13 CONDUCT AND PERFORMANCE

13.01 Code of Conduct and Academic Freedom

13.01.02 You should be responsible for your own professional behaviour taking into account the terms of the Code, University policies, expectations of the University Community and advice of senior colleagues.

13.01.03 If you have any doubt about the applicability of the Code, or a suitable course of action, you should talk about the matter with an appropriate senior member of staff.

13.01.04 Many obligations and standards in the Code are also found in legislation. You need to be aware that breaches of standards may be criminal offences or serious breaches of discipline with the possibility of dismissal.

13.01.05 You should be familiar with your employment responsibilities and aware that disciplinary action may be taken if these terms are found to have been breached. The outcomes may include counselling, suspension, and the laying of criminal or civil actions.

13.01.06 The Code of Conduct is at Attachment 8 and so will be given to you and to each new member of staff on appointment.

13.01.07 You can contribute to social change by freely expressing your opinion of governmental policies and of policies on higher education. You should not be penalised because of the exercise of these rights.

13.01.08 These rights do not relieve you of those duties and obligations in all Acts of Parliaments applying to the University and in your employment relationship, including a duty to abide by the Code of Conduct.

13.01.09 The principle of academic freedom includes your right to:

• freedom of teaching and discussion;
• freedom in carrying out your research and disseminating and publishing the results;
• freedom to express your opinion about the University or the system in which you work;
• freedom from institutional censorship; and
• freedom to take part in professional or representative bodies, including unions, and in community service.

13.01.11 You have a duty to use academic freedom in a way consistent with the scholarly obligation to base research and teaching on an honest search for knowledge. If an Academic staff member, you should play a significant role in determining the curriculum and standards and methods of teaching. In exercising your freedom to carry out research, you have a responsibility to conduct it in line with the principles of intellectual rigour, scientific enquiry and research ethics without any interference or suppression.

13.01.12 You also have a right to carry out professional activities that improve your skills or allow you to apply your knowledge to the community.

13.02 Performance Management System

13.02.01 The integrated Performance Management System (PMS) has the same purposes, principles and procedures for Academic staff, English Language Centre Teachers and General staff. There are some differences in the wording describing work, responsibilities and expectations in the forms.

13.02.02 The PMS is aimed at:

• providing effective and fair processes for the assessment of your performance, including the opportunity for you to contribute fully to the process, respond to comments and suggestions and appeal against findings and resulting decisions;
• providing effective and fair integration of procedures and results of separate processes, but formative assessments will only be available to summative processes with your consent;
• recognising the extent to which your performance is consistent with your position and contributes to the University's goals; and
• determining and carrying out professional development strategies for you and other staff.

• the purposes of your professional and career development ('formative appraisal');
• incremental progression;
• probation;
• market loadings;
• promotion;
• unsatisfactory performance; and
• cyclical review if you were not assessed for any of the above purposes in the preceding 4 years;
• with the results of the reviews helping other processes, as shown here.

• identify the professional development directions of yourself, other staff, and of Departments, Divisions, Offices, and the University;
• help you to achieve your developmental goals and longer term career goals;
• help Departments, Divisions, Offices and the University to support you to achieve your development and longer term career goals;
• help you to contribute to the goals of your Department, Division, or Office and the University; and
• contribute to professional development planning by providing aggregated information to Heads and to CPD.

• OSP/Competitive Awards;
• conference attendance and travel;
• secondments and special projects;
• leave without pay for developmental purposes; and
• Research Grants and Fellowships.

13.02.07 Given the EEO goals, your supervisor and adviser will be sensitive to special needs from your career history or a history of disadvantage.

Appointment of Advisers

13.02.08 Your performance will be assessed by an adviser appointed under this Agreement and trained in helping, counselling and appraisal and particularly in techniques for identifying developmental needs.

13.02.09 You will be told the name and position of your adviser in writing.

13.02.10 Advisers of Academic staff should be at Levels D or E as academic and administrative leadership is essential. They may be a Senior Lecturer if a Head of a Department, interim Head of a Division or appointed to head a functional area under 4.08.07 or if there are not enough staff at Level D or E.

13.02.11 Your supervisor and adviser is the Head if you are a Professor in a Division. You may ask that another adviser be appointed from the panel under 13.02.16. If an assessment suggests that your performance is insufficient this must be confirmed by the Deputy Vice-Chancellor and all consequent recommendations must be approved by the Vice-Chancellor.

13.02.12 The Deputy Vice-Chancellor is the supervisor and adviser of Heads but, if an assessment suggests that the performance of a Head is insufficient, all recommendations must be approved by the Vice-Chancellor.

13.02.13 Advisers of General Staff and English Language Centre Teachers will be managers, supervisors and other more senior staff.

13.02.14 The supervisor and adviser of a Head of Office is the relevant Senior Officer. If an assessment suggests that the performance of the Head is insufficient all recommendations must be approved by the Vice-Chancellor.

13.02.15 Your adviser will be competent in your areas of expertise wherever possible. When assessing you, your adviser will consult with other staff in the University who have this expertise, as in 13.02.31/33.

13.02.16 There should be no more than 8 staff members for each adviser and, as far as possible, a balance of women and men on the 'panel' of advisers.

13.02.17 The Head will give you an adviser from this panel. You may ask for a different adviser from the panel and this will be granted except in unusual circumstances, which will be explained in writing to you.

Training

13.02.18 All staff involved in the advisory and supervisory processes will receive appropriate training in staff assessment techniques and the terms of this Agreement. The training will be aimed at assessment of performance rather than individual characteristics and will include training in EEO.

13.02.19 Induction programs will be conducted for advisers on appointment and they will be placed on the next annual adviser training course.

