Edith Cowan University
Human Resources Services Centre
ONBOARDING POLICY PACK
Throughout your employment with the University you are required to comply with all of the statutes, policies, guide
lines and procedures in place at the University including the policies combined in this document and listed below.
Please read and accept the policies combined in this document prior to accepting your offer of employment:
•
•
•
•
•
•
•
Code of Conduct [Staff]
Conflict of Interest
Information Technology
Intellectual Property
Work Health and Safety
Prevention of Harassment, Bullying and Discrimination
Sexual Assault and Sexual Harassment
Edith Cowan University
POLICY
Policy Title: Staff Code of Conduct
Policy Owner:
Director, Human Resources Service Centre
Keywords:
1) Conduct
Policy Code:
PL159
2) Behaviour
3) Ethics
4) Values
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1.
INTENT
This Code of Conduct is aligned to the University’s values of Integrity, Respect,
Rational Inquiry and Personal Excellence, and provides a framework for appropriate
behaviour for all Edith Cowan University staff. It is not intended to cover all issues
that may arise, but rather to provide a framework within which staff can consider
issues as they arise and make informed decisions reasonably expected to
demonstrate understanding of and commitment to the University’s values and align
with the University’s cultural, behavioural and professional expectations.
This Code establishes a standard by which staff and management:
a. conduct themselves towards other staff or colleagues, staff representatives, the
student body and their representatives, government authorities and the general
community;
b. perform their duties and obligations to the University;
c. fulfil the purpose, goals and objectives of the University; and
d. practice fairness and equity.
2.
ORGANISATIONAL SCOPE
This policy applies to all Edith Cowan University staff.
3.
DEFINITIONS
TERM
DEFINITION
Coercive
Using force or improper threats or intimidation to
persuade someone to do something they are
unwilling to do.
PL159 Staff Code of Conduct
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Close Personal
Relationships
Conflicts of interest
Exploitive
Immediate Family
Member or
Household Member
A close personal relationship may involve a
friendship, immediate family member or household
member, partner, cultural family relationship or
financial dependent.
Assessed in terms of the likelihood that staff
possessing an interest of some form could be
influenced, or might appear to be influenced, in the
performance of their duties.
Making use of a situation or treating others unfairly
in order to gain a personal advantage or benefit.
•
•
•
Intimate Personal
Relationship
Personal
information
Public comment
Record
Records
management
Staff
An immediate relative by blood, marriage,
adoption,
fostering,
traditional
kinship
(including guardian, ward of the state,
grandparent,
foster
grandparent,
step
grandparent and in-law relative); or
A person who stands in a bona fide domestic
or household relationship with the employee
including situations in which there is implied
some dependency or support role for the
employee,
including
same
gender
relationships; or
A person who, due to cultural or religious
beliefs is considered a member of the
employee’s family.
An intimate personal relationship is a relationship
which goes beyond the bounds of a platonic or
working relationship, regardless of gender. For
example, dating, romantic, sexual etc. which is
consensual.
Information about an identified or identifiable
individual that is not available in the public domain.
Includes
public
speaking
engagements,
expressing views in letters to newspapers,
journals, or notices, and comments on radio,
television, social media platforms or in other public
forums for mass communication where it might be
expected that the publication or circulation of the
comment will spread to the community at large.
Recorded information in any form, including data in
computer systems, created or received by any staff
member of the University in the course of his/her
duties.
The control and management of records to meet
business, legal, fiscal and administrative
requirements. It is a business imperative, a
corporate responsibility and a critical function
performed through the collective actions of
individuals.
For the purpose of this document ‘staff’ includes all
people holding ongoing, fixed term and casual
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positions with the University,
honorary/joint appointments.
4.
POLICY CONTENT
4.1
General Principles
adjuncts
and
a. The Code of Conduct is established on the following organisational values:
Integrity, Personal Excellence, Respect and Rational Inquiry.
b. The successful development of an ethical environment relies on individuals being
responsible for their own professional behaviour within the provisions of this
Code, policies of the University, and obligations within relevant legislation.
c. Where there is doubt as to the application of the Code, or the appropriate course
of action to be adopted, staff affected should discuss the matter with their line
manager.
d. The University expects staff to be diligent, impartial, courteous, conscientious
and respectful in the performance of their duties and obligations to the University,
students and the community.
e. In dealing with other staff, students and the community, staff should be guided
by the University's purpose to transform lives and enrich society through
education and research.
f. When using any authorised powers, staff should ensure that they take all relevant
factors into consideration and have regard to the merits of each case.
g. Staff who are required to investigate complaints against other staff or students,
or issues affecting staff or students, are expected to act consistently, promptly,
and fairly. There is an obligation to maintain the principles of Procedural fairness
in dealing with issues relating to any investigation.
h. As far as reasonable and practicable the University will not intentionally, or
without due cause, involve itself in the private lives of staff and students. The
University will only intervene or involve itself in the private lives of staff and
students where it is reasonably believed the University has a duty of care to act
to protect the safety and wellbeing of the University Community, there is a legal
justification to do so, or it is in the University’s best interests to do so.
4.2
Use of University Facilities and Equipment
a. Staff should take all possible care in the use of University property, goods,
services and information and ensure they are used efficiently, carefully and
honestly.
b. University resources are primarily provided for educational, research,
professional and business purposes. Private use must be kept to a level that is
reasonably believed to be a minimum, and not in any way impact or impede the
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primary reason for which the resource was provided. This includes not using
resources in a way that results in an expense to the University.
4.3
Privacy and Use of Personal and Official Information
a. Staff have an obligation to ensure that personal information concerning students
or staff is secured against loss, misuse or unauthorised access, modification or
disclosure.
b. Staff have a duty to maintain the confidentiality, integrity and security of official
information for which they are responsible in accordance with University policies
and their associated operational documents including the Privacy policy,
Acceptable Use of Information Systems policy and the Information Technology
policy.
4.4
Records Management
a. Staff need to be aware of their record keeping responsibilities and are reminded
there is a legal requirement to adhere to proper records management practices
and procedures.
b. All staff must ensure that documents which form part of the University's public
record are not placed in unofficial or private filing systems. All such documents
are to be placed on official files.
c. Staff must not remove or delete documents from official files. They are controlled
records, and must be complete, up-to-date and capable of providing
organisational accountability when officially scrutinised.
d. Staff members must not damage, dispose of, or in any other manner, interfere
with official documents or files. The destruction of records may only take place in
accordance with the University’s Records Management policy.
4.5
Information Technology
a. Staff must use the authorised information systems or parts of the authorised
system only for the purpose for which the authorisation was given.
b. Staff who have access to an information systems or part of an information
system, will not allow any unauthorised person access to that system for any
reason.
c. Staff must not access information which they are not authorised to access or use
and must not allow any other person access for any reason.
d. Staff must take all reasonable precautions, including password maintenance and
file protection measures to prevent unauthorised access.
e. Staff have an obligation to maintain the security and confidentiality of the
information systems over which they have responsibility or control and that are
owned, leased or used under licence or by agreement by the University.
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4.6
Conflicts of Interest
a. The University recognises that identifying, disclosing and managing conflicts of
interest increases its public accountability and reduces the risk of corruption,
misconduct and bias in its operations and decision-making processes. The
University also recognises that conflicts of interest are not unusual in the exercise
of public responsibility and cannot always be avoided.
b. Conflicts of Interest include situations or actions which will, may or can
reasonably be perceived to enable a staff member to:
i.
Use their position with the University to their personal advantage;
ii.
Engage in activities that either directly or indirectly generate profit to a
competitor, including when equity such as shares are held and helping
a competitor to increase their profit will result in personal gain;
iii.
Use the resources of the University to support an external business; or
iv.
Act in a way that may compromise the University’s legal, reputational or
professional standing.
c. In general, staff are required to refrain from letting personal and/or financial
interests and external activities come into opposition with the University’s vision,
purpose or values.
d. Conflicts of interest are not wrong in themselves, cannot always be avoided, and
the potential for a conflict of interest exists in all aspects of University operations,
including research, teaching, assessment, staffing, administration, and
commercial activity. It is important that staff act and are seen to act with integrity
and are not inappropriately benefited by improperly using their position in the
University.
e. Responsibility for identifying and disclosing a real, perceived or potential Conflict
of Interest rests with the individual staff member. Where doubt exists as to
whether a conflict exists, the individual staff member is responsible for seeking
advice and guidance from their line manager.
f. Where it is reasonably believed a conflict of interest has been deliberately
concealed action may be taken in accordance with the relevant Industrial
Instrument.
