11.01.02 The successful development of an ethical environment relies upon individuals having responsibility for their own professional behaviour taking into consideration the provisions of the Code, policies of the University, expectations of the University Community and advice of senior colleagues. If there is any doubt as to the applicability of the Code, or the appropriate course of action to be adopted, the matter should be discussed with an appropriate senior member of staff.

11.01.03 A number of the obligations and standards set out in the Code are also to be found in legislation. Staff members need to be aware that, in some cases, breach of standards may involve criminal offences, in others they may amount to serious breaches of discipline and involve the possibility of dismissal.

11.01.04 Staff should be familiar with the responsibilities which are a part of their employment, and be aware that sanctions will be applied if these provisions are breached. These sanctions vary from counselling, to suspension, laying of criminal charges or taking civil action.

11.01.05 A copy of the Code of Conduct will be provided to each new member of staff on appointment.

11.02 Staff Reports

11.02.01 No adverse report against a staff member shall be placed on a staff member 's personal file unless that staff member has first had the opportunity to answer such report, and such answer should be concurrently filed with the adverse report.

11.02.02 The parties agree to design and implement policies and procedures relating to the reporting of reviews of the performance of staff as part of the performance management system in 11.06.

11.03 Absence Without Leave

11.03.01 A staff member who, without reason satisfactory to the University, reports for duty after her/his appointed starting time or ceases duty before her/his appointed finishing time, shall lose her/his pay for the time on such non-attendance (calculated to the nearest quarter of an hour).

11.03.02 Where it is considered reasonable to do so, a warning will be issued in writing to the staff member in lieu of a deduction from salary.

11.03.03 The parties agree to design and implement policies and procedures relating to the review of this type of unsatisfactory conduct by staff as part of the performance management system in 11.06.

11.04 Offences

11.04.01 A staff member who is alleged to be guilty of an offence that may jeopardise her/his employment shall be informed in writing of the offence alleged either personally or by letter addressed to her/him at her/his address last known to the Director, Personnel of the University and the matter shall be dealt with and determined in such manner as the University By-laws may provide.

11.04.02 The parties agree to design and implement policies and procedures relating to disciplinary action in respect of unsatisfactory performance and misconduct, and appeals against such action, as part of the performance management system in 11.06. These policies will be included in a Certified Agreement which will remove the necessity to have procedures in the By­Laws.

11.05 Appeals Against Disciplinary Action

11.05.01 Subject to the Macquarie University By-laws and to any variation made therein from time to time, any staff member notified that the Vice-Chancellor proposes to take disciplinary action against her/him or against whom the Vice-Chancellor has taken any disciplinary action may, in accordance with the By-laws, within 14 days after being notified, or after the action is taken, apply in writing to the Registrar requesting that the decision or action be reviewed by the Council whereupon the Council shall refer the matter to a committee of investigation for report to the Council.

11.05.02 The parties agree to design and implement policies and procedures relating to disciplinary action in respect of unsatisfactory performance and misconduct, and appeals against such action, as part of the performance management system in 11.06. These policies will be included in a Certified Agreement which will remove the necessity to have procedures in the By­Laws.

11.06 Performance Management System

11.06.01 The parties agree to the development, over the time frame outlined below, of an integrated performance management system for General staff at Macquarie University, which is intended to operate from 1 January 1998.

11.06.02 The parties agree that the integrated performance management system is aimed at providing:

effective and fair processes, including appropriate appeal mechanisms, for the assessment of the performance of General staff;

effective and fair integration of procedures and results of separate processes consistent with the parties' agreement that formative assessments will only be available to summative processes with the staff member's consent; and

recognition of the extent to which staff performance is consistent with the position requirements.

dealing with unsatisfactory performance through effective and fair procedures;

assisting in determining and implementing individual and group professional development strategies.

11.06.04 The parties agree that the successful implementation of the performance management system requires the on-going training of supervisors in assisting, counselling and appraising General staff.

11.06.05 The parties agree that appropriate training will be provided to persons nominated by the University and union to be members and chairpersons of Committees relevant to agreed components of the performance management system.

11.06.06 The parties agree that the performance management system for General staff will include the following:

assessment of the performance of General staff in relation to:

Incremental Progression;

Probation and Permanency;

Promotion upon Reclassification of Position;

Unsatisfactory Performance;

assessment of General staff for the purposes of Professional and Career Development (Formative Appraisal);

Cyclical Performance Assessment of General staff who were not assessed for any other purpose in the preceding 3 years;

with the results of the separate processes informing action under other processes, as agreed to be appropriate by the parties.

11.06.07 The parties agree that the finalisation of the performance management system shall be undertaken by a working party. The working party, guided by the matters agreed above and the agreed aim of having the performance management system commence from 1 January 1998, shall report to the parties with recommendations relating to the components of the system and the scope of integration by 31 October 1997.

11.06.08 The parties agree that training will commence as soon as possible after the system is agreed and, for all appointed supervisors, should be completed by 31 December 1997.

11.06.09 The parties agree that, for all General staff employed on fixed-term contracts in excess of twelve (12) months, a Performance Review shall be required at the conclusion of the first twelve months and shall be conducted as set out in the Performance Management System.

11.07 Intellectual Property

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

11.07.02 'Intellectual property' includes rights in respect of patents under the Patents Act 1990, copyright vesting by virtue of the Copyright Act 1968, designs registrable under the Designs Act 1906, trademarks registered under the Trade Marks Act 1955, the statutory protection conferred by the Circuits Layouts Act 1989 and the Plant Breeders' Rights Act 1994, confidential information and trade secrets.

11.07.03 The University intends that a policy on intellectual property shall be incorporated into the contract of employment of University staff by its inclusion in a Certified Agreement. The parties agree to examine through consultation, through working parties and/or through established University channels existing and proposed provisions in respect of intellectual property and the communication of requirements to staff.

11.08 Outside Employment and Directorships

11.08.01 The parties agree to examine the need for, and the requirements of, a policy on outside employment and directorships in a Certified Agreement.

11.08.02 If that policy is made, the parties agree that, when a General staff member seeks the necessary approval to engage in consulting as outside employment, the Head of School/Centre/Office will consider whether it would be appropriate for the consulting to be conducted through one of the Companies associated with the University i.e. Macquarie Research Limited, MGSM Limited or CMBF Limited. Use of these companies provides the usual company protections, including professional indemnity.

11.08.03 The Head will examine the proposal to see if it is practicable, legal and acceptable to the body contracting-in the services. For example, such an arrangement may be unacceptable to the potential client, there may be legal or ethical constraints or there may be requirements for confidentiality. If it is considered not suitable for submission to a company, the approval of the Deputy Vice-Chancellor (Research) will be sought.

11.08.04 If it is decided by the Head or the Deputy Vice-Chancellor (Research) that the proposal should be submitted, the company will be required to decide within appropriate deadlines either to accept and proceed or to decline and return the proposal through the Deputy Vice Chancellor (Research).

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