University Services and Private Outside Work Policy
POLICY AND GUIDELINES FOR UNIVERSITY SERVICES AND PRIVATE OUTSIDE WORK BY MEMBERS OF STAFF OF CARDIFF UNIVERSITY
33.1 Cardiff University’s Strategy 2009 - 2014 emphasises that “the impact of our research
and education is central to the existence of the University and is supported through our innovation and engagement activities”. The University is “committed to carrying out its responsibility to make a major contribution to economic, social and cultural enrichment, both locally and globally”. In support of this, the University has developed an Innovation and Engagement strategy which encourages and rewards participation in relevant activities which benefit individuals and organisations outside the academic environment.
33.2 In accordance with this strategy, the University encourages members of staff, as
appropriate, to undertake work of high quality on behalf of public, industrial, commercial, scientific, educational, cultural and international organisations. Such commissions can be of mutual benefit and are of particular influence in demonstrating the contribution of the University and its staff to the development of communities and regions within Wales, the UK and globally. In addition, such work may enhance research, learning and teaching activities as well as helping to build fruitful partnerships beyond the academic environment.
33.3 The premise that underlies these guidelines is that first consideration must always be given to the University’s mission, aims and objectives. It is particularly important in pursuing any contractual relationships with external organisations that the University protects its legal position, that the University keeps public trust and maintains institutional independence and integrity to enable academic staff and students to pursue research and learning without undue restrictions.
33.4 The University considers it highly desirable that its staff should undertake work under the aegis of the University, whenever possible. Nevertheless, in accordance with custom and practice, Academic Staff (as defined below) may undertake a limited amount of outside work on a totally private basis provided that such work complies with this Policy and the Guidelines.
33.5 For the purposes of this Policy and Guidelines, the following definitions apply:
“Academic Staff” means any employee of Cardiff University at Grade 5 or above which includes Managerial, Professional and Specialist Staff, Teaching, Research, Professorial and Senior Staff; "University Services" means any consultancy, other services rendered, knowledge exchange and knowledge transfer activity provided by a member or members of staff for organisations outside the University and where all contractual, financial and insurance arrangements are managed under the aegis of the University; "Private Outside Work" means any work, including private clinical or other professional practice, undertaken by a member of staff on behalf of organisations or individuals outside the University in a private capacity; "University Resources" means staff, funds, facilities and equipment; “Specialised University Resources” means laboratory facilities and related services and equipment (but excludes personal computers).
33.6 The following principles shall apply when University Services and/or Private Outside Work are to be carried out:
a) The University encourages staff to conduct University Services in preference to Private Outside Work on the basis that services provided under the aegis of the University are aligned with the University’s Innovation and Engagement strategy and enable the University more fully to protect its interests, to generate income and to record and report the volume and value of these activities to the Funding Councils, to Government and to the Higher Education Statistics Agency;
b) University Services should always require work of a high standard, appropriate to a university institution, and demand the particular knowledge, skills and standing of the staff member(s) undertaking the work;
c) University Services should not be undertaken where essentially similar services are available from other, private or public sector suppliers on a routine basis;
d) Neither University Services nor Private Outside Work may be carried out without the University’s prior knowledge and formal approval. Approval must first be obtained from the Head of School or Directorate. In the case of a Head of School or Directorate, approval must first be obtained from the Vice-Chancellor who may delegate authority and responsibility to, or take advice from, the Deputy Vice-Chancellor or a Pro Vice-Chancellor;
e) No specific time limitation is applied to the provision of University Services by members of staff and it will be a matter for the Head of School or Directorate (or Vice-Chancellor) to determine whether the demand on the time of the member(s) of staff is reasonable in the context of other University duties and School or Directorate requirements;
f) Additional remuneration may be made to staff undertaking University Services provided such remune ration is in accordance with the University’s Financial Regulations and subject to the Head of School’s or Directorate’s (or Vice- Chancellor’s) approval in each case;
g) Before undertaking any Private Outside Work, the member of staff must (in addition to seeking and obtaining University approval to undertake the work) provide the University with a formal acknowledgement, signed by the client, confirming that the work is being done in a private capacity and that no liability will attach to the University as a result of the work;
h) Private Outside Work must not exceed 25 Working Days per annum. Working Days are Monday to Friday throughout the year but exclude holiday entitlement. For Academic Staff engaged on a part-time contract of employment, this allowance will be pro rata;
i) Projects which propose to use any Specialised University Resources cannot be regarded as Private Outside Work. Any intended use of non-specialised University Resources for Private Outside Work must be declared and a charge will be made to the individual concerned for such use in order to avoid any ‘benefits- in-kind’;
j) Private Outside Work must not conflict in any way with the work of the University itself;
k) The individual carrying out Private Outside Work will be personally responsible for all financial, taxation and insurance issues relating to the work;
l) Whether providing University Services or undertaking Private Outside Work, the member of staff must immediately disclose to the Head of School or Directorate (or Vice-Chancellor) any actual or potential conflict of interest with the University arising from his/her involvement in the work and/or interaction with the external client in accordance with the University’s “Policy on Conflicts of Interest”;
m) Failure to comply with this Policy and the following Guidelines may lead to disciplinary action.