4.7
Acceptance of Gifts
a. Staff must not accept a gift from any person or organisation within or outside the
University if the intent of the gift is to induce the staff member to waive or lessen
academic or professional standards or requirements or to extend a financial or
other benefit to a person or organisation to the detriment of the University's
interests.
b. A staff member should not accept a gift or benefit if it could be seen by the public,
knowing the full facts, as intended or likely to cause that person to:
i.
perform their job in a particular way, which the person would not
normally do, or
ii.
deviate from the proper or usual course of duty.
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c. In accordance with University’s Acceptance of Gifts Policy staff may accept token
gifts or benefits, provided there is no possibility that the staff member might be,
or might be perceived to be, compromised in the process. Gifts of a nominal value
generally used for promotional purposes by the donor, or moderate acts of
hospitality may be accepted by staff. As a general rule gifts valued at $100 or
less would be considered nominal.
d. The onus is on a staff member to lodge a declaration in accordance with the
Acceptance of Gifts Policy and submit this information in accordance with all the
requirements of the Policy, including prescribed timeframes.
e. Staff must not take advantage or seek to take advantage of their University
position to obtain a benefit, either for themselves or for someone else.
4.8
Influence to Secure Advantage
a. No staff member will elicit the improper influence or interest of any person to
obtain promotion, transfer or other advantage.
4.9
Public Comment and Use of Official Information
a. As members of the community, staff will, from time to time, contribute to public
debate on political and social issues. All public comment or media interaction
must be carried out in accordance with the ECU Media and Social Media Policies.
b. There are some circumstances in which public comment is inappropriate,
especially where staff are privy to University information and/or University
resources of a restricted nature. Where use of University information and/or
University resources may compromise the position of the University or infringe
on the privacy of members of the University no public comment should be made.
c. Use of University information and/or University resources, including University
name and logo, other than to discharge the staff member’s official duties requires
the written approval of the Vice-Chancellor or an authorised officer.
d. Staff members commenting publicly in a professional or expert capacity may
identify themselves using their University appointment or qualifications and must
indicate that their opinions should not be regarded as representing the views of
the University. The University expects that staff will maintain professional
standards when they associate themselves with its name in public statements
and/or forums.
e. Only persons authorised by the Vice-Chancellor or their nominee may make
public statements on behalf of the University.
f. Staff members may disclose official information, with due regard to
confidentiality, in order that:
i.
colleagues may discharge their official duties;
ii.
students may be able to meet the academic and administrative
requirements of their study programme; or
iii.
reporting requirements to government bodies are met.
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g. A staff member should disclose confidential or restricted information or
documents acquired in the course of their employment only when required to do
so by law, in the course of their duty, when called to give evidence in court, or
when proper authority has been given. Approval to release confidential
information on staff should be sought from the Director, Human Resources
Services Centre. Approval to release confidential information on students should
be sought from the Director, Student Life.
h. In circumstances where staff are requested to provide information they should
provide it in a timely and accurate manner and which complies with the principles
of Freedom of Information, confidentiality, and the rights of the individual.
i.
Staff acting in honorary capacities may be asked by third parties to make
comment on University policy or procedure and in such cases, staff should
confine comments to factual information.
j.
Staff using social media platforms are personally responsible for the comments
and content they make. Staff should be mindful of what they post, and consider
when making such comments the personal implications, privacy issues and
possible consequences, as posts can be viewed and located anywhere and may
remain available forever.
k. Staff must refer to the University’s Media and Social Media policies, for advice
and guidance in matters relating to public comment and use of social media.
Where appropriate it may be necessary for staff to obtain University approval
prior to participating in public comment activities.
4.10 Close Personal Relationships
a. The University is aware that situations may occur where staff are working with
family members or with persons with whom they have close personal
relationships. Where such relationships exist between staff, with prospective staff
or with students, there may be situations where there is potential for conflict of
interest.
b. Staff whose role requires them to engage with a student with whom they have a
close personal relationship must treat this as a Conflict of Interest and ensure it
is formally reported to allow for consideration of the situation and appropriate
action as required.
c. Staff must not be involved in employment related decisions or in decisions related
to appointment, selection, granting of tenure, performance appraisal, promotion,
academic progress, transfer or termination of any person with whom they have,
or have had, a close personal relationship.
d. The existence of a close personal relationship does not constitute a bar to
appointment, selection, granting of tenure, performance appraisal, promotion,
academic progress, transfer or termination of a person.
4.11 Intimate Relationships Between Staff and Students
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a. Staff hold a position of trust and power relative to students. Staff must maintain
professional boundaries, protect the interests of students and avoid real or
perceived power differentials and conflicts of interest.
b. Staff must not pursue an intimate personal relationship with a student whilst
involved in a role that requires them to interact and engage with that student.
Equally, staff are required to protect and enforce these boundaries and
respectfully reject and report to a line manager any advances made to them by
a student.
c. Relationships that could reasonably be suspected to be coercive or exploitive will
not be tolerated.
d. Where staff and students do not have a requirement to engage or interact with
each other as a formal aspect of their role with the University, and should an
intimate personal relationship exist, develop or end, consideration must be given
as to whether a real, potential or perceived Conflict of Interest exists and, if it is
reasonably suspected to exist, it must be reported using the appropriate
channels.
4.12 Personal Safety and students
a. Staff should not accept workplace abuse or harassment. If a staff member is
abused or harassed by a student or other person, the staff member should report
the circumstances to their Line Manager or Executive Dean, and the Line
Manager or the Executive Dean will take appropriate action to stop the abuse or
harassment, which for a student may involve invoking Statute No. 22.
b. Staff must not share personal information such as their home address or use their
personal devices, internet and accounts, including Social Media, messaging
applications, personal mobile phones or other tools designed to support private
communication between parties, to initiate or continue contact, that could
reasonably be perceived to be of an exploitative, coercive or intimate personal
nature, with a student.
4.13 Personal and Professional Behaviour
a. Staff must perform the duties associated with their position to the best of their
ability diligently, impartially and conscientiously. In the performance of their
duties, staff are required to act lawfully and to:
i.
comply with legislative and industrial obligations and administrative
policies, including ethical or compulsory codes of conduct or practice;
ii.
fulfil their Equal Employment Opportunity and Workplace Safety and
Health obligations;
iii.
strive to keep up to date with advances and changes in the knowledge
of their discipline and the professional and ethical standards relevant to
their areas and expertise;
iv.
maintain adequate documents to support decisions made;
v.
treat all persons with courtesy and sensitivity to their rights and provide
all necessary and appropriate assistance;
vi.
strive to obtain value for public money spent and avoid waste and
extravagance in the use of public resources;
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vii.
viii.
ix.
x.
xi.
not take or seek to take improper advantage of any official information
gained in the course of University employment;
not harass, discriminate victimise or condone other unlawful and
inappropriate behaviours in theirs or others work practices or in the
provision of education on the grounds of sex, pregnancy, race (including
colour, ethnic background or national identity), marital status, disability,
sexual preference, political or religious belief, or age;
not ignore or overlook unethical behaviours or actions which do not align
with the University’s values and take action, such as seeking advice
from an HR Business Partner or using one of the University provided
reporting channels;
continuously improve work performance. All staff should actively pursue
quality improvements; and
not make disparaging remarks about other staff members.
4.14 Alcohol or Substance Abuse or Misuse
a. The University expects that staff will carry out their duties safely and refrain from
any conduct including, alcohol or substance abuse or misuse, that would
adversely affect their performance, in accordance with the Alcohol and other
Drugs Management Policy.
b. Staff must also ensure that the health and safety of other staff members and
students is not endangered by such misuse. The University expects its staff to
perform their job with skill, care and diligence. Staff members should not perform
any act or omission that is likely to have a detrimental effect on their work
performance and that of other staff members and students. Accordingly, staff
should not be under the influence of alcohol or other substances while they are
at work or delivering a core function of their role, be that after-hours and/or at
work related events and activities. Staff must at all times be sufficiently capable
of carrying out their duties safely and properly, and conducting themself in a
manner which aligns with the University’s values and reflects positively on the
University.