13.02.20 The training will be given to chairs, members and observers of:

• selection committees for vacant positions;
• Probation Review and Promotion Committees;
• Review Panels and Committees to hear grievances and appeals, to investigate or review disciplinary matters under 13.03 and to review decisions about the excess status of staff under 16.05.20; and
• other University committees that use the results of the PMS.

• an explanation of the Agreement, the role of Discipline Profiles, PCS and Job Descriptions, and the purposes, content and process of the PMS and the Disciplinary Procedures;
• interviewing, advising and conflict resolution skills;
• the need for maintaining confidentiality;
• techniques for identifying staff members' developmental directions;
• planning professional development activities to help individual staff to achieve their development goals and longer term career goals;
• the resource implications of professional development suggestions and models for balancing individual needs and resource allocation, taking the Discipline Profile into account for Academic staff;
• the University's Professional Development Plan; and
• instruction in the EEO Policy to guard against direct and indirect discrimination and to ensure sensitivity to the special needs of staff from different career histories or from histories of disadvantage.

13.02.23 The parties will review the aims, content and effectiveness of the training in 2001, and follow-up programs will be conducted if needed.

Procedures

13.02.24 Assessments and suggestions for your improvement and individual development should be seen in the context of the Discipline Profile and the PCS and/or your Job Description. This will need separate reporting forms for:

• each Academic Level;
• English Language Centre Teachers;
• General staff Levels 1/2, 3/4, 5/6, 7/8/9, and 10; and
• casual staff who may ask and get an assessment of performance.

13.02.26 If you are an Academic staff member your assessment will consider each of the areas of teaching, scholarship and research, and service to the University and the community. You need not have worked in all these areas (or all of the possible activities in any area) during the review period to be satisfactory. The main focus is likely to be on teaching and scholarship and research but this may change by agreement under the workload patterns in 8.10.

13.02.27 If you are an English Language Centre Teacher your assessment will consider teaching and other duties. If you are a General staff member your assessment will consider the activities and needs of your Division or Office or work area, the PCS Criteria and your Job Description.

Self Reporting

13.02.28 You must fill in a self reporting form for an Annual or mid-term Probation Review, a Cyclical Review, and an Individual Development Review that you request. It is not needed for Incremental Progression or Market Loading Reviews but it is recommended.

13.02.29 The following questions are included under the activity headings:

• what have been your main activities over the review period and how do you assess them?
• what do you see as your successes?
• what impediments have limited your success?
• which area(s) do you see as your strengths?
• can you identify any developmental needs?

Consultation

13.02.31 The adviser will also consult with other relevant staff, particularly where the adviser is not competent in your area of expertise.

13.02.32 Your adviser, supervisor and Head will use any existing special Division or Office consultative procedures and/or committees and structures.

13.02.33 You will be kept informed of the consultation, be included in all discussions and be assured of confidentiality. Any reporting of discussions must be kept only with the Review Report Forms.

Satisfactory Assessment

13.02.34 If your assessment is satisfactory, the Review Report Form will then be processed for approval and the payment of your increment, etc., and filed in the Personnel Office.

13.02.35 You will be given a copy of the Report Form by your adviser and may respond to any suggestions for improvement and developmental activities on the Review Report Form.

13.02.36 If you have a satisfactory review that involves the completion of the Self Reporting Form (see 13.02.28), you will not need to be assessed for a different purpose in the same year. (An annual probation review report will not replace the Formal Probation Report, however, but may contain most of the information to be carried into this major report.)

Developmental Directions

13.02.37 You will fill in an Individual Development Form if you and your adviser jointly identify developmental directions, including help through mentoring. Your adviser will identify any strategies and support that you could be given.

13.02.38 After you have been able to respond on the Individual Development Form, the Head of the area will talk about the suggestions with your adviser and you and record the help that will be given to you. The Head will set a date to review the program and, if needed, suggest other activities. The forms will be copied to your adviser and you and filed in the Personnel Office.

13.02.39 If you ask your adviser to assess your need for individual development the forms will not be available to other reviews unless you agree.

13.02.40 You may also ask a mentor to fill in the Review Report Form and Individual Development Form. The Division or Office may require that this be done in a locally approved mentoring scheme if the Head is to respond to suggestions and provide resources.

Insufficient Performance

13.02.41 The outcome of a review that is not satisfactory is not a suggestion of 'unsatisfactory performance' but a finding that the performance is 'insufficient'. This means that your adviser cannot make a positive recommendation unless you carry out developmental and/or remedial action during a review period.

13.02.42 If your performance is insufficient, the process moves from the Review Report Form (which is noted) and a fuller report will be prepared. You may respond to the report of your adviser before this Insufficient Performance Report Form is sent to the Head.

13.02.43 The Head may recommend the deferral or withholding of your increment or the reduction or loss of your loading. You may respond to the recommendation, under the particular review, setting out any mitigating circumstances. The Deputy Vice-Chancellor (for Academic staff) or the Pro Vice-Chancellor (for General staff) will talk about the recommendation and any proposed action with you before deciding.

13.02.44 If the recommendation is approved, a plan of action with suggested developmental activities will be put in place leading to a further review.

13.02.45 You will receive a copy of the Insufficient Performance Report Form from the Personnel Office with a warning to improve your performance, with the help of your adviser and the Head, during the further review period.

13.02.46 If you raise an underlying disability as an issue when counselled for insufficient performance, reasonable adjustment will be considered and the Personnel Office will be asked to arrange an assessment of your workplace.

13.02.47 During the further review period in 13.02.44, your adviser, supervisor and Head should consider your assessment and the remedial/developmental activities when advising you on applications for:

• leave without pay for developmental purposes;
• OSP/Competitive Awards;
• conference attendance;
• consultancy and secondments;
• Study Time; and
• grants.