Scope and Application of the Policy
33.7 The Policy applies in its entirety to all Academic Staff of the University.
33.8 University staff on Administrative Support, Operational Services and Technical Services grades 1-4 are excluded from undertaking Private Outside Work. Staff on these grades, however, may seek approval to undertake University Services through their line manager from the Head of School or Directorate and individual requests will be judged on a case-by-case basis. Consent will be dependent on whether the individual’s involvement in the proposed University Services work is in the wider interest of the University.
33.9 The Policy does not apply to the following categories of activity that may be undertaken by University staff from time to time and whether paid or unpaid:
(i) Work which is totally unrelated to the employment of the member of staff or any other University activity.
(ii) Activities undertaken as the normal spare time activities of a citizen such as those associated with membership of voluntary, political, religious, cultural, trade union or social organisations.
(iii) Appointment as External Examiner, as an assessor for a higher degree or the qualification of a professional body, as a member of a committee of a learned society, research council or other government organisation, as editor of a scientific or other scholarly publication or as a holder of an office whose duties involve similar occasional editorial work.
(iv) Publishing, reviewing and refereeing articles and manuscripts in or for journals and books.
(v) Occasional contributions to the press, radio or television.
(vi) Fees for occasional guest lectures.
33.10 Exceptional cases of the above categories and any substantive commitments, such as those associated with ongoing public appointments (e.g. election as a member of parliament or to local government or appointment as a Justice of the Peace) must be discussed with the Head of School or Directorate who will inform the Vice-Chancellor.
33.11 In arriving at a decision as to whether a member of staff may become involved in University Services or (for Academic Staff only) Private Outside Work, the following considerations will generally be taken into account by the Head of School or Division and/or Vice-Chancellor (or Provost, as appropriate), together with any further considerations that may be relevant to the particular case:
(i) The value of the activity to the work of the member of staff, to the School or Division and to the subject of study, and the value of the member of staff’s special knowledge as a contribution to society.
(ii) The benefit to the University of increased staff contact with the professions, with industry and with other organisations outside the academic environment.
(iii) The extent to which the work is consistent with the contractual duties of the member of staff.
(iv) Whether the commitment to the work may be detrimental to the member of staff’s contracted University work or may add to the burden of colleagues.
(v) Any actual or potential conflict of interest between the member of staff and/or the outside body for whom the work will be undertaken on the one hand and the University on the other.
33.12 Detailed Guidelines for University Services can be provided by RACDV.
Guidelines for University Services
33.13 University Services work, which includes the provision of consultancy advice, other services rendered, knowledge exchange and knowledge transfer activities, should only be undertaken if the proposal requires work of a high standard and demands the particular knowledge, skills and standing of the staff member(s) involved. Where elements of the work are to be sub-contracted to other organisations or individuals, the proportion of the work (by value) to be sub-contracted must normally be less than half of the total contract price.
33.14 University Services may only be undertaken where sufficient time and other resources are available to enable the effective delivery of the project.
33.15 The work must not interfere with the efficient discharge of the staff member's normal duties of teaching, research and/or administration.
33.16 The work should not deprive members of staff of the independence, which should characterise a member of the University’s staff.
33.17 The work should not conflict with terms and conditions relating to other consultancy or contract research work undertaken by members of staff. Staff are reminded that obligations relating to secrecy may survive expiry of research contracts by several years, often as many as ten.
33.18 Members of staff wishing to undertake University Services must obtain the prior approval of their Head of School or Directorate. Each case must be notified to the relevant administrative division as soon as practicable so that the University and its insurers are kept fully informed of the range of activities requiring cover. Proposed consultancies and other services rendered should be notified to the Research and Commercial Division (RACDV) whereas training, short courses and conference activities should be notified to the Finance Division (FINCE).
