1. The University recognises the benefits of academic staff undertaking consultancy services in their personal capacity (‘Individual Consultancy') and other professional activities, which are related to the nature of their University employment.  These benefits include:

• The value to the University's reputation of academic staff being engaged in Individual Consultancies by reason of their professional reputation and expertise;
• An enhanced ability for the University to recruit and retain high performing academic staff;
• The value to academic staff of undertaking applied research of direct monetary benefit to the individual; and
• The recognition that, in certain areas of the University, performance in Individual Consultancies and other outside professional activities is critical to the needs of many of its constituents and is a core part of the University's mission to the broader community.

2. This policy applies to Individual Consultancies which are defined as consultancies or other professional activities where individual academic staff members perform work in their personal capacity, either in their own name or that of a company, for external organisations.  In such Individual Consultancies all proceeds, expenses, insurances, taxation, reports etc are the responsibility of the individual academic staff member.  Any ANU facilities used must be fully paid for by the individual or the company they act on behalf of.  (Consultancies where staff members consult in the name of the University are known as University Consultancies and are dealt with in the Policy on Externally-funded Grants, Consultancies and Contracts.)

52-Day Rule

3. Subject to this policy, full-time academic staff members may engage in work on Individual Consultancies for up to 52-days per year where they are to receive remuneration for those services from an external organisation, notwithstanding whether the payment is in cash or in kind.

4. Where the maximum period of 52-days per calendar year for an Individual Consultancy may be exceeded, then leave without pay, partial or full secondment of the academic staff member to the external organisation or other appropriate absence will be negotiated, thereby providing appropriate financial compensation to the staff member's academic unit. 

5. In the case of fractional academic staff members, the ability to engage in consulting work during the period will be calculated on a pro-rata basis.  This Policy applies equally to academic staff funded from recurrent funding and from external funding, however, in approving Individual Consultancies for externally-funded staff, Deans and Directors must ensure that the proposed work is consistent with any contractual obligations the University may have with the funding agency.  This policy does not apply to sessional or casual academic staff members as these staff members are employed to undertake specific tasks for defined periods and are paid only for the times(s) they are engaged.

6. The 52-day rule will apply to company directorships and partnerships held in a personal capacity where this does not contravene the ANU's Policy on Conflict of Interest and Commitment and provided prior approval has been obtained from the relevant delegate under the Policy on Company Directorships, Secretaryships and Partnerships.  

7. The 52-day rule does not apply to ex officio Company Directorships, as the work is undertaken on behalf of the ANU and is therefore part of the staff member's ANU duties.

8. Professional practice such as occurs in medicine, law, commerce, music, visual and performing arts are included in this policy to enable academic staff members to maintain their professional skills.  However, if an academic staff member undertakes paid work in an area not related to their University employment or the development of their professional skills and in time not covered by the normal conditions of employment, e.g. weekends, this is not covered by the 52-day rule.  An extreme example is football coaching on weekends.

Activities not covered by this policy

9. Individual (but not courses of) lectures, examining theses or reviewing papers or equivalent activity in the arts, music and new media arts, assessing grant applications and serving on ARC and NHMRC expert advisory committees, or those of other funding agencies, are excluded from this policy.  

10. The 52-day rule does not apply to general staff; however, general staff members may work on University consultancies subject to approval by their supervisor and the dean/director.

11. The 52-day rule does not apply to staff working on University consultancies or on research and other grants as defined in the Policy on Externally-funded Grants, Consultancies and Contracts (790/2005).

12. Work performed by academic staff members for the ANU such as teaching a course in a College other than their own or work on University Consultancies, is not covered by this Policy as such activities are part of the staff member's ANU duties. However where prior approval for additional teaching at ANU is given, and payment for such work is made under the Additional Services Guidelines, the time worked will be regarded as part of the 52 rule. (See http://info.anu.edu.au/Policies/_DHR/Guidelines/Staff_Payment_Options.asp.

13. Academic staff members may not undertake, on behalf of a company, Individual Consultancies that involve work for the ANU.

Conflict of interest and use of the ANU name, insignia and Australian Business Number (ABN)

14. Staff undertaking Individual Consultancies must ensure that doing so does not generate a conflict of interest with their University responsibilities as outlined in the University's policy on Conflict of Interest and Commitment (1303a/2002). Special attention should be given to cases where staff are seeking to undertake work with another University or other organization which may be in competition with the ANU in areas of fee paying consultancies. These would be considered to constitute a conflict of interest and release under the 52 day rule would not be approved.

15. As Individual Consultancies undertaken under this policy are of a private nature, staff must not present themselves as representing the University and must not use the University's name, its insignia or the ANU's ABN in relation to Individual Consultancies (policy on Use of University Name and Insignia, 1304a/2002).

16. It is the staff member's responsibility to make clear to any external organisation requesting the Individual Consultancy that the academic staff member and not the University will undertake the Individual Consultancy and that the University has no responsibility or liability for the work undertaken (including workers' compensation cover).  A written disclaimer to this effect must be included in any contractual arrangements between the staff member and the person or body for whom work is being undertaken.