4.15 Secondary Employment
a. The University will not restrain the activities of staff performing work outside of
their normal ECU duties provided staff obligations to the University are not
undermined or compromised.
b. Staff may only engage in secondary employment after declaring any actual,
potential or perceived conflicts of interest in accordance with the University’s
Conflicts of Interest policy, including satisfying the University the secondary
employment will not:
i.
place them in conflict with their official duties, or could lead to the
perception that they have placed themselves in conflict with their
University duties;
ii.
affect their efficiency in the performance of their University duties; or
iii.
involve the use of University resources for private purpose without
authorisation and recompense.
c. Subject to the Consultancy and Secondary Employment policy, staff may not
accept outside payment for activities which could be regarded as part of their
PL159 Staff Code of Conduct
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normal work activities. Prior to accepting any non-University made appointment
to a partnership, directorship of a company, board membership or involvement in
the affairs of a trust, an employee must obtain written consent in accordance with
the Consultancy and Secondary Employment policy.
4.16 Breaches of the Code of Conduct
a. Staff are responsible for knowing, understanding and abiding by the Code of
Conduct. Breaches of the Code of Conduct may result in sanctions being applied
by the University. Any sanction(s) for breaches of the Code of Conduct will be in
accordance with relevant disciplinary procedures prescribed in relevant
legislation, applicable industrial instruments or contracts of employment /
engagement as applicable.
b. Staff will be made aware of the Code of Conduct on commencement of their
employment or engagement with the University.
5.
ACCOUNTABILITIES AND RESPONSIBILITIES
5.1. The Director Human Resources Services Centre has the authority for approving
alterations to the Code subject to consideration by appropriate stakeholders and the
approval of the Vice-Chancellor or nominee.
5.2. This Policy will come into effect when approved by the Vice-Chancellor.
5.3. All staff are required to comply with the Code of Conduct and to seek guidance in
the event of uncertainty as to its application.
6.
RELATED DOCUMENTS
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Acceptable Use of Information Systems Policy
Acceptance of gifts by ECU Staff Policy
Alcohol and other Drugs Management Policy
Conflicts of Interest Policy
Consultancy and Secondary Employment Policy
Information Technology Policy
Management of Misconduct and/or Serious Misconduct policy
Media Policy
Privacy Policy
Records Management Policy
Social Media Policy
Fraud and Misconduct Prevention and Management Policy
Prevention of Harassment, Bullying, Discrimination and Violence Policy
Statement on Academic Freedom and Freedom of Speech
Staff/Student Personal Relationships FAQ
PL159 Staff Code of Conduct
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5. CONTACT INFORMATION
For queries relating to this document please contact:
Policy Owner
All Enquiries Contact:
Telephone:
Email address:
Director Human Resources Services Centre
Manager, Safety and Employee Relations
08 6304 2362
l.roza@ecu.edu.au
6. APPROVAL HISTORY
Policy Approved by:
Date Policy First Approved:
Date last modified:
Revision History:
Next Revision Due:
HPCM File Reference
Vice-Chancellor
26 June 1998
11 December 2020
November 2005: HEWRRs Compliance
July 2007
July 2009:
• Policy amended to comply with University
Guidelines re Drafting of Policy Documents
• Conflict of Interests clause amended
• Public Comment and Use of Official
Information clause amended
May 2011:
• Definition ‘Public Comment’ amended
• Public Comment and Use of Official
Information clause amended
May 2019: Policy amended to reflect changes to
organisational structure and positions, and
changes to other related policies
December 2020:
• Policy amended to provide greater clarity
around staff/student professional boundaries.
• General improvements to reflect
contemporary language and organisational
structure
December 2023
SUB95/3298
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Policy Title: Conflicts of Interest
Policy Owner:
Senior Deputy Vice-Chancellor
Keywords:
1) Conduct
Policy Code:
PL259 [rm009]
2) Behaviour
3) Ethics
4) Rules
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1. INTENT
This policy provides a framework for the disclosure and subsequent management of
conflicts of interest and outlines the principles, roles, responsibilities and procedures that
govern the University’s process.
2. ORGANISATIONAL SCOPE
All ECU staff, students, affiliated researchers, University Council members, University
committee members, contractors and consultants.
3. DEFINITIONS
TERM
Conflict
(Actual)
Individual
DEFINITION
of
Interest An actual conflict of interest may arise when an individual’s
personal or private interests directly affect or impact their
University-related activities.
Includes all ECU staff, students, affiliated researchers, University
committee members, contractors and consultants.
Perceived Conflict of A perceived or apparent conflict of interest can exist where it could
be perceived, or appears, that an individual’s private interests
Interest
could improperly influence the performance of their duties or
activities – whether or not this is in fact the case.
Personal and Private These interests are those that can bring a benefit or disadvantage
to an individual, or to others whom the individual may wish to
Interests
benefit or disadvantage. Personal and Private Interests are not
[PL259/rm009 Conflicts of Interest Policy]
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limited to financial interests, and may involve personal affiliations
and associations and family interests.
Potential Conflict of A potential conflict of interest arises when an individual has
Interest
interests that could in the future conflict with their official duties,
or where an individual has competing interests because they hold
more than one official role or public duty.
Senior Officer
‘Senior Officer’ means an employee appointed to the position of:
• Vice-Chancellor;
• Senior Deputy Vice-Chancellor;
• Pro Vice-Chancellor;
• Executive Deans;
• Dean (Regional Professional Studies);
• Vice-President (Corporate Services)
• Director, Student Services Centre;
• Chief Financial Officer;
• Head of Centre (Learning and Development);
• Director, Facilities and Services;
• Dean, International Office;
• Director Human Resources Service Centre;
• Chief Information Officer;
• Dean, Graduate Research School;
• Director, Office of Research and Innovation;
• University Librarian;
• Director, Office of Advancement;
• Director, Marketing and Communications Services;
• Director and General Counsel, Strategic and Governance
Services Centre
Students
Includes students who are also researchers, students who are
staff members and students in any other capacity for which
capacity the student is remunerated through the ECU payroll
system.
Supervisor
The person within the University to which an individual reports.
4. POLICY CONTENT
4.1
Policy Statement
ECU promotes an environment that is values based founded on the principles of integrity,
respect, rational inquiry and personal excellence. Conflicts of interest may affect or have
the appearance to adversely affect sound and professional judgment. In adopting a
University-wide conflict of interest policy, the University recognises the need to be proactive
in identifying conflicts of interest situations and managing them in an ethical, transparent
manner, capable of internal review and external scrutiny.
[PL259/rm009 Conflicts of Interest Policy]
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4.2
Principles
ECU’s management of Conflicts of Interest will be guided by the following:
•
•
•
•
•
Serving the public and University interest.
Supporting transparency and scrutiny.
Promoting individual responsibility and personal example.
Engendering a culture which recognises and appropriately manages conflicts of
interest in a manner consistent with ECU’s values.
Maintaining compliance with relevant statutory requirements.
4.3
Recording and Managing Conflicts of Interest
4.3.1 A conflict of interest is not necessarily wrong or unethical, and sometimes cannot be
avoided. Whether conflicts of interest are actual, potential or perceived it is
important they are appropriately disclosed and managed.
4.3.2 In many cases only the individual will be aware if their personal or private selfinterests conflict with the performance of their duties and obligations to the
University. Where a conflict of interest exists, has the potential to exist or could be
perceived to exist, the onus is on the individual to disclose the conflict to their
supervisor prior to participating in the activity.
4.3.3 At the time that an individual identifies an actual or perceived conflict of interest that
is likely to conflict with a University activity they are going to participate in, they must
immediately disclose the conflict to their supervisor.
4.3.4 The supervisor should ensure that the individual’s conflict of interest is recorded by
ensuring the individual completes a “Conflicts of Interest Disclosure” form. The
supervisor should then complete the relevant sections of the form and sign it and
then send the completed form to the Director Strategic and Governance Services
Centre.
4.3.5 The Director Strategic and Governance Services Centre is responsible for filing
declared conflicts of interests on the Conflicts of Interest Register.
4.3.6 Supervisors are responsible for managing declared conflicts of interest. Supervisors
shall record how declared conflicts of interest are managed and shall place the
conflict of interest management plan on the TRIM file pertinent to the activity, which
should be available for audit purposes.
4.3.7 Disclosures regarding a conflict of interest may include personal, sensitive or
otherwise confidential information. Therefore disclosures must at all times be treated
with discretion, and confidentiality should be respected where possible.
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5. ACCOUNTABILITIES AND RESPONSIBILITIES
The Senior Deputy Vice-Chancellor has overall responsibility for the content of the Conflicts of
Interest Policy and its operation in ECU.
