, all existing agreements and contracts with external parties signed and commenced prior to 1 May 2020 may continue under the existing arrangements until completion of the existing contracts.

However, any consultancy work that represents a conflict of interest will be required to be declared and managed appropriately in accordance with the Conflict of Interest Policy. This may include immediate cessation of the activity.

Any arrangement in violation of the previous outside work and business interests for University staff policy must be ceased immediately.

The process and mechanism to support the payment of personal payments associated with Standard Consultancy Type 2 and Teaching Consultancy Type A will be effective from 1 May 2020. For consultancy contracts approved prior to 1 May 2020, personal payments, where applicable and permitted under the Consultancy, Secondary Employment and Internal Work Policy and these Procedures, will continue to be paid using existing payroll mechanisms and with the existing approval processes. Annual Consultancy Performance Payments for Standard Consultancy Type 2 will commence in 2021 for the performance period ending 31 December 2020.

4.0 Roles, Responsibilities and Accountabilities

4.1 Provost

Provost approval is required for:

  • A consultancy account balance over $200,000; approval is subject to an appropriate spend down plan.
  • The classification of units or programs as Standard Consultancy Type 1 and Teaching Consultancy Type A.

4.2 Level 3 Authorised Officer

The Level 3 Authorised Officer in accordance with HR Authorisation Schedule has responsibility for the approval of CPP and TCP proposals, and the endowment of consultancy funds.

4.3 Level 5 Authorised Officer

The Level 5 Authorised Officer in accordance with HR Authorisation Schedule has responsibility within their relevant organisational unit to:

4.4 Staff member who is the consultant

The staff member conducting the consultancy work is responsible for:

  • Declaring and managing potential, perceived or existing conflicts of interest in accordance with the Conflict of Interest Policy;
  • Ensuring work relating to consultancy activities does not adversely impact on primary work duties;
  • Considering and complying with any regulations and ethical guidelines applicable to the nature and conduct of that work;
  • The management of all project income and expenditure;
  • Budget preparation and identification of all expenses that relate to the consultancy work;
  • Application and submission of consultancy work;
  • Delivery and reporting requirements of the project.

4.5 Finance and Business Services

  • Finance and Business Services is responsible for credit risk assessment, billing approval, collections and debt management relating to consultancy revenue.
  • Contract & Grants Accounting (CGA) is responsible for financial project account and consultancy account establishment, maintenance and close; and external financial reporting (if applicable).
  • Finance Professional Services Teams (PSts) are responsible for initiating the recording and billing of consultancy revenue.

4.6 Consulting and Research Expertise unit (CoRE)

Consultancy and Research Expertise unit administers Standard Consultancy Type 2 contracts and is responsible for providing advice and support in the processing, approval, pricing and project management of those consultancy contracts. Business development and similar staff within the specific organisational units are responsible for advice and support with all other types of consultancy contracts.

5.0 Monitoring, Review and Assurance

This procedure will be reviewed on a triennial basis by the joint procedure owners: Provost and Deputy Vice-Chancellor (Research) to ensure its ongoing relevance and effectiveness.

6.0 Recording and Reporting

The Integrity and Investigations Unit will manage reporting processes for conflicts of interest that are identified as a result of staff undertaking consultancy work, in accordance with the Conflict of Interest Policy.

Final contracts should be stored in TRIM.

Personal payments are made through the University payroll system.

7.0 Appendix

7.1 Related documents

The treatment of costs, margin and surplus for the different types of consultancy are available here.

7.2 Definitions

Affiliates - academic title-holders, visiting academics, affiliate title-holders, emeritus professors, adjunct and honorary title-holders, industry fellows, and conjoint appointments.

Personal payment – includes CPP and TCP and academic consultancy payments and will be made to the bank account of the staff member and is processed through the University payroll system. A personal payment is subject to satisfactory performance for the specific project and funds availability. To access a personal payment the approvals in accordance with these procedures must be met.

Staff - continuing, fixed-term and research (contingent funded) and casual staff members.

Custodians
Chief Human Resources Officer Dr Al Jury

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Custodians
Chief Human Resources Officer Dr Al Jury
Custodians
Chief Human Resources Officer Dr Al Jury