Full guide to Consultancy Policy May 2006 Page 1 - University of ...

More documents

Recommendations

Info

2.4 Eligibility to consult – job categories Staff in the Education, Research and Enterprise (ERE) job family: Academic staff may engage in consultancy under the 30-day rule through any of the four valid channels (Private, School-based, Unit-based and or Service company-based) Research and teaching staff may also consult under the 30-day rule subject to the following criteria, namely: • the consent of the Head of School had been given; • they are engaged through a University-based channel (i.e. School-based, Unitbased or Service company-based) and • the work does not remove core funding which otherwise would be received by the School or its trading unit; and • the work is marginal rather than core to the research programme of the School; and • any funding body financing the post of the person wishing to consult does not object to their doing so. Enterprise staff (including those employed in industrial or advisory units) may of course engage in University-based consulting if they have been employed in consulting roles, this is part of their normal duties. Normally they may only do so through the Unitbased consulting channel of the unit to which they belong. Private consulting is not permitted Staff outside the ERE family Staff at level 4 or above may, with advance permission use up to 15 days of their paid annual leave for external private consultancy. Also, for staff in this category, external paid work which individuals might engage in outside of normal hours which has no relationship to or relevance for the University can be conducted privately with consent in advance, which after application would be, provided by the Secretary and Registrar. Staff at level 3 or below can assist on a consulting assignment. They may do so provided the work is through one of the University-based consulting channels (School, Unit or Service company-based). Providing assistance on private-based consulting is not permitted during their normal working hours at the university. 2.5 Consent from Head of School or Director Professional Services All consulting activity through all channels must be reviewed and receive prior consent from HoS/DoPS before commitments to clients can be made. The purpose of this review is to ensure that: • that the proposed work will not undermine other university priorities or obligations (e.g. research, teaching commitments) • the use of School facilities and resources (if any) have been declared and approved, including financial requirements on the recovery of costs • any risks (e.g. IP leakage, conflicts of interest, high risk activities or business sectors, etc) are given due consideration • the beneficiaries of the anticipated revenue has been declared and approved • the channel through which consulting is to be conducted is appropriate The HoS/DoPS will be free to decide on the appropriate and practical way to manage the review process. For research and teaching staff in the Education, Research and Enterprise (ERE) job family, further conditions must be satisfied as described in section 2.4 above. The staff category benefit from changes in forme r consultancy rules which have now been extended to research and teaching staff. If there is any conflict with a research sponsor’s policy, then the core funding of the research grant or contract will over-ride the ability to undertake consultancy. This may not just be exclusively of employment, but also noncompetition clauses. Collaborative work with other Units or Schools may be permitted o r desirable under the guidance and approval of the Heads of School/Unit. Compared to previous policy, this is new. Given that annual leave for staff at Level 4 and above is 30 days leave plus 8 Bank Holidays plus six customary University closure days (a total o f 42) and the working time regulations require staff to have four weeks paid holidays (20 days) this can still be accommodated with up to 15 days leave spent consulting. A checklist summarising these and other relevant points is contained in the appendix and may be of assistance to Heads of School when conducting the review. Where appropriate the HoS/DoPSC 1 may decide to delegate this review and consent provided controls are diligently exercised. Further suggested guidance on this is offered in the appendix. In Schools/Units where consulting activities forms an essential part of the financial model , it is unlikely that Heads of Schools will consent to consulting through other channels in order to safeguard School o r Unit revenues. Full guide to Consultancy Policy May 2006 Page 10
2.6 Reward and remuneration Private Consulting – this is a matter for the individual and not the University. University-based consulting in general (School, Unit, Service company-based) – This is dealt with in more detail under the separate channel headings later in the document. However, these forms of consulting can only be conducted by University staff and therefore any remuneration must remain inside the prevailing University policy on staff rewards and remuneration. School-based consulting – revenue is typically paid into central Finance at the University, where it is then forwarded to the appropriate account or balance. The appropriate treatment of revenues and costs is specified in Finance policy to which the reader is referred. The decision to make a reward over and above normal salary lies with the Head of School. He/she can consent to a portion of the consultancy revenue being used to remunerate the member of staff in recognition of the work’s value to the school. The Head of School may also consent to other staff that have assisted in the work receiving remuneration or an award in line with University policy. Unit-based consulting – revenue is typically paid to the units operating balance. Full time consultants employed by the unit may be eligible for Unit-based annual achievement scheme subject to the unit achieving required financial performance parameters. Service company-based consulting – the gross revenue will be paid into the UoSC Ltd bank account. Once agreed costs have been deducted the proceeds will flow to the prior agreed beneficiaries. 2.7 Related Policies and Evolution This policy co-exists with other relevant policies including those covering conflict of interest and full economic costing to which the reader is referred. Against a background of changing priorities, opportunities and risks, the University will keep this policy under review via the Enterprise and Innovation Policy Committee in order to maintain and promote: • The best interest of staff and the University, • Appropriate management of risks and, • Clear and appropriate governance and eligibility rules. The proceeds are likely to be paid to the consultan t’s own account (or trading company account) and he/she is responsible for any subsequent tax and national insurance obligations. Where assistance has been provided as part o f normal duties and within normal working hours then reward or remuneration over and above normal salary is unlikely to be appropriate. However, it may well be appropriate where the work has incurred some additional o r exceptional effort or time. Full guide to Consultancy Policy May 2006 Page 11
Page 1 and 2: Full guide to Consultancy Policy Ma
Page 3 and 4: CONTENTS section FOREWORD BY THE VI
Page 5 and 6: EXECUTIVE SUMMARY Source of referen
Page 7 and 8: 1.0 INTRODUCTION 1.1 Document Layou
Page 9: 2.0 OVERALL POLICY 2.1 Types of con
Page 13 and 14: 3.0 PRIVATE CONSULTING POLICY 3.1 I
Page 15 and 16: Where the main contractor is an ind
Page 17 and 18: 5.0 UNIT-BASED CONSULTING POLICY 5.
Page 19 and 20: 6.4 Financial and remuneration Proc
Page 21 and 22: Step 3b - If School-based consultin
Page 23 and 24: APPENDIX II - DISCLAIMER FOR PRIVAT
Page 25 and 26: APPENDIX IV - INTERIM DEVELOPMENT N

Full guide to Consultancy Policy May 2006 Page 1 - University of ...

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?