The Director Strategic and Governance Services Centre is responsible for reviewing and
maintaining the Conflict of Interest Policy and for approving alterations to the Conflict of Interest
Guidelines and administrative procedures of the Conflicts of Interest Policy subject to
consideration by appropriate stakeholders and the approval of the Vice-Chancellor.
Senior Officers are responsible for implementation, communication and creating awareness of
the Conflicts of Interest Policy to individuals.
ECU staff, students, affiliated researchers, committee members, contractors and consultants
are required to comply with the Conflicts of Interest Policy, and to seek guidance in the event
of uncertainty as to its application. General queries relating to the applicability of the Policy
may be raised with the Director, Strategic and Governance Services Centre.
ECU staff, students, affiliated researchers, committee members, contractors and consultants
have a duty to report any concerns they may have regarding any possible conflict of interest
affecting another individual. Any concerns should be raised with the relevant supervisor or the
supervisor’s manager or, when appropriate, the Director Strategic and Governance Services
Centre.
Breaches of this Policy and the associated Conflicts of Interest Guidelines may be deemed
misconduct and could be dealt with in accordance with the relevant employment contract and
instrument covering the terms and conditions of employment of the University employee and
any other provisions prescribed by the Edith Cowan University Act, Rules or University Policy.
6. RELATED DOCUMENTS:
The Conflicts of Interest Guidelines should be read in conjunction with this Policy. The
procedures described in the Guidelines shall be adhered to.
Other documents which are relevant to the operation of this policy are as follows:
•
•
•
•
•
•
•
•
Acceptance of Gifts by ECU Staff Policy.
Australian Code for the Responsible Conduct of Research.
Code of Conduct.
Consultancy Policy.
ECU Values.
Fraud and Misconduct Prevention and Management Policy.
Research Misconduct Policy.
Responsible Research Conduct Policy.
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7. CONTACT INFORMATION
For queries relating to this document please contact:
Policy Owner
Senior Deputy Vice-Chancellor
All Enquiries Contact:
Telephone:
Email address:
Manager, Legal and Integrity
08 6304 2158
integrity@ecu.edu.au
8. APPROVAL HISTORY
Policy Approved by:
Date Policy First Approved:
Date last modified:
Revision History:
Next Revision Due:
TRIM File Reference
Vice-Chancellor
20 February 2015
February 2018
SUB/59442
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Conflict of Interest
Guidelines
Note: This document should be read in conjunction with University Policy PL259/rm009:
Conflict of Interest Policy
A. HOW TO IDENTIFY AND MANAGE CONFLICTS OF INTEREST
1. What are Conflicts of Interest
A ‘Conflict of interest’ is assessed in terms of the likelihood that an individual possessing a
particular interest could be influenced, or might appear to be influenced, in the performance of
his or her duties.
The term can be used to describe situations of actual, perceived or potential conflicts which
might, or could appear to, influence an individual in his or her decision-making. Conflicts of
interest are most commonly considered to arise in dealings where:
•
•
•
•
Individuals and any other person or organisation with which the University has any form
of dealing have a personal or familial relationship;
There is an actual and or a potential financial benefit;
There are conflicts between the individual’s responsibilities to ECU and other
organisations; or
The individual is in a position to receive any personal benefit.
The OECD guidelines for managing conflicts of interest 1 note that: “private interests” are not
limited to financial or pecuniary interests, or those interests which generate a direct personal
benefit to the public official. A conflict of interest may involve otherwise legitimate privatecapacity activity, personal affiliations and associations, and family interests, if those interests
could reasonably be considered likely to influence improperly the official’s performance of their
duties.”
Appendix A to these Guidelines provides examples of conflicts of interest situations that may
arise within a university context.
2. How do I identify a Conflict of Interest
There is no one ‘right’ way to identify every situation, however a good starting point is for
individuals to consider the following:
1
Recommendation of The Council on OECD Guidelines for Managing Conflict Of Interest In The Public Service,
available at: http://www.oecd.org/dataoecd/17/23/33967052.pdf
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Attribute
Consideration
University duty versus
private interests
Do I have personal or private interests that may conflict,
or be perceived to conflict with my University duty?
Potentialities
Could there be benefits for me or to others whom I may
wish to benefit now, or in the future, that could cast doubt
on my objectivity?
Perception
Perception is important. How could my involvement in
the decision/action be viewed by others?
Proportionality
Does my involvement in the decision appear fair and
reasonable taking into account the circumstances?
Presence of mind
What are the consequences if I ignore a conflict of
interest? What if my involvement was questioned
publicly?
Promises
Have I made any promises or commitments in relation to
the matter? Do I stand to gain or lose from the proposed
action/decision?
3. How should Supervisors Manage Conflicts of Interests
Supervisors are responsible for managing disclosed conflicts of interest. There are many ways
to effectively manage disclosed conflicts of interest. Supervisors should use the following guide
to manage disclosed conflicts of interests.
Management
Option
Action
Restrict
It may be appropriate to restrict the individual’s involvement in the
matter, for example, they should refrain from taking part in debate
about a specific issue, abstain from voting on decisions, and/or
restrict access to information relating to the conflict of interest. If this
situation occurs frequently, and an ongoing conflict of interest is
likely, other options may need to be considered.
Recruit
If it is not practical to restrict an individual’s involvement, an
independent third party may need to be engaged to participate in,
oversee, or review the integrity of the decision-making process.
Recuse
Removal from involvement in the part of the activity that a person
has a conflict of interest in is the best option when ad hoc or
recruitment strategies are not feasible, or appropriate.
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Management
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Option
Relinquish
Action
An individual relinquishing their personal or private interests may be
a valid strategy for ensuring there is no conflict with their public duty.
This may be the relinquishment of shares, or membership of a club
or association.
Resign
Resignation from the activity may be an option if the conflict of
interest cannot be resolved in any other way, particularly where
conflicting private interests cannot be relinquished.
4. Conflicts of Interest Register
In order to provide for transparency and also to protect individuals, ECU has a Conflicts of
Interest Register in which standing or ongoing disclosures of conflicts of interest should be
recorded. Individuals are required to disclose interests whenever they arise.
The Register enables the University to maintain a central record of disclosed conflicts of
interest. The Register is used to record the following formation:
•
•
•
•
•
name of the person declaring the interest;
name of the Supervisor;
nature of the interest;
date of the interest declaration; and
Management Plan.
A Conflicts of Interest Disclosure form has been developed for inclusion in the Register.
(Appendix B).
Individuals may:
•
•
Personally inspect the Register by appointment with and in the presence of the Manager
Legal and Integrity for the purpose of checking their own declarations;
Take notes for their own personal use but are not permitted to copy the Register.
Individuals should be aware that they are still required to make a conflicts of interest disclosure
to relevant individuals at any time in relation to a specific matter they may be involved in,
notwithstanding the fact they have made a declaration in relation to the same interest which
has been recorded in the Conflicts of Interest Register (for example individuals who are
members of a committee still need to declare to the committee any conflicts of interest they
may have with regard to the functioning of the committee even though the conflict of interest
they have, had previously been declared and recorded in the Conflict of Interest Register).
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B. PROCEDURES RELATING TO SPECIFIC CONFLICTS OF INTEREST ISSUES
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1. Conflicts of Interests and Research
Researchers (students and staff) frequently have a conflict of interest that cannot be avoided.
Decision making processes in research often need expert advice, and the pool of experts in a
field can be so small that all the experts have some link with the matter under decision. An
individual researcher should therefore expect to be conflicted from time to time, and be ready
to acknowledge the conflict and make disclosures as appropriate.
In addition to the procedures described in the Conflicts of Interest Policy and these Guidelines,
researchers should be aware that research related legislation, codes and University policy
have additional requirements related to research and conflicts of interest that must be adhered
to, including the following:
1.1 When establishing research collaboration, researchers have a responsibility to disclose,
at the time of proposing or reporting research, any potential conflicts of interest that may
influence or be seen to influence any aspect of the proposed research or the research
being reported upon.
1.2 Researchers must disclose to their supervisor and the Deputy Vice-Chancellor
responsible for Research any affiliation with, or financial involvement in, any organisation
or entity with a direct interest in the researcher’s subject matter or materials. Such
disclosure should cover any situation in which the conflict of interest may, or may be
perceived to; affect any decision regarding the research or the interests of other people
and or third parties.