13.02.49 The same reporting forms will be used in the next review. The area on the Insufficient Performance Report Form relating to compliance with University requirements may be relevant in some cases.

13.02.50 A positive recommendation will be made if the remedial or developmental action has been successful. Your insufficient performance and the need for further review will not be raised in later reviews. However, a pattern of problems with your performance in the same area may need to be considered if the Disciplinary Procedures are later invoked.

13.02.51 A further review period may be set if the developmental/remedial action has been unsuccessful and a positive recommendation cannot be made for the particular Review.

13.02.52 If your adviser and your Head believe that a further review period will not result in the necessary improvement, suitable action may be taken under the Disciplinary Procedures.

Appeals

13.02.53 Each report and any adverse recommendation will be reviewed at the next supervisory level, after any response by you. Formal appeal procedures in all phases of your performance review will be those for the particular Review or under 14.02.

Documentation

13.02.54 Reports will be filed only on your personal file held securely in the Personnel Office.

13.02.55 No contextual information will be taken from the reports, other than for the purposes of the particular Review or any appeal process. Aggregated information about common developmental needs may be taken by the CPD from the forms (from which personal details will have been removed by the Personnel Office) and used by Heads and CPD to identify priorities for professional development.

13.03 Disciplinary Procedures

13.03.02 The terms 'insufficient performance', 'unsatisfactory performance', 'unsatisfactory behaviour', 'misconduct', and 'serious misconduct' are described in the relevant areas of these procedures.

13.03.03 These Disciplinary Procedures are to provide:

• effective, fair and open procedures, including appropriate appeal mechanisms for dealing with Unsatisfactory Performance, Misconduct and Serious Misconduct;
• effective and fair integration of Disciplinary Procedures into the PMS, with formative assessments being only available to summative processes with your consent.

13.03.05 The roles and operation of Committees of Investigation are in 13.04.

13.03.06 These Disciplinary Procedures include:

• identification, investigation and, where possible, resolution of unsatisfactory performance or misconduct;
• identification and investigation of serious misconduct; and
• appropriate disciplinary action by the University if you have given unsatisfactory performance, or engaged in unsatisfactory behaviour, misconduct, and/or serious misconduct.

13.03.07 'Disciplinary action' means action by the University to discipline you for unsatisfactory performance, unsatisfactory behaviour, misconduct, or serious misconduct and is limited to:

• your formal censure or counselling;
• your demotion by one or more Levels or increments;
• withholding of your increment;
• your suspension with or without pay; and
• ending your employment.

Procedural Fairness

13.03.09 All steps taken for disciplinary reasons must be fair.

13.03.10 Disciplinary action against you will be used as a last resort and will be taken only by the Vice-Chancellor.

13.03.11 Your adviser and supervisor must try to resolve your unsatisfactory performance or possible misconduct through guidance, counselling, appropriate professional development and/or appropriate work allocation before preparing a report to the Vice-Chancellor.

13.03.12 Disciplinary action will not be taken until all of the relevant review processes have been provided and carried out by your trained adviser and supervisor. Every effort must be made in fairness to help you to improve your performance or resolve possible misconduct.

13.03.13 Action required of advisers and supervisors will only be carried out by them if they have been appointed and trained.

Insufficient Performance

13.03.14 An adviser or a supervisor who thinks that your performance is not satisfactory will first deal with it as insufficient, rather than unsatisfactory.

13.03.15 Your adviser will begin a performance review under 13.02 and counsel you about improvement needed and the time in which it is expected. A record of the counsel is to be kept and a copy supplied to you and the Head.

13.03.16 If the Head believes it appropriate, you will be told to carry out a course of professional development or other appropriate program(s) of developmental activities designed to help in improving your performance.

Unsatisfactory Performance

13.03.17 This Unsatisfactory Performance provision will commence if your adviser, after a review at the end of a review period under 13.02 because of insufficient performance, believes that a further review period is not warranted and that your performance is unsatisfactory. Your adviser will record the grounds for the belief on the Insufficient Performance Report Form.

13.03.18 You may respond on the Report Form or may reserve that response. You may ask that the Head consult further with your colleagues before the report is finalised and sent to the Vice-Chancellor.

13.03.19 The Head will review the report and may decide that your performance is sufficient, insufficient or unsatisfactory. If insufficient, the Head may set a further review period. If unsatisfactory, the report will be sent to the Personnel Office, with associated review reports, and then to the Deputy Vice-Chancellor or Pro Vice-Chancellor.

13.03.20 The Deputy Vice-Chancellor or Pro Vice-Chancellor will review the report and may decide that your performance is sufficient, insufficient or unsatisfactory. If insufficient, a further review period may be set. If unsatisfactory, the Personnel Office will write to you with a copy of the report and will send a copy of the report to the Vice-Chancellor.

13.03.21 You will be told that you must send the Vice-Chancellor a written response in 10 working days. The letter will tell you that the Vice-Chancellor may decide to take disciplinary action, which will be defined.

13.03.22 The Vice-Chancellor will consider the report and any written response and must be satisfied that:

• the appropriate steps have been taken to bring the unsatisfactory nature of performance to your attention;
• you were given a full opportunity to respond;
• any response you made was considered;
• you have had a reasonable opportunity to fix your performance problem; and
• there has been suitable consultation with your colleagues by the adviser and Head.

• take no further action;
• refer the matter back to your adviser and Head to make sure that the steps are complied with in substance and in a suitable way; or
• take disciplinary action, as set out in 13.03.65.

13.03.25 If you write and ask the Vice-Chancellor within 5 working days to review the decision, the Vice-Chancellor will refer the matter to an Unsatisfactory Performance Review Committee under 13.04.