33.19 The demand made on the staff member's time and University Resources must be acceptable to the Head of School or Directorate and, in the case of a Head of School or Directorate, to the Vice-Chancellor.
33.20 Staff must ensure that they do not enter into arrangements with clients whereby illdefined claims are made on their time.
33.21 University Services must follow the University Financial Regulations and Procedures for such contracts and should be costed using the appropriate University costing form. (The costing form for consultancy and other services rendered work is available from RACDV and that for training, short courses and conferences from FINCE). A personal payment to staff members, applied as in para 33.25 below, may constitute a part of the budget for the work.
33.22 The full economic cost of the work should be determined in consultation with RACDV (consultancy and other services rendered) or FINCE (training and short courses) using the appropriate University costing form, in line with the University policy for costing and pricing of contracts. The University, in accordance with Funding Council guidelines, must normally recover at least the full economic costs for University Services. Schools should also seek to charge a profit for such work where it is likely that the client will gain substantial commercial advantage from the work undertaken. Where a School seeks to undertake University Services work at less than the full economic cost, a written justification, signed by the Head of School or Directorate, must be provided to RACDV or FINCE (as appropriate) setting out the case for a reduced price to the client. In the event that RACDV or FINCE consider that the case made in support of a reduced price is unlikely to satisfy the terms of HEFCW's Financial Memorandum with the University, the matter will be referred to the Director of Physical and Financial Resources.
33.23 In the case of consultancy and other services rendered, a formal quotation for the work, authorised by the Director of RACDV, will normally be issued to the client. The formal quotation incorporates the University's General Conditions of Contract. Upon receipt of the client's written acceptance (or signature by both parties of mutually acceptable, alternative conditions), the work may then proceed. RACDV will issue the appropriate invoices to the client on request from the School or Directorate.
33.24 Copies of any reports submitted in connection with University Services must be retained in a secure and retrievable record system within the School (or Directorate). This is a requirement to meet the possibility of litigation against the University at a future date. Such copies should be subject to appropriate security and confidentiality control.
33.25 Income from the University Services will be applied to meet the costs of all project staff and other Directly Incurred costs associated with the project. Directly Allocated costs (including Estates costs) and Indirect costs will be charged in accordance with the Full Economic Cost (fEC) methodology and allocated in accordance with the University’s policy for their distribution between School and University Costs/Professional Support Services (‘UC/PSS’). For University Services, present University policy is to pass to the Schools 80% of the Directly Allocated costs (other than DA staff costs where 100% is returned to Schools) and 80% of the Indirect costs. Subject to recovery of all other costs associated with the University Services project, where the Directly Allocated costs of Academic Staff have also been recovered, the Head of School (or Directorate) has discretion to authorise payment of a fee to the Academic Staff concerned. After all costs of the University Services project have been met, 80% of any surplus will be passed to the School and 20% of the surplus allocated to UC/PSS.
33.26 Approved fee payments to the member(s) of staff will normally be made after completion of the University Services contract to the client's satisfaction and after recovery of all monies due to the University from the client. Fee payments to staff will be made through the University payroll after deduction of income tax andemployer's National Insurance costs. If requested, the fee may be paid into a University account, without deductions, for the use of the individual provided such use is restricted to furthering his/her research or other appropriate academic activities.
33.27 Categories of earnings which are subject to the above conditions may include fees for directorships of University Companies, and professional practice undertaken on behalf of the University.
33.28 The University must consider on a case by case basis whether it is able to enter into a contract whereby a member of staff gives expert evidence in a Court of Law, a Public Enquiry or to a Parliamentary Committee. Any member of staff intending to undertake to give such evidence should seek further advice from RACDV’s Business Manager in the first instance.
33.29 Subject to satisfactory performance of other University duties and available contracted time, a member of staff may spend such time on University Services as is approved by their Head of School or Directorate.
33.30 University staff on Administrative Support, Operational Services and Technical Services grades 1-4 may seek approval to undertake University Services through their line manager from the Head of School or Directorate and individual cases will be judged on merit. Consent will be dependent on whether the individual’s involvement in the University Services work is in the wider interest of the University.