1.3 Researchers should maintain records of activities that may lead to conflicts of interest, for
example: consultancies; membership of committees, boards of directors, advisory groups,
or selection committees; and financial delegation or receipt of cash, services or equipment
from outside bodies to support research activities.
1.4 When invited to join a committee or equivalent, researchers should review their current
activities for actual, apparent or potential conflicts of interest and bring possible conflicts
of interest to the attention of those running the process.
1.5 While there is no requirement to disclose the details of a conflict of interest, for example,
because of a confidentiality agreement or for personal reasons, the existence of a conflict
must be declared and then managed in accordance with these Guidelines and the
Conflicts of Interest Policy.
2.
Procurement of Goods and Services
2.1 Suppliers of goods and services shall be required to disclose any actual, potential or
perceived conflicts of interest that they may have, or that may arise, with the University or
any University individual or its representatives in relation to the provision of the proposed
goods or services.
2.2 Suppliers should be requested to provide a conflict of interest declaration prior to the
awarding of any contractual undertaking by the University.
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2.3 Suppliers should be required to provide details of any actual, potential or perceived
POLICY
conflicts
of interest to the Manager, Legal and Integrity using the prescribed form (refer
Appendix C).
2.4 Conflicts of interest declarations provided by suppliers should be considered by University
representatives or contract managers prior to the awarding of any contracts or other
undertaking with regard to the provision of products or services.
2.5 University representatives or contract managers should document reasons for their
decisions and proposed actions in response to any declared supplier conflicts of interest
and file the relevant documents on the TRIM file pertinent to the activity and these should
be available for audit purposes.
2.6 Where a conflict of interest has been found to exist it shall be disclosed to the Manager
Legal and Integrity, using the prescribed form, for recording of the conflict of interest on
the ECU Conflict of Interest Register.
3.
Financial Interests
3.1 Individuals must disclose any financial interest or involvement that could directly or
indirectly compromise, or appear to compromise their business decisions, or undermine
the performance of their University duties and obligations, or the University's purpose,
objectives or activities.
3.2 Where individuals have a financial or personal interest in a company or other business
enterprise they must disclose a conflict of interest in advance of participating in any
financial type transaction between the University and that business.
3.3 A conflict of interest extends to any contract for services arrangements or business
undertaking in which individuals and/or their immediate family are acting in direct
competition with the University’s activities or interests for personal gain. In such situations
the individual is obligated to disclose these interests.
4.
Acceptance of Commissions, Gifts or Benefits
4.1 Individuals should not accept a gift, commission or a benefit from a student or a person or
organisation outside the University if the intent of the gift or the benefit is to induce the
individual to waive or lessen academic standards or requirements or to extend a financial
or other benefit to a person or organisation outside the University to the detriment of the
University's interests.
4.2 As a general rule, no individual should accept a gift or benefit if it could be seen by the
public, knowing the full facts, as intended or likely to cause that person to:
a.
b.
perform their job in a particular way, which the person would not normally do; or
deviate from the proper or usual course of duty.
4.3 Individuals may accept nominal gifts provided that they will not be, or will not be perceived
to be, compromised as a result. As a general rule gifts valued at $100 or less would be
considered nominal.
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4.4 The Manager,
Legal and Integrity maintains a Gifts Register wherein gifts or benefits
POLICY
accepted or declined by ECU staff are recorded. The onus is on staff members to lodge a
declaration with their supervisor upon receipt of any gift valued over $100 or in instances
where the acceptance of the gift may be perceived to be a conflict of interest.
4.5 Supervisors shall forward any documentation relating to the declaration of gifts to the
Manager, Legal and Integrity within 5 days of the receipt of such documentation.
4.6 Individuals should refer to the Acceptance of Gifts by ECU Staff Policy for further guidance
on the procedures relating to the acceptance of commissions, gifts and benefits.
5.
Influence to Secure Advantage
5.1 No individual shall elicit the improper influence or interest of any person to obtain
promotion, transposing or other advantage.
5.2 Individuals must not take advantage or seek to take advantage of their University position
including using or disclosing sensitive and confidential information relating to their work or
administration of the University to obtain a benefit, either for themselves or for someone
else.
6.
Personal Relationships
6.1 The University is aware that situations may occur where individuals are working with family
members, or with persons with whom there is, or has been, an intimate or close personal
relationship. In such circumstances it could be perceived that a conflict of interest exists.
To avoid any detrimental outcome individuals should disclose the existence of a conflict
of interest to their supervisor.
6.2 As a general principle, individuals should disclose a conflict of interest prior to participating
in University processes which involve persons with whom they have, or have had a close
personal relationship with. Such processes may include but are not limited to those:
a.
b.
c.
which determine or influence financial transactions or related contracts for the
University; or
dealing with student affairs and academic progress; or
relating to selection, recruitment, and employment decisions.
6.3 Disclosing the existence of a close personal relationship is not intended to unfairly
advantage, or disadvantage, those particular individuals.
7.
Personal and Family Relationships Between Staff Members and Students
7.1 Academic staff members are responsible to students and the University for assessing
students' work fairly, objectively and consistently.
7.2 A personal, sexual or family relationship between a staff member and a student has the
potential to compromise the University’s responsibilities towards students, and directly or
indirectly affect students, including their interactions and academic progress.
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7.3 In many cases, only the individual will be aware of the potential for conflict. Therefore, the
onus POLICY
is on that person to disclose to their supervisor the existence of the conflict of interest.
8.
Private business or other employment
The University will not restrain the activities and involvement of individuals in a private business
or other employment outside of ECU provided:
•
•
•
•
Their obligations to the University are not undermined or compromised;
The activity or work does not place them in conflict with their official duties, or would lead
to the perception that they have placed themselves in conflict with their University duties;
The activity or work doesn’t affect their decision-making or efficiency in the performance
of their University duties; and
There is no use or involvement of University resources in the activity or work.
C. Privacy and Confidentiality
Disclosures regarding a conflict of interest may include personal, sensitive or otherwise
confidential information. Therefore disclosures must at all times be treated with discretion, and
confidentiality should be respected.
In the exercise of this discretion it should be emphasised that a key aim is to avoid perceived
conflicts of interest. Therefore, information should be publicly disclosed to the extent necessary
to avoid such a perception arising. Senior Officers will have the ability to access disclosures
pertaining to individuals within their Centres/Schools/Portfolio.
Individuals need to be aware that whilst the Conflicts of Interest Register will not be a public
document, there may be legislative requirements outside the control of the University which
may oblige ECU to disclose information contained within the Register (such as the Freedom
of Information and the Corruption and Crime Commission legislation). Such applications will
be dealt with in accordance with the relevant legislation. In addition ECU’s external and
internal auditors will have access to the Conflicts of Interest Register.
D. References
Related Policy:
Document Owner:
Approved by:
Date First Approved:
Date last modified:
Next Revision Due:
Revision History:
Related Policies/Documents:
Conflicts of Interest Policy
SUB/59442
Senior Deputy Vice-Chancellor
Vice-Chancellor
20 February 2015
19 December 2018
February 2018
Code of Conduct
Conflicts of Interest Policy
Conflicts of Interest Disclosure Form
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E. Contact Information
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Contact Person:
Phone Number:
Email address:
Manager, Legal and Integrity
08-6304 2158
c.drury@ecu.edu.au
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APPENDIX A - EXAMPLES OF CONFLICTS OF INTEREST
Procurement of Goods and Services
•
•
•
•
Holding an interest in or accepting free or discounted goods from any person, company or
organization that does, or is seeking to do, business with the University, by any
employee who is in a position to directly or indirectly influence either the University’s
decision to do business, or the terms upon which business would be done with such
company or organization.
Participating in a tender for goods or services where a relative or friend will be submitting
a bid.
Purchasing goods or services supplied by the family business of a staff member, or
purchasing goods and services from a relative or close friend.
A staff member taking part in the assessment of a tender application where they have, or
have had, a personal or financial relationship with a person or organisation submitting a
tender application.
Conflicts of Interests and Research
•
•
•
•
Use of unpublished information emanating from University research or other confidential
University sources for personal profit, or assisting an outside organisation by giving it
unreasonably exclusive access to such information.
Circumstances in which research that could and ordinarily would be carried on within the
University is conducted elsewhere to the disadvantage of the University and its legitimate
interests.
A staff member holding an equity interest or executive position in a start-up company that
has contracted with the University to conduct further research.
A staff member undertaking research/clinical trials which are sponsored by a company in
which the researcher (or an associate of the researcher) has a financial interest, or holds
an executive position.