13.03.26 If the Committee agrees that the process was not properly followed, the Vice-Chancellor will look at the decision again but may first take reasonable steps to remedy the perceived unfairness.

13.03.27 You will be told in writing if the Vice-Chancellor believes your performance was not unsatisfactory and, if you agree, this may be published in a suitable way.

13.03.28 If a matter that may involve misconduct or serious misconduct has been dealt with in good faith as if it were a case of unsatisfactory performance, the Misconduct and Serious Misconduct procedures at 13.03.29 are not needed, but the Unsatisfactory Performance procedures at 13.03.17, including notice periods and review procedures, must be followed.

Misconduct and Serious Misconduct

13.03.29 'Misconduct' is defined as 'conduct that is not serious misconduct but is nonetheless conduct that is unsatisfactory'.

13.03.30 Depending on the circumstances, the following examples of behaviour (which are not limiting) may be misconduct:

• plagiarising the work of another person, including that of a staff member or of a student;
• misconduct in your research, including plagiarism;
• not carrying out your scheduled teaching commitments;
• wilfully and persistently failing to deal with student course work that is a prerequisite to progress;
• wilfully and persistently failing to provide your course outlines, materials, and reading lists in sufficient time to meet enrolment commitments;
• asking for an inducement to deal favourably with a student's academic efforts;
• unwarranted disregard of lawful directions from your supervisors;
• not accounting for or misappropriating University funds or property, or any other conduct that would to be corrupt conduct under the Independent Commission Against Corruption Act 1988;
• claiming to have authority to commit the University to some financial or other obligation when you have no authority;
• breaching the Code of Conduct; legislation against discrimination and/or the EEO policy; or OH&S legislation and/or policies.

• serious misbehaviour of a kind that is a serious impediment to the carrying out of your duties or to other staff members carrying out their duties;
• serious dereliction of the duties required of your position; or
• conviction by a court of an offence that is a serious impediment to the carrying out of your duties or to other staff members carrying out their duties.

• striking another staff member or a student of the University;
• harassing or sexually harassing a staff member or a student of the University;
• persistent and/or serious acts of the types of misconduct outlined in the examples at 13.03.30.

13.03.34 If you appear to have engaged in misconduct or serious misconduct the Head will try to resolve it in the Division or Office.

13.03.35 The Head must try guidance, counselling and suitable professional development, or suitable work allocation before providing any formal report.

13.03.36 If your supervisor or Head observes or receives information suggesting that you have engaged in misconduct or serious misconduct, the Head must record the allegation in writing. The Head will, if possible, interview the person who has made the allegation and persons thought to be able to corroborate or refute the allegation and/or the Head will receive a report if misconduct in research and/or a complaint by a student is involved. The outcomes of interviews are also to be recorded in writing. Both records should be signed by the Head and the person or persons interviewed.

Electronic Surveillance

13.03.37 You may make reasonable use of University-provided e-mail and web as part of your working life at the University. Your web and e-mail communications will be free of surveillance unless the Head has reasonable cause to think that your use of electronic communications for personal purposes may have involved misconduct or serious misconduct.

13.03.38 The Pro Vice-Chancellor may authorise surveillance. University staff involved will keep the communications confidential and will give copies of them and their report on the surveillance to the Pro Vice-Chancellor who will:

• if the Head's assessment is supported, tell the Head and give the Head the documentation or electronic files needed for your supervisor to take further action; or;
• if the assessment is not supported, stop the surveillance and have all documentation destroyed and all electronic files totally erased.

13.03.39 If your Head thinks that the allegation of supposed misconduct has merit, you will be told the nature of the allegation in writing. The Head will ask to meet you at a given time and place, to try to resolve the matter.

13.03.40 You can bring an observer to the meeting. You and the observer may withdraw to consult if you wish. The observer may comment on any procedural breaches but may not answer for you, unless you cannot take part fully because of a disability or insufficient English. If necessary, the University will arrange and meet the costs of an accredited translator.

13.03.41 Your Head will try to resolve the supposed misconduct. At the meeting, the Head will give you details of the supposed misconduct and a copy of all document/s prepared by, or able to be given by, the University. The Head will show you this Agreement and University policies or procedures relevant to the supposed misconduct.

13.03.42 The meeting will include a person who can record the proceedings, but this will not be a verbatim recording.

13.03.43 The Head will give you this record quickly. You should respond and also tell the Head of any significant discrepancies in the record within 5 working days of receiving it.

13.03.44 After looking at your response, if your Head thinks that there has not been misconduct or serious misconduct, the Head will tell you, your adviser and your supervisor in writing.

13.03.45 The Head will tell you if any further counselling will be given. Any counselling meeting will be arranged as quickly as possible. If the problem has been one of inter-personal difficulties between colleagues, the Head may arrange a counselling session for each staff member involved. The Head will record the details of the counselling session(s).

13.03.46 Your Head will tell you before the end of the counselling session that you must refrain from unsuitable conduct and keep to University policies and procedures. You will be warned that disobeying this direction could lead to a report to the Vice-Chancellor. The Head's notes of the meeting will be given to you quickly and a copy placed on your personal file in the Personnel Office.

13.03.47 If your Head thinks that further counselling will be of no use, you will be told that a formal report will be sent to the Vice-Chancellor.

13.03.48 If you ask, the Head must consult with colleagues in the Division or Office before making a formal report to the Vice-Chancellor.

13.03.49 Following any consultation you ask for, the Head should go on as set out from 13.03.45. If the Head still believes that further counselling will be of no use, a formal report to the Vice-Chancellor will be prepared. All papers created while following these procedures will be attached to the report.

13.03.50 The report and associated papers will be sent to the Personnel Office and then on a confidential Personnel Office file to the Deputy Vice-Chancellor or Pro Vice-Chancellor.