Guidelines for Private Outside Work
33.31 Members of Academic Staff (as defined) may undertake Private Outside Work on the basis described in the relevant preceding paragraphs. In each case, permissions to undertake such work must be obtained in writing a reasonable time prior to the commencement of any such work through completion of Form PW/10: ‘Request for Consent to Undertake Private Outside Work’. A Head of School or Directorate wishing to undertake Private Outside Work must obtain permission from the Vice-Chancellor, who may delegate authority and responsibility (or take advice from) the Deputy Vice-Chancellor or a Pro Vice-Chancellor. The University maintains a central Register of Private Outside Work [in RACDV] using copies of Form PW/10 and other information received from the member of staff (see below).
33.32 The demand made on the Academic Staff member's time must be within the overall limit of 25 Working Days per annum and must not interfere with the efficient discharge of the staff member's contractual duties to the University. For a member of Academic Staff engaged on a part-time contract of employment, this limit will be pro rata.
33.33 The work should not deprive members of staff of the independence which should characterise a member of the Academic staff of the University.
33.34 Staff may only undertake Private Outside Work when sufficient uncommitted time is available to enable them to complete the assignment without interfering in any way with their University responsibilities.
33.35 The work should not be such that it is likely to conflict with terms and conditions relating to any University work, which may include consultancy or contract research work. Staff are reminded that obligations relating to secrecy may survive expiry of research contracts by several years, often as many as ten.
33.36 When a member of Academic Staff undertaking Private Outside Work wishes to work in his/her University office and to use general University Resources to carry out the work then an appropriate fee will be charged to the member of staff by means of a sales invoice for the use of space, telephones for private calls, copying facilities, secretarial assistance for typing of reports and computer facilities. Advice on the appropriate fee to be charged will be provided to Schools and Divisions by the Director of Physical and Financial Resources. All charges for use of University facilities in a private capacity are subject to VAT.
33.37 Specialist University resources, equipment, software and information resources accessed as a result of University employment cannot be used in any Private Outside Work.
33.38 Prior to undertaking Private Outside Work, the member of staff must make it clear to the client that the work is carried out in a private capacity and that no liability will attach to the University for the work. It is a requirement of the University that the client returns to the University, via the member of staff, a signed copy of a Disclaimer Letter before the University will give its approval for the work to proceed. A copy of the letter must be forwarded by the member of staff with Form PW/10 (signed by the Head of School or Directorate) to RACDV and will be held in the central Register of Private Outside Work.
33.39 When undertaking Private Outside Work, a member of staff must not use University headed notepaper, title, email accounts or any other medium whereby the name of the University might inadvertently become associated with the Private Outside Work.
33.40 While all patentable inventions must be disclosed to the University (under the
"University Policy on Intellectual Property Rights"), inventions arising solely from approved Private Outside Work without any use of University Resources need not be assigned to the University (or its patent-holding company, University College Cardiff Consultants Limited, "UC3"). However, where a member of staff undertaking Private Outside Work is requested to assign or transfer any item or items of intellectual property to a client, the facts must be disclosed to the University, in writing to the Director of RACDV. It is the responsibility of the member of staff to review carefully all agreements relating to his/her Private Outside Work to ensure that they do not conflict with any obligations of the member of staff under University policies. In particular, a member of staff cannot use University intellectual property (which includes any intellectual property generated from research grants or contracts held in the University) in pursuit of any private activity without appropriate prior
written agreement, including (where appropriate) the payment to be made in respect of such use.
33.41 The member of staff is responsible for ensuring that full legal and financial responsibility for the activity are accounted for, including all insurance cover that may be required for the work. Professional indemnity cover is not provided under the University's insurance policy for any Private Outside Work.
33.42 Subject to paragraphs 33.36 and 33.40 above and compliance with this Policy and the Guidelines, a member of staff is entitled to all earnings arising from Private Outside Work and the University will have no interest in any rights arising from the activity. Staff are reminded of the need to declare any such earnings to the relevant authorities, including Her Majesty’s Revenue & Customs.
33.43 In order to obtain a measure of the volume of Private Outside Work being undertaken the Vice-Chancellor or his nominee may require any member of staff to provide a statement of the time devoted to and remuneration received from Private Outside Work in any year.
33.44 Categories of earnings which are subject to the above conditions include fees for directorships of outside companies and private professional practice (including private
clinical practice) unconnected with the work of the University. Staff are reminded of
the need to disclose any private interests to Human Resources in the appropriate form.