Financial Interests
•
•
•
•
Negotiations by a staff member of the terms under which any intellectual property, or other
property of the University, is to be sold, licensed or transferred to an external entity in which
the staff member has a financial interest.
A staff member directing University resources that can influence an external entity's
development where they or family members or friends are directors or shareholders of that
entity.
Holding an interest in an organization that competes with the University.
Being employed by (including working as a consultant) or serving on the board of any
organization that does, or is seeking to do, business with the University or which
competes with the University.
Acceptance of Commissions, Gifts or Benefits
•
•
Gaining personally, e.g., through commissions, loans, expense or travel reimbursements
or other compensation, from any company or organization doing, or seeking to do,
business with the University.
A staff member accepting gifts of value, grants and/or favours from persons or associates
who would be seen to benefit from the making of these gifts.
APPENDIX A - EXAMPLES OF CONFLICTS OF INTEREST
Influence to Secure Advantage
•
•
•
•
•
Involvement in the selection of a relative or friend as an employee.
Sale of a University asset to a staff member without an equitable process.
A staff member voting on a decision which directly affects their private interests.
A staff member using University assets or confidential University information for their
personal gain, or for the benefit of family or friends.
A staff member prescribing their own publication as a textbook for units in which they teach.
Personal Relationships
•
•
•
•
A staff member involved in the admission, supervision, assessment or examination of a
student with whom they have, or have had, a close personal or financial relationship.
A staff member with responsibility for the supervision of a student or another member of
staff with whom they have or have had a sexual relationship.
A staff member not involved in the admissions process pressuring a designated selection
officer (directly or indirectly) to review, or reassess, an application for admission for
someone with whom the staff member has a close personal relationship.
A staff member taking part in any selection, promotion, reclassification, evaluation or
grievance process with prospective or current staff members with whom they have, or have
had, a close personal or financial relationship.
APPENDIX B – ACTUAL, POTENTIAL OR PERCEIVED CONFLICTS OF INTEREST DISCLOSURE FORM
The Conflicts of Interest Policy requires individuals to disclose conflicts of interest. A conflict of interest may arise where there is a likelihood that individuals
possessing a particular interest could be influenced, or may appear to be influenced, in the performance of their duties and obligations to the University. Examples
include: financial interests; personal/family relationships, consulting work and external employment activities.
This disclosure form is to be used to report situations where:
(a) An actual, potential or perceived conflict of interest exists (b) To seek clarification whether a conflict of interest exists.
I,(insert full name)…………………………………..……………….…………………………………………………………..……………………………………………..
Of (insert school/centre)………………………………………….……………………………………………………………………………………………………………
Hereby state Yes a Conflict of Interest (Actual/Potential/Perceived) exists in the below activity. 
Seek clarification from the University on whether a Conflict of Interest could exists in the below activity. 
Briefly state the activity:
Describe the actual, potential or perceived conflict of interest in the activity:
I understand it may not be practicable or ethical for me to participate in the activity until such time as appropriate advice is received from the Relevant Supervisor.
Such advice may not approve my further or future involvement in the activity, or could require complying with, and implementing actions, processes or limitations
to manage the conflict.
Signed: ___________________________________________________ Date: ___________________________________
RELEVANT SUPERVISOR TO COMPLETE
Supervisor
Name
Supervisor
Title
I have read the conflict of interest disclosure, and where necessary I have sought appropriate advice from Senior Officers as defined within the Conflicts of Interest
Policy, and find: (tick where appropriate)
 No Conflict of Interest exists. I approve that the individual may continue the activity.
 Yes a Conflict of Interest has been determined to exist. The following actions are being taken to manage the Conflict(s) of Interest:
A copy of this advice has been discussed and provided to the individual. Where a conflict has been found the individual is aware they must comply with the
recommendation and determination made by the University. These actions are effective until the University determines the conflict no longer exists.
Implementation of actions/processes to manage or limit the conflict must be made prior to the individual undertaking the activity and/or by no later than __________
______________ (insert date).
The conflict and any required actions/processes will be reviewed at the following intervals: (please tick)
Monthly Quarterly Semester Annually On Occurrence  On _________________________________ (insert date/timeframe)
Supervisor Signature: _______________________________________
Date: _________________________________
Please forward the completed form to the Manager, Legal & Integrity or via email to integrity@ecu.edu.au for recording on the COI Register
APPENDIX C – CONFLICTS OF INTEREST DISCLOSURE FORM – CONTRACTORS
The Edith Cowan University Conflicts of Interest Policy requires that prior to the awarding of any contractual undertaking by the University, suppliers
of goods and services to the University shall be required to disclose any actual, potential or perceived conflicts of interest that they may have, or
that may arise, with the University or any University individual or its representatives in relation to the provision of the proposed goods or services.
This disclosure form is to be used by suppliers of goods and services to the University to disclose any actual, potential or perceived conflicts of
interest as required by the Edith Cowan University Conflicts of Interest Policy. Further information and queries about the University’s Conflicts of
Interest Policy should be directed to the Manager, Legal and Integrity (Strategic and Governance Services Centre) Tel: 6304 2158.
I, (insert full name)………………………………………………………………………………………………..……………………………………………….
Of (name of entity/organistaion)…………………………………………………………………………………………………………………………………
Briefly describe the conflict of interest:
Signed: ______________________________________________ Date: ______________________________
Relevant ECU Representative to Complete
ECU Representative
Name
ECU Representative
Title
I have read the conflict of interest disclosure, and where necessary I have sought appropriate advice from Senior Officers as defined within the
Conflicts of Interest Policy, and find: (tick where appropriate)
 No Conflict of Interest exists. I approve that the procurement activity may continue.
 Yes a Conflict of Interest has been determined to exist. The following actions are being taken to manage the Conflict(s) of Interest:
Where a conflict of interest has been found to exist a copy of this document shall be provided to the Manager, Legal and Integrity (Strategic and
Governance Services Centre) for recording of the conflict of interest on the ECU Conflict of Interest Register. In all instances a copy of this
document has to be filed in the relevant procurement activity records file.
ECU Representative Signature: _______________________________________
Date: ___________________
Edith Cowan University
POLICY
Policy Title:
Acceptable Use of Information Systems
Policy Owner:
Chief Information Officer
Keywords:
Access, Authorised, Communication, Information Systems, Private
Usage
Policy Code:
PL268
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1.
INTENT:
Edith Cowan University (ECU or the University) provides access to Information Systems
primarily for University-related teaching, research, academic, professional and business
purposes. This policy does not seek to inhibit or unnecessarily restrict use of Information
Systems. The intent is to inform the University Community about minimum levels of
acceptable behaviour and protections around the use of University Information Systems.
2.
ORGANISATIONAL SCOPE:
This policy and its associated operational documents apply to all Authorised Users of the
University’s Information and Communication Technology (ICT) environment.
Included in scope are all University Information Systems, regardless of their location, and any
devices connected to the University’s networks, including where members of the University
Community bring their own devices for use whilst at the University.
3.
DEFINITIONS:
The University Glossary and the following definitions apply to this policy.
Term:
Definition:
Authorised Users
Any person who has been granted access to University
information assets or any part of the University’s ICT
environment by a person authorised by the University to
grant that access.
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4.
Digital Communication
Channels
Tools that allow for communication using electronic
transmission of information such as email and social media.
Information Assets
Information which has been collected within a system or
other digital repository, and that has a value to the
University.
Information and
Communications Technology
(ICT)
Any device, network, system, service, infrastructure,
application, database or any physical and/or virtual location
that stores, transports or processes University Information
Assets.
Information Security
The protection of information and information systems from
unauthorized access, use, disclosure, disruption,
modification or destruction, in order to provide
confidentiality, integrity and availability.
Information Systems
An Information System is any organised system for the
collection, organisation, storage, and communication of
information. An Information System may or may not be
provided by the University but is provided to Authorised
Users to assist in the delivery of University business.
Private Usage
Usage that is of a personal nature and not primarily for
University-related
teaching,
research,
academic,
professional, or business purposes.
POLICY CONTENT:
General:
4.1.
The University monitors its ICT environment, including usage of the environment, as a
component of ensuring adequate Information Security and effective management of
Information Assets. All reasonable steps are taken to protect the privacy and confidentiality
of Authorised Users.
4.2.
Authorised Users of the University’s ICT environment are expected to:
a.
b.
c.