13.03.51 The Deputy Vice-Chancellor or Pro Vice-Chancellor will review the report and may think that there has or has not been conduct that amounts to misconduct or serious misconduct.

13.03.52 If there has been no misconduct or serious misconduct, the Personnel Office will tell you and the Head in writing, saying if any further counselling should be carried out. If you agree, the decision can be published in a suitable way. A copy of the letter will be placed on your personal file. The confidential file with all other documents will be destroyed after 2 years.

13.03.53 If the Deputy Vice-Chancellor or Pro Vice-Chancellor thinks that there has been misconduct or serious misconduct, the report will be sent to the Vice-Chancellor.

13.03.54 The Vice-Chancellor also must be satisfied that:

• appropriate steps were taken to bring the matter to your attention;
• you were given full opportunity to respond;
• any response by you was considered;
• you were given a reasonable opportunity to stop your misconduct;
• and the Head has consulted suitably with your colleagues.

13.03.56 If satisfied that the steps have been followed, the Vice-Chancellor will consider if the allegations constitute misconduct or serious misconduct and carry out a preliminary investigation.

13.03.57 The Vice-Chancellor may then decide to:

• take no further action; or
• take further action about the alleged misconduct or serious misconduct.

13.03.59 If the Vice-Chancellor thinks that the allegations need further investigation, the Personnel Office will tell you and give a copy of the report citing this Agreement, and providing sufficient detail to allow you to understand the precise nature of the allegations and to properly consider and respond to them.

13.03.60 You will be told that you must send the Vice-Chancellor a written response within 10 working days. The letter will tell you that the Vice Chancellor may decide to take disciplinary action, which will be defined.

13.03.61 The Vice-Chancellor may suspend you on full pay or without pay and may exclude you from the University except for reasonable access to prepare your case and to collect personal property. Suspension without pay is likely if serious allegations are made involving your conduct and/or incidents that create a reasonable expectation of harm or damage to other people or the University.

13.03.62 You will be told in the letter if you are to be suspended, or suspended and excluded. The suspension, or suspension and exclusion, will take effect when you receive the letter, but, if the suspension is without pay:

• if you are on paid leave, you will continue to be paid for that leave;
• you may engage in paid employment or take any annual or long service leave for the length of the suspension without pay;
• the Vice-Chancellor may agree that you be paid due to hardship;
• if the matter is later referred to a Misconduct Investigation Committee, the Committee at its first meeting must decide if the suspension without pay should continue and may revoke the suspension from its date of effect or a later date.

13.03.64 If you admit the allegations in full, the Vice-Chancellor will decide if the conduct was misconduct or serious misconduct. The Vice-Chancellor may decide to take no further action and the matter will end as in 13.03.52. The Vice-Chancellor may decide instead to counsel or censure you for unsatisfactory behaviour and the matter will end as in 13.03.66.

13.03.65 The Vice-Chancellor may decide to discipline you by:

• formal censure or counselling; or
• demoting you by one or more Levels or increments; or
• withholding your increment; or
• suspending you with or without pay; or
• ending your employment (only for serious misconduct and persistent and unresolved unsatisfactory performance).

13.03.67 If you deny or partly deny the allegations or do not respond to them, the Vice-Chancellor will refer the matter to a Misconduct Investigation Committee or may decide instead to counsel or censure you for unsatisfactory behaviour and the matter will end as in 13.03.66.

13.03.68 The Vice-Chancellor will consider the findings of the Misconduct Investigation Committee on the facts related to the alleged misconduct or serious misconduct. The Vice-Chancellor may decide that there has been no misconduct or serious misconduct and the matter will end as in 13.03.52.

13.03.69 You will be paid any lost income if there was no misconduct or serious misconduct and you were suspended without pay. However, if the Vice-Chancellor decides not to dismiss you or impose another penalty, this will not mean that there was no conduct justifying suspension without pay.

13.03.70 If the Vice-Chancellor considers that there has been misconduct or serious misconduct, disciplinary action will go on as in 13.03.65.

Subsequent Action

13.03.71 These procedures do not stop the University from carrying out other or further investigations relating to the consequences of your conduct, including as a former staff member, in the public interest, e.g. asking about the truth of research results.

13.03.72 All affected parties will be told of the results of the investigation and measures to be taken to redress any disadvantage suffered by those parties.

13.03.73 After you have used all appeal rights in this Agreement, all actions of the Vice-Chancellor will be final, but this does not exclude the jurisdiction of any external court or tribunal that, but for this Agreement, could deal with the matter.

13.03.74 To protect all parties, no record of the allegation will be placed on your personal file during the investigations. The matter will instead be documented on a confidential Personnel Office file. If the allegation is not proved, all parties will be notified of your innocence and the file will be destroyed 2 years after the investigations have been finished.

13.04 Disciplinary Committees

13.04.02 The University will prepare allegations and make other procedural arrangements for Committees to deal with the matter as quickly as possible.

13.04.03 There are two types of Committee:

• Unsatisfactory Performance Review Committees; and
• Misconduct Investigation Committees.

13.04.05 If you apply in writing for a review of disciplinary action, the Vice-Chancellor will convene an Unsatisfactory Performance Review Committee within 10 working days of receiving the review application.

13.04.06 If the Vice-Chancellor refers a matter to a Misconduct Investigation Committee it will be convened within 10 working days.

13.04.07 The Vice-Chancellor will set suitable terms of reference for the investigations by each Unsatisfactory Performance Review Committee and Misconduct Investigation Committee.

13.04.08 You and the Vice-Chancellor each can be helped or represented before the Committee by an agent as in the Review Panel procedure at 14.02.

13.04.09 The University will let you see, under supervision, all files relating to the matter(s) being addressed by a Committee to which you could legitimately claim access under the Freedom of Information Act 1989.

