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

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APPENDIX I – HEAD OF SCHOOL OR DIRECTOR OF PROFESSIONAL SERVICE CONSENT (HoS/DoPS) A prospective Consultant must seek prior approval before proceeding with a consultancy assignment and prior to any contractual agreement being made. The purpose of this appendix is to provide a brief guide to assist the HoS/DoPS and the prospective Consultant conduct this review in a well structure and time-efficient manner. (It is provided as an optional guide but the text here does not form part of the Consultancy Policy.) Step 1 – An overview In the first instance the prospective Consultant should provide and discuss with the HoS/DoPS: • A brief overview of the proposed assignment to reveal the nature of the work and any possible risks • A description of any other staff or University resources or facilities intended to be used • Confirmation (for University-based assignments) that the assignment is not likely to incur a loss to the University. √ This may take the form a written proposal for complex or substantial assignments, or simply be a verbal description for small or simple assignments – it is a matter for the Consultant and the HoS/DoPS to agree what is appropriate. Step 2 – Define and agreed which consulting channel The consulting channel through which it is proposed to conduct the assignment √ i.e. Private , School-based, Unit-based or via UoSC Ltd Step 3a – If Private Consulting Eligibility – is the consultant eligible to work via the Private channel? Risk – does the nature of the work (with or of the proposed client) represent a risk or field of work which is unacceptable to the HoS/DoPS or the University? Policy compliance – will the Consultant confirm he/she will comply with policy regarding the issue of the disclaimer letter to their private client and report this activity in line with the policy on Conflict of Interest? Disclaimer – Will the Consultant confirm that he/she will comply with policy regarding the clear separation of Private and University-based consulting as set out in section 3 of this policy. √ i.e. is the Consultant in staff category ERE Family/academic @ level 4 or above? Certain business sectors or types of clien t may be deemed to be worthy of special consideration and consent to consult denied if potential ly damaging or risky to the School or University. Annually and retrospectively academics are required to register their private external interests as part of the policy governing conflict of interest. This provides the opportunity to ensure clarity and obtain assurance on policy compliance with particular attention to risk or the non-use of facilities or resources for Private consulting. Any dispensation or variation must be agreed at this point (see sect ions 3.3 and 3.4 for full guidance). Full guide to Consultancy Policy May 2006 Page 20
Step 3b – If School-based consulting Eligibility – is the consultant eligible to work via the Schoolbased? Are additional requirements for any Research and teaching staff in the Education, Research and Enterprise (ERE) satisfied? Risk – does the nature of the work (with the proposed client) represent a risk or a field of work which is unacceptable to the HoS/DoPS or the University? If risk is possible, has appropriate advice been sought? Costs & FEC – have costs (or will costs) be determined in line with FEC including those for both staff related and non-staff related expenditures. Net proceeds – will all net proceeds after costs be paid into the School services rendered account? If some of the proceeds are to flow to staff have proportions/rates been identified and agreed? √ All categories of staff at level 4 and above may consult (subject to the condition laid out in this policy). Staff at level 3 and below may assist (only). Certain business sectors or types of clien t may be deemed to be worthy of special consideration and consent to consult denied if potential ly damaging or risky to the School or University. Some types of business present high risks – consult University insurance representative if in doubt. The determination of cos t should be in line with FEC. There may however be some variations depending on aspects such as location of work (on/off-site) or r ecommendations from the EIPC . Please consult with your appropriate Finance representative. Disbursement falls within School finance policy and practice – check with local Finance representative. NB – existing practice is not intended to be changed by the implementation of this Consultancy policy. Step 3c – If Unit-based consulting This is assumed to be covered with normal operating practice within the Unit. √ Step 3d – If UoSC Ltd based Eligibility – is the consultant eligible to work via the UoSC Ltd channel? Are additional requirements for any Research and teaching staff in the Education, Research and Enterprise (ERE) satisfied? Risk – does the nature of the work (with the proposed client) represent a risk or a field of work which is unacceptable to the HoS/DoPS or the University? If risk is possible, has appropriate advice been sought? Costs & FEC – have costs (or will costs) be determined in line with FEC C including those for both staff related and non-staff related expenditures. Net proceeds – all net proceeds after costs be paid defined beneficiaries – have they been defined (and amounts/proportions) and agreed? √ All categories of staff at level 4 and above may consult (subject to the condition laid out in this policy). Staff at level 3 and below may assist (only). Certain business sectors or types of clien t may be deemed to be worthy of special consideration and consent to consult denied if potential ly damaging or risky to the School or University. Some types of business present high risks – consult University insurance representative if in doubt. The determination of cos t should be in line with FEC C . There may however be some variations depending on aspects such as on/off-site or recommendations from the EIPC. Please consult with your appropriate Finance representative. The consultant can be assisted by UoSC Ltd to produce the cos t model for the assignmen t. This will enable net proceeds to be estimated. Step 4 – follow up If it is decided to proceed with the proposed consultancy, Consultants and the HoS/DoPS’s must ensure any follow up actions or commitments from the review are completed. √ If Private consulting, a check should be made to ensure the Private consulting disclaimer form has been received. Full guide to Consultancy Policy May 2006 Page 21
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 and 10: 2.0 OVERALL POLICY 2.1 Types of con
Page 11 and 12: 2.6 Reward and remuneration Private
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: 6.4 Financial and remuneration Proc
Page 23 and 24: APPENDIX II - DISCLAIMER FOR PRIVAT
Page 25 and 26: APPENDIX IV - INTERIM DEVELOPMENT N

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