4.3.
take reasonable steps to ensure they understand this policy, and are abiding by its
intent when making decisions and/or taking actions;
seek advice prior to acting if there is any doubt about whether a proposed use is
permitted or authorised;
advise the Chief Information Officer (CIO) or their nominee of any activities and
practices that are reasonably believed to contravene this policy.
Authorised Users must use the University’s ICT environment in a manner which:
a.
b.
is lawful;
aligns with the University’s values and reflects positively on the University’s
reputation;
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c.
d.
4.4.
Authorised Users must not use the University’s ICT environment in a manner which could
reasonably be suspected to be inappropriate including:
a.
b.
c.
d.
e.
f.
4.5.
accessing pornography;
intentionally downloading, storing, distributing or viewing material that can reasonably
be perceived to be offensive, obscene, indecent or menacing such as material that
incorporates gratuitous violence, material that is discriminatory and material involving
racial or religious vilification;
stalking, blackmailing or engaging in any form of threatening behaviour;
transmitting spam or other unsolicited communications;
introducing or distributing security threats, including a virus of other harmful malware;
or
without authority accessing, copying, altering or destroying University Information
Assets.
The University provides access to Information Systems primarily for University-related
teaching, research, academic, professional, or business purposes. While a reasonable level
of Private Usage is permitted, Private Usage is a privilege and must:
a.
b.
c.
4.6.
does not intentionally create an intimidating or hostile work or study environment for
others; and
supports the provision of a fair, safe and productive environment within which all staff
and students can work or study.
be kept to a minimum and not interfere with productive use of resources or the delivery
of expected University outcomes;
not result in an unnecessary or avoidable financial cost to the University; and
comply with clause 4.4 (above).
As far as reasonable and practicable, and in accordance with the Information Security and
Information Technology policy, University sanctioned, and protected Information Systems
must be used for the storage of University-related data and information.
Access to Information Systems:
4.7.
The University reserves the right to decide who will and will not be provided access to
University Information Systems and to remove access should the University deem access to
no longer be required or to no longer be in the University’s best interests.
4.8.
Authorised Users provided with accounts enabling access to University Information Systems
accept accounts on the understanding they are for the exclusive use of the Authorised User
and must not be shared or used by anyone other than the Authorised User.
4.9.
Passwords, accounts and documented processes required for the access of University
information must be protected and secured in accordance with the conditions under which
access has been provided.
4.10. Authorised Users must not deliberately avoid or attempt to avoid authentication or conceal or
attempt to conceal their identity whilst using University information Systems.
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4.11. Authorised Users must not acquire, possess, trade, or use hardware or software tools that
could be employed to evaluate or compromise Information Security.
4.12. Authorised Users who reasonably suspect the privacy and security of their account has been
compromised must immediately report their concern to the CIO or their nominee.
4.13. A University identity card must always be carried when using on-campus computing facilities.
Authorised Users unable to show a current and valid University identity card to security officers
and/or other University staff on request may be required to leave the facility immediately.
4.14.
Persons seeking entry to a computing facility where use of an access card is required to gain
entry must use their own access card. Accessing a facility using a card other than the
Authorised User’s own access card is considered unauthorised access.
4.15. Authorised Users who access the University’s ICT environment remotely must avoid accessing
or creating sensitive University Information Assets from shared devices or publicly accessible
systems.
4.16. Authorised Users who access/store University information using a personal device must do so
in accordance with the Information Security and Information Technology policy.
Digital Communication Channels:
4.17. Members of the University Community communicating from a University provided account
must ensure the way they communicate reflects positively on the University and upholds the
University’s values.
4.18. All communications are regarded as University records. Users of the University’s ICT
environment accept that there are legislative requirements which may oblige the University to
disclose information contained in any such communications.
4.19. Users of the University’s ICT environment must take all reasonable steps to ensure information
reasonably believed to be confidential, sensitive, or to present a risk to the University should
it be accessed by entities other than the intended recipient, is only conveyed using Information
Systems that are protected and secure.
4.20. Staff must be aware agreements made in digital communications channels, for example,
email, can be considered legally binding on the University and must only make offers and
agree to undertake actions reflective of the level of authority and decision-making powers
vested in them by the University.
4.21. Staff must seek approval from the relevant senior executive prior to sending a global staff
email.
Breaches and exceptions:
4.22. Non-compliance with this policy by an Authorised User will be investigated and, subject to the
applicable provisions of relevant legislation, statutes, rules, policies and industrial agreements,
action may be taken, up to and including termination of a staff member’s employment and
cancellation of a student’s enrolment.
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4.23. Excessive Private Usage of Information Systems, which, by its nature, is not reasonably
justifiable as being for University required or related educational, research, professional or
business purposes, may be investigated and treated as an act of non-compliance with this
policy.
4.24. Authorised Users with a legitimate need to access a restricted or filtered site must request
permission from the CIO, or their nominee, to have their access authorised. The University
reserves the right to determine if access will be authorised.
5.
ACCOUNTABILITIES AND RESPONSIBILITIES:
The CIO is the policy owner and has overall responsibility for taking all reasonable steps to
ensure this policy and its associated operational documents are achievable, understood, and
accessible by the persons falling within the scope of the policy.
Users of University information Systems are responsible for taking all reasonable steps to
understand this policy and related documents, and proactively seek guidance should there be
uncertainty around any aspect of application.
6.
RELATED DOCUMENTS:
The following documents should be read and understood in conjunction with this policy:
Staff Code of Conduct
Copyright – Online High-Use Collection policy
Fraud and Misconduct Prevention and Management policy
Information Security and Information Technology policy
Management of Misconduct and/or Serious Misconduct (staff)
Privacy policy
Relevant Industrial Instruments
Social Media policy
Statement on Academic Freedom and Freedom of Speech
Student Code of Conduct
University Statute No. 22 - Student Conduct
7.
CONTACT INFORMATION:
For queries relating to this document please contact:
Policy Owner
All Enquiries contact:
Telephone:
Email address:
Chief Information Officer
Vito Forte
6304 3737
v.forte@ecu.edu.au
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8.
APPROVAL HISTORY:
Policy approved by:
Date policy first approved:
Date last modified:
Revision history:
Next revision due:
HPCM file reference:
Vice Chancellor
December 2000
29 March 2021
•
•
•
•
June 2008
July 2016
December 2018 – Addition of clarification of storage
March 2021 Comprehensive review and refresh of the
policy including removal of operational information and
re-drafting as a principle-based policy.
April 2024
SUB/73511
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Policy Title: Intellectual Property
Policy Owner:
Deputy Vice-Chancellor (Research)
Keywords:
1) Intellectual Property
Policy Code:
PL234 [co002]
2) Commercialisation
3) Copyright
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1.
INTENT
1.1
The Policy recognises that:
1.2
(a)
the University’s ability to attract research funding from industry, business and
government is effected by its ability to manage its intellectual property;
(b)
intellectual property generated by the University researchers should be used
to maximise the flow of benefits to society, particularly to Australia, to enhance
the reputation of the University, and to encourage and assist staff and students
in their careers;
(c)
the value of disseminating research findings should be balanced with the need
to protect commercially valuable outputs of research activity; and
(d)
the terms specified in contractual relationships with research funding agencies
have an impact on the use and control of research outcomes.
This Policy aims to:
(a)
provide guidance for staff and students on the practices of the University with
respect to intellectual property; and
(b)
protect the interests of staff members, students and the University arising from
the creation, protection and commercialisation of intellectual property.
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2.
ORGANISATIONAL SCOPE
This policy applies to all staff, affiliated researchers, and students involved in research
and research-related activities at ECU.
3.