17. A declaration that it has been/will be made clear that the University has no responsibility for the work performed under the Individual Consultancy is required when seeking permission to undertake an Individual Consultancy, and the staff member must take all reasonable steps not to present the work as the work of the University.

Remedy for conflict of interest

18. Where an academic staff member is contemplating or undertaking individual consultancy including, teaching or training (inc executive training) and the staff member publicises their affiliation with the ANU in contravention of clause 15 of this policy, the staff member must:

(a) Declare and discuss any potential for a conflict of interest with their supervisor; and

(b) Seek approval of the delegate under the 52-Day Rule policy to undertake such work.

The Externally-funded Grants, Consultancies and Contracts Policy covers University consultancies arising from externally-funded grants, consultancies and contracts.

19. Where the University determines that conflict or potential conflict of interest exists for an activity not approved under the 52-Day Rule, in accordance with Clause 53 of the Varied ANU Enterprise Agreement 2005 - 2008, the University may direct the staff member to:

(a) Cease or not undertake such work; or

(b) In some circumstances, convert their ANU employment to a fractional appointment to ensure this work is not in conflict with their employment at the University, or

(c) Negotiate to pay a ‘royalty' payment as determined by the University for the use of the University's name and reputation for excellence while the staff member holds their University appointment and undertakes such outside work.

20. A staff member may seek a review of the decision.

Approval and accountability

21. In approving Individual Consultancies, Deans and Directors will take into account whether the work would be more appropriately done by the staff member as a University employee (for example, as a University Consultancy), if the proposed work is likely to compete with the ANU's provision of services or where it would be more appropriate for the work to be done under contractual arrangements between the ANU and the another organisation (eg teaching on behalf of another institution or a consultancy arrangement). Deans and Directors will not withhold approval unreasonably.

22. Academic staff members engaging in Individual Consultancies are required to seek approval for their activities and to reimburse the University fully for all costs incurred as a result of the academic staff member using University resources.  Resources include stationary, computing equipment, telephone, use of laboratories or use of other university equipment. All academic staff members are required to report their time involved on Individual Consultancies and company directorships and partnerships annually to their Dean/Director (or in the case of a Dean/Director, their supervisor). 

23. Staff who seek approval are required to certify that:

• The activity is undertaken in their own name and not in the name of the University.
• They indemnify the University for any claims that might arise from third parties, directly or indirectly involving in the Individual Consultancies; and
• The consulting activities will at all times be carried out after their obligations to the University are extinguished in full and that meeting their obligations to the University come first.

Insurance cover

24. The University's indemnity insurance does not extend to cover situations where academic staff members undertake Individual Consultancies.  In those cases the academic staff member (or the company they are engaged by) is responsible for arranging the relevant insurance coverage and the University may request the academic staff member to provide evidence of such insurance cover as a condition of approval to engage in an Individual Consultancy.  Similarly, academic staff members engaging in professional practice in areas such as medicine, law and accountancy must have their own indemnity insurance cover.

25. An academic staff member is not be covered by the University's workers' compensation scheme when undertaking any 52-day activity, except where undertaking approved additional services within the ANU

26. If University facilities are used for the purposes of an Individual Consultancy then the academic staff member must indemnify the University against any claims arising from such use. Where the Individual Consultancy involves an academic staff member being engaged by a company, the company and the University must come to an understanding regarding the company's use of the assets and the invoicing arrangements, before the Individual Consultancy may be approved. The company will also be required to indemnify the University for its use of the University's assets during the Individual Consultancy.

Staff entitlement to remuneration and financial arrangements

27. Remuneration for the Individual Consultancy is paid by the external organisation directly to the academic staff member who is directly responsible for taxation issues arising from the contract.  Funds from Individual Consultancies must not be paid into University accounts.  If the proceeds of a consultancy are donated to the University the donation must be in accordance with University guidelines on donations and not subject to the direction of the academic staff member that has made the donation.

IP ownership

28. Ownership of intellectual property developed during the Individual Consultancy will be determined in accordance with the ANU policy Intellectual Property:  Ownership, Protection and Commercialisation (1298b/2002) or as otherwise agreed with ANU Innovation.  University IP may not be used by academic staff members in Individual Consultancies, without the express approval of the Deputy Vice-Chancellor (Research), on the recommendation of the Dean or Director concerned (or in the case of a Dean/Director, their supervisor).

Appeals and review

29. A decision to refuse approval for an Individual Consultancy may be appealed to the Deputy Vice-Chancellor and must be in writing and set out the reasons for the appeal. The decision of the Deputy Vice-Chancellor on the appeal is final.

Updated: 13 January 2009 to update consistent with new Enterprise Agreement (conflict of Interest provisions)/

Updated: 16 January 2008

Modified: 15 August 2005
This version updates the Undertaking Individual Consultancies and Professional Practice (52-Day Rule) Policy of 12 December 2003 (200304494)