Roles of Committees

13.04.10 An Unsatisfactory Performance Review Committee will review if the processes have been followed. The Committee will not review either your performance or the penalty.

13.04.11 A Misconduct Investigation Committee will look at the facts about any particular allegation that the Vice-Chancellor thinks needs further investigation. The Committee:

• will not decide if you are guilty of misconduct or serious misconduct;
• will not consider a penalty;
• must report to the Vice-Chancellor on any mitigating factors that should be considered in making a decision.

13.04.13 A Committee will provide a report to the Vice-Chancellor and you when possible after the end of the proceedings.

13.04.14 The Vice-Chancellor will consider and act on reports provided by Committees as in 13.03.26 and13.03.68.

13.05 Misconduct in Research

• the listing of authors without their permission;
• attributing work to others who have not helped in the research; and
• the lack of suitable acknowledgment of the work of others.

13.05.02 The Deputy Vice-Chancellor (Research) and members of the Research Committee can give you information on integrity in research, what is misconduct in research, the rights and responsibilities of potential complainants, and these procedures.

13.05.03 Members of the Research Committee will provide this information on the understanding that all matters discussed will stay confidential between the parties. Committee members will not consult further on these matters unless the action is agreed by them and the person(s) asking for information.

13.05.04 All action on an allegation of misconduct in research against you will be under these procedures, to make sure that:

• all parties are fairly treated;
• there is no needless damage to personal reputation or career due to any investigation; and
• the overall impacts of the allegation and the proving or disproving of misconduct are minimal both in and outside the University.

13.05.05 An allegation against you will be received and assessed by the Deputy Vice-Chancellor (Research), another member of the Research Committee or a senior Academic staff member formally delegated by the Vice-Chancellor.

13.05.06 This person will tell your Head at once, provide all relevant available information and advice in terms of 13.05.02 for the attention of your supervisor, and will stay available to help your supervisor and Head.

13.05.07 Procedures for dealing with misconduct or serious misconduct are in 13.03. The Vice-Chancellor may also decide that this is not serious misconduct but is unsatisfactory behaviour as in 13.03.67.

Protection of Interested Parties

13.05.08 Allegations of misconduct in research can place at risk the reputations of both the complainant and the person against whom the allegations are made, even before any investigation begins. All actions taken must protect interested parties including:

• the person bringing the allegation;
• you, as the staff member against whom the allegation is made;
• research students and staff working with you;
• the University, your Office/Division and the units concerned;
• the publishers of journals in which your papers containing information under question have been or are about to be published;
• funding agencies supporting your research that is under question;
• external organisations or members of the public if the consequences of your research in any way affect them.

Formal Investigation

13.05.10 If the matter is not resolved through counselling in 13.03 and the allegation appears to have merit, the process will continue as further set out in 13.03 and may require a Misconduct Investigation Committee under 13.04.

13.05.11 This Committee will not include any person associated with the research or directly or indirectly involved with the allegation.

13.05.12 The Committee will have access to legal and expert advice on the research subject to which the misconduct complaint is related. The University will pay for this advice, which will be given to the Vice-Chancellor and you.

13.05.13 The University will ensure the confidentiality of the investigation.

Action after the Formal Investigation

13.05.14 If appropriate, the Vice-Chancellor will take disciplinary action.

13.05.15 The University will tell any interested third parties if an allegation is proved against you. These will include publishers of journals to which your papers have been submitted or published; and other members of the research community or the wider community, including organisations, who may be affected by the consequences of your misconduct.

13.05.16 If you have funding from external agencies or did so when the conduct occurred or are now an applicant for external funding, the agencies will be given a written report of the allegation, investigation and the finding.

13.05.17 The Vice-Chancellor will consider if there is reasonable evidence that your other research work should be investigated.

13.05.18 The Vice-Chancellor will also consider if your misconduct requires the consideration of compensation to other staff members or students.

13.05.19 If you do not have a case proved against you, action may be needed to redress damage resulting from the allegation. External funding agencies or publishers and others who have been involved in the formal investigation will be told as quickly as possible that no case has been proved.

13.06 Outside Employment, Consultancy and Directorships

13.06.02 Your outside employment and consulting can be both appropriate and helpful to yourself and the University. However, limits are needed on the nature and extent of these activities, for the University and its community of scholars and students.

13.06.03 These limits are overall guidelines instead of detailed rules covering specific employment.

13.06.04 The Head must make sure that:

• the work will not affect your satisfactory performance of your normal responsibilities;
• you do not use University resources without prior approval and without full compensation to the University;
• the principles of competitive neutrality are observed and a subsidised service is not provided to your client;
• your activities are included in the research data collection to earn research quantum (or its equivalent) for the University;
• the activity does not harm the reputation of the University;
• the University will not have vicarious liability in any legal action;
• the activity does not create a conflict of interest for you; and
• the University does not become liable to pay Goods and Services Tax (GST) on revenue earned by you in private consulting.

13.06.06 You may set and mark public examination papers or assess theses or other academic submissions for the award of academic qualifications at secondary and tertiary level. These are an integral part of your responsibilities and are not outside employment.

13.06.07 Participating in continuing education, other courses offered by the University, and activities for external bodies arising from contracts between those bodies and the University are legitimate activities. These are outside employment only when, in the opinion of the Head, you will act outside your University duties or receive additional payment (e.g. summer term).

13.06.08 Casual appearances on television programs or occasional broadcasts, even if paid for, are not outside employment. Working on programs for large periods may be regarded as outside employment.

13.06.09 Writing and publication are the normal means of communication of Academic staff. They are not outside employment if the subjects involved are in, or related to, your work in the University.