DEFINITIONS
TERM
“Affiliate” means
“Commercial Exploitation”
means
“Commercialisation Costs”
means
“Commercialisation
Revenue” means
“Computer Program”
“Copyright Work” means
“Creator” means
DEFINITION
an Emeritus, Honorary, Adjunct or Visiting Staff member
appointed to the position at the University in accordance
with University policy.
the application, publication, development, use,
assignment, licensing, sub-licensing, franchising,
exploitation, sale or other utilisation of Intellectual
Property for the purpose of generating financial or other
commercial gains. “Commercially Exploit” has the
same meaning.
all costs and disbursements incurred by the University in
connection with the Commercial Exploitation of
Intellectual Property. Commercialisation costs include the
costs of managing, registering, protecting and enforcing
Intellectual Property rights, creation of prototypes, models
and samples, research and development, proof of
concept development, insurance, legal, financial and
technical advice, marketing and travel, and other such
expenses associated with carrying out that business
activity.
the gross revenue actually received and retained by the
University from the Commercial Exploitation of Intellectual
Property, after the payment of any withholding, goods and
services or other taxes, bank fees, transaction fees and
other charges. Commercialisation Revenue does not
include income received from the provision of research,
consultancy or other services and does not include any
income derived from the delivery of the University’s feepaying courses, including courses delivered
collaboratively with third party educational institutions in
Australia or internationally.
has the same meaning as in the Copyright Act 1968 (Cth).
any artistic work, literary work, dramatic work, musical
work, sound recording, cinematograph file, television
broadcast, sound broadcast or published edition of work
within the meaning of the Copyright Act 1968 (Cth).
any of the following:
(a)
(b)
in the case of a patentable invention subject to the
Patents Act 1990 (Cth) - the Inventor;
in the case of a literary or artistic work, or similar,
subject to the Copyright Act 1968 (Cth) - the Author;
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TERM
DEFINITION
(c)
“Deputy Vice-Chancellor
(Research)”
“Intellectual Property”
means
in the case of designs registrable under the
Designs Act 2003 (Cth) - the Designer;
(d)
in the case of plant breeders’ rights, under the
Plant Breeders’ Rights Act 1994 (Cth) - the
Principal Breeder;
(e)
in the case of circuit layouts, under the Circuit
Layouts Act 1999 (Cth) - the Designer;
(f)
in the case of software and computer code - the
software author; and
(g)
in the case of trade secrets and know how - the
contributors to that body of knowledge.
includes any successor to that position or a person acting
in the position or his or her nominee.
all statutory and other proprietary rights (including rights
to require information to be kept confidential) in respect of
inventions, copyright, trademarks, designs, patents, plant
breeders’ rights, circuit layouts, know-how, trade secrets
and all other rights as defined by Article 2 of the
Convention Establishing the World Intellectual Property
Organisation of July 1967, all rights to apply for the same
and, for the avoidance of doubt, includes:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
“Invention” means
“Invention Disclosure Form”
means
“Line Manager” means
“Moral Rights” means
patents under the Patents Act 1990 (Cth);
copyright and moral rights vesting by virtue of the
Copyright Act 1968 (Cth) in literary works (including
computer programs), dramatic works, musical
works, artistic works, films, sound recordings,
broadcasts, published editions and certain types of
performances;
trade marks registered under the Trade Marks Act
1995 (Cth);
designs registered under the Designs Act 2003
(Cth);
new plant varieties under the Plant Breeder's
Rights Act 1994 (Cth);
circuit layouts (computer chips) under the Circuit
Layouts Act 1999 (Cth); and
trade secrets and other confidential material under
common law.
an invention (whether qualifying for registration or
otherwise) under the Patents Act 1958 (Cth) or the
Patents Act 1990 (Cth).
the invention disclosure form which can be found on the
ORI website.
the person having direct line management responsibility
for a Staff Member.
a sub-category of rights under the Copyright Act 1968
(Cth) referred to as moral rights, which protect the right of
a creator of original copyright works to be recognised as
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TERM
DEFINITION
the creator of those works (right of attribution) and the right to object to the
derogatory treatment of those works (right of integrity). These rights are
personal rather than proprietary in nature and as such cannot be sold,
licensed or assigned. Furthermore, moral rights vest in the creator
irrespective of his/her employment status and the ownership of the
copyright in the work. The Copyright Amendment (Moral Rights) Act 2000
(Cth) sets out these rights in detail.
“Net Revenue”
means
the monetary amount retained by the University from the Commercialisation
Revenue received from the Commercial Exploitation of Intellectual
Property after:
(a)
(b)
“ORI” means
“Research”
means
“Scholarly
Works” means
the University’s Office of Research and Innovation or any
successor office of research at the University.
the creation of new knowledge and/or the use of existing knowledge in a
new and creative way so as to generate new concepts, methodologies and
understandings. This could include synthesis and analysis of previous
research to the extent that it leads to new and creative outcomes.
any literary, dramatic, musical or artistic work and includes any journal
articles, books, conference papers, manuals, musical composition,
creative writing or like publication or any digital or electronic version of
these that contains material written by a Staff Member or Affiliate based
on that Staff Member's or Affiliate’s scholarship, learning or research but
does not include:
(a)
(b)
(c)
“Specifically
Commissioned
” means
“Specified
Agreement”
means
“Staff Member”
means
total
Commercialisation
Costs
have
been recovered or
deducted from Commercialisation Revenue; and
the legitimate claims of third parties are satisfied.
Teaching Materials; or
Computer Programs;
any such work produced by a Staff Member in their capacity as a
general, rather than an academic, member of staff.
works which the University has specifically employed or requested a
Staff Member or Affiliate to produce, whether in return for special
payment or not.
an agreement between the University and any party which relates to the
ownership or use of Intellectual Property
that may arise out of an activity, including research, which
is identified in the agreement.
an officer or employee of the University and includes both academic and
general staff whether employed on a full- time, part-time, sessional or
casual basis.
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TERM
DEFINITION
“Student” means
a person enrolled as a student of the University.
all versions, whether digital or otherwise, of information, documents and
materials created or used for the primary purpose of teaching and
education at the University and, without limiting the generality of the
foregoing, includes lecture notes that are made available to Students,
computer generated presentations, course guides, overhead projector
notes, examination scripts, examination marking guides, course
databases, websites and multimedia-based courseware.
“Technology
includes any successor fund for technology transfer at the
University.
Transfer
“University” means Edith Cowan University.
“Teaching
Materials”
means
“University
Resources”
means
4.
resources of the University which includes without limitation facilities,
funds, services, equipment, paid leave, staff time and support staff.
POLICY CONTENT
1.
Ownership of Intellectual Property Created by Staff Members or Affiliates
Ownership
(1)
The University owns all Intellectual Property (other than Moral Rights):
(a)
(b)
created by a Staff Member in the course of, or pursuant to, or under the
terms of, or incidental to, the Staff Member’s employment with the
University. This includes but is not limited to all Intellectual Property created
by a Staff Member by reason of the Staff Member’s:
(i)
use of the University’s Resources; or
(ii)
participation in any project or program supported by funding
obtained or provided by the University; or
(iii)
research being undertaken at the University, either in collaboration
with other Staff Members or any third party, or
created by an Affiliate while engaged in an activity which is the subject of
a Specified Agreement. This includes but is not limited to all Intellectual
Property created by an Affiliate:
(i)
with the use of the University’s Resources;
(ii)
with the use of Intellectual Property owned by the University;
(iii)
where the Intellectual Property is a component of Intellectual
Property generated by a team of which the Affiliate is a member and
other members are Staff Members; or
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(iv)
where the Intellectual Property has been generated as a result of
any funding provided by or obtained by the University.
Assignment of Scholarly Works
(2)
The University is willing to forgo copyright ownership in a Creator’s Scholarly
Work (except where the Scholarly Work has been Specifically Commissioned by
the University) on the condition that the Creator provides a perpetual, irrevocable,
worldwide, royalty-free, non-exclusive licence in favour of the University to allow
the University to use that work for teaching and research purposes and to reproduce
and communicate that work in any format for teaching and research purposes.
(3)
If the Scholarly Work relates to an unregistered design, unregistered plant variety
or an Invention in respect of which a patent has not already been granted, the
Staff Member or Affiliate must not publish or otherwise disclose the Scholarly
Work to any third party without the written authorisation of the University’s Deputy
Vice-Chancellor (Research).
Teaching Materials
(4)
Where the University owns the Intellectual Property in Teaching Materials in
accordance with Section 1(1) above, the Staff Member or Affiliate who created
the Teaching Materials shall have, by virtue of this sub-section, a non-exclusive,
royalty-free, worldwide, non-transferable licence to use the Teaching Materials for
teaching and research purposes, both during and after the term of the Staff
Member’s employment or Affiliate’s affiliation with the University.
(5)
A Staff Member or Affiliate’s use of Teaching Materials under the licence granted
in Section 1(4) is subject to any relevant contractual arrangements entered into
by the University, being contractual arrangements of which the Staff Member or
Affiliate has notice.
Work Done Outside the University
(6) Staff Members must report to their Line Manager with information of their participation
in all arrangements for work supported or funded by an entity other than the
University.
(7)
A Staff Member will be presumed to be working in the course of his or her
employment with the University, unless his or her work:
(a)