13.06.10 You may carry out a Community Service Consultancy for charity, community or a public purpose in your capacity as a staff member or using University resources if the activities involve minimal or no risk of litigation. (See 13.06.31 if there is significant risk.) Typical examples are:

• lectures and tutorials for a nonprofit community organisation;
• strategic planning for community groups;
• design of a community attitudes survey for a community group;
• commissioned creative works or performances; and
• professional advice, involving minimal or no risk of litigation, given to a community group or agency.

13.06.12 The University relies on your judgement and integrity to make sure that you carry out outside employment or consultancy responsibly. However, you must get any prior approval needed as there may be serious implications.

Possible Conflict of Interest

13.06.13 You must make sure that outside employment or consultancy does not compromise the University's independence or its work of fostering research and disseminating knowledge, contravene the University's codes of ethical conduct or have an adverse effect on your academic freedom or that of members of the University.

13.06.14 You must not place your financial interests or the interests of another employer above the interests of the University.

13.06.15 You should not accept a paid retainer to represent the interests of an organisation or company if your research or teaching activities might be compromised by the influence the organisation has over you.

13.06.16 Your obligations and legal relationships as a Director or member of the Board of a public company may be inconsistent with your obligations as a member of staff and produce conflicts of loyalty, as may the maintenance of a legal practice if your clients are in conflict with the University.

13.06.17 Some activities by their nature create the possibility of professional misconduct. An example would be conducting paid coaching sessions for your students. Your involvement in consultancy while employed by the University may also be against regulatory or professional requirements.

Consultancy

13.06.18 The way and extent to which you may engage in consultancy depend on the category in which it falls (See Definitions in 3.01.):

• Private Consultancy;
• University Consultancy; or
• Community Service Consultancy.

13.06.20 If you provide services to a University Company on the University's behalf you may receive payment from the University Company either directly as an individual or by payment to another suitable structure such as a private company.

Private Consultancy

13.06.21 Your Head is responsible for monitoring your consultancy activity, providing guidance to you about consultancy classification and, if appropriate, supporting your applications to the Deputy Vice-Chancellor (Research) or through a University company.

13.06.22 The Deputy Vice-Chancellor (Research) has overall responsibility for monitoring the implementation and operation of this policy.

13.06.23 All Private Consultancy needs the recommendation of your Head and the written approval of the Deputy Vice-Chancellor (Research), which will be given only in exceptional cases.

13.06.24 Approval may be given for a specific consultancy or for a class of consultancy. The Private Consultancy must not create a real or potential conflict of interest with or be against the best interests of the University.

Directorships and Partnerships

13.06.25 Private Consultancy includes Directorships and Partnerships. You must get approval (some conditions may be waived) before entering into a partnership, accepting a Directorship, or being involved in the affairs of a Trust for purposes of engaging in consultancy, other than family affairs and nonprofit charitable companies.

13.06.26 If these arrangements are in place when you join the University, you must get approval to their continuation.

Approval of Private Consultancy

13.06.27 You should apply to carry out a Private Consultancy on the form and all of the following requirements must be met:

• your Head must confirm on the form that:
• you are satisfactorily performing your normal duties and this consultancy will not affect the continuing satisfactory performance of those duties;
• either no University facility (including power, space, equipment) is to be used or that facilities will be used on the basis of Full Cost Recovery under an attached written agreement between you and the Head; and
• the Division or Office has no objection to the consultancy;
• you are a member of a Professional Body with a code of conduct;
• the proposed Consultancy and any related research must be fully costed according to competitive neutrality principles;
• you give documentary evidence of current professional indemnity insurance covering all potential damage or loss as the result of negligence when you perform services in the proposed Private Consultancy. You must make sure that the insurance coverage is adequate if the consultancy is to be delivered outside Australia (especially USA and Canada);
• the proposed Consultancy must not compete with services provided by the University or a University Company or in an area that would normally be offered by the University on a commercial basis. The Deputy Vice-Chancellor (Research) can give you advice;
• you will not use any University letterhead, stationery, postal address, phone number, fax number, e-mail address or Web address or any other information that might associate the University with the Private Consultancy in any way;
• the University and all University Companies are expressly and specifically dissociated from the Private Consultancy by the standard clauses in Attachment 6 being put into a written Private Consultancy contract with your external client. The University may require evidence of compliance with this provision;
• no administrative or technical area of the University (including, but not limited to, the Finance, Personnel, Legal, Registrar's Office, Division of Information Services, Research Office or Divisional Office) will provide services for the Private Consultancy; and
• you (or the legal entity used by you) are a registered provider for purposes of the Goods and Services legislation (GST).

13.06.28 University Consultancy is contracted with an external party through the University or a University Company and approved only when a standard agreement has been made and the proposed Consultancy and any related research is fully costed under competitive neutrality principles.

13.06.29 The University companies will keep Heads informed of all negotiations with individual staff. The companies will report quarterly on relevant consulting activities.

13.06.30 The Research Office will carry out audits of financial cost centres to ensure compliance with this policy.

Approval of Community Service Consultancy Involving Risk of Litigation

13.06.31 If your Community Service involves significant risk of litigation it must be under the conditions applying to University Consultancy. Examples could be biochemical analysis for a hospital or waste water analysis for an environmental group.

13.06.32 Community Service Consultancy of this nature is to be contracted through the University by the Research Office and will be approved only when a standard form has been filled in including all the following:

• a brief description of the Consultancy activities;
• details of external parties to which services are being provided;
• financial information including costing (with demonstrated Full Cost Recovery) and pricing details;
• authorisation by the Head, including a statement that you are satisfactorily performing your normal duties;
• your signature; and
• approval by the Deputy Vice-Chancellor (Research).

13.06.34 The Deputy Vice-Chancellor (Research) may waive one or more of these requirements if appropriate.

Application to Various Categories of Staff

13.06.35 These terms apply if you are full-time or have a part-time appointment at a fraction of 0.8 or more.

13.06.36 If you are at a fraction below 0.8 or are casual, the application of these terms will be less restrictive and the terms on which you may take part in Private Consultancy, Community Service Consultancy and/or University based consultancy will be negotiated on a case by case basis.

13.06.37 If you are a General staff member and wish to carry out a consultancy or outside employment activity during your ordinary hours or while on paid leave, you must do so as a University Consultancy. You may take outside employment outside your ordinary hours if you are not offering a product or a service in an area that would normally be held to be offered by the University on a commercial basis. If required, the Deputy Vice Chancellor (Research) will provide advice on the matter, otherwise it is regarded as Private Consultancy.

Non-Compliance

13.06.38 If you are engaged in a consultancy without approval, the Head will direct you to stop the activity and get approval before resuming it.

13.06.39 If you abuse these procedures or do not follow them, you will be dealt with under the PMS and, if necessary, the Disciplinary Procedures, or your specific contract of employment if you are casual.

Determination of Disputes

13.06.40 Any dispute between you and the University relating to consultancy is to be dealt with in the first instance under the Grievance Procedures in 14.01 and, if not resolved, may be referred to a Review Panel under 14.02. The Vice-Chancellor's decision after receiving the recommendations of a Review Panel will be final.

13.07 Intellectual Property

13.07.02 It is the policy of the University that the results of University research and scholarship should be published and made generally available, but the University should be ready to protect its intellectual property and encourage its commercial development and application.

13.07.03 Unless otherwise stated here, the University asserts ownership of any intellectual property you develop as a staff member either as part of your duties or using University resources or facilities.

Conventional Scholarly Output

13.07.04 Normally the University will waive its right in 13.07.03 in respect of your conventional scholarly output and agree that you retain copyright.

13.07.05 In return, you will agree to give the University a non-exclusive, royalty free, worldwide and irrevocable licence to use the scholarly output for its teaching and research purposes and will not assign the intellectual property to a third party without the University's express agreement.

13.07.06 If the University agrees to help with the publication or other commercial development of your copyright material, it will negotiate an equitable distribution of royalties or other income arising from that process.

13.07.07 A Working Party will be established to advise the Intellectual Property and Contracts Committee (IPCC) to look at the respective economic and moral rights of the University and its staff for the ownership of copyright in teaching materials, included those prepared for flexible learning, and to develop a detailed set of definitions of scholarly output.

13.07.08 This working party will include University staff nominated by the Union. Policies designed because of its operation and agreed by the University and the Union by an exchange of letters will form part of this Agreement to bind all parties and will be included in the next Agreement.

Procedure

13.07.09 If you believe you have developed an invention, design, plant variety, trade mark or other intellectual property right that can be patented or registered, you must, when possible, tell your Head and the Deputy Vice Chancellor (Research) in writing the nature of the research and intellectual property, the people who helped and any other relevant matters.

13.07.10 You may not publish details of the property until these procedures have been finished.

13.07.11 The Deputy Vice-Chancellor (Research) will consider the ownership of the intellectual property and whether to lodge a provisional specification in support of a future application for grant of Letters Patent or other application for registration. Before deciding, the Deputy Vice-Chancellor (Research) will talk about the invention with the Head, the staff, students and any others who the Deputy Vice-Chancellor (Research) thinks have helped in or been concerned in the creation of the intellectual property.

13.07.12 The Deputy Vice-Chancellor (Research), the Head or you may refer a decision on the ownership or registration of the property to the IPCC.

13.07.13 The Deputy Vice-Chancellor (Research) will tell you the decision in writing within 12 months, and may arrange for the property to be assigned to Macquarie Research Limited for commercial exploitation.

13.07.14 The Deputy Vice-Chancellor (Research) will report to the Vice-Chancellor through the IPCC.

13.07.15 If you ask, the Deputy Vice-Chancellor will consider a claim that you did not develop the intellectual property as part of your duties or using University resources or facilities and that the University has given nothing in funds, apparatus or supervision.

13.07.16 If the decision in 13.07.13 is not to lodge a provisional specification, all intellectual property rights revert to you and you may publish or pursue your claim to patent or other form of registration.

13.07.17 While the cost of lodging a provisional specification is not high and gives world-wide protection for 12 months, the cost of complete Patent cover in a number of countries sufficient to give effective market protection is large. The University or the Company usually will not file a complete patent specification or other form of registration application unless a commercial partner is found within the 12 months provisional period to pay the costs of the completed Australian application and any overseas filings.

13.07.18 If a commercial partner is not found, the Company reserves its right to develop the property in any way recommended by its Board.

13.07.19 The General Manager of the Company with the Deputy Vice-Chancellor (Research) will negotiate to license the development of, and grant rights for, the University's intellectual property in collaboration with you and other inventors wherever practicable.

Distribution of Royalties

13.07.20 After first recovering all costs for protecting the intellectual property, the Company will distribute the net profits of any commercially exploited property allowing for the contribution made by you and others involved in the discovery as well as the Division(s) or Office(s).

13.07.21 Although that distribution will be a matter for negotiation, the usual starting point will be 50% to you and others responsible for the development or creation of the intellectual property, 10% to the Division(s) or Office(s) involved, 25% to the University and 15% to the Company.

Review of Decisions

13.07.22 The IPCC is an Advisory Committee to the Vice-Chancellor. If you are dissatisfied with a decision or recommendation of that Committee, you may, after following 13.07.13/19, ask for a review by a Review Panel under 14.02. The Vice-Chancellor's decision after receiving the recommendations of a Review Panel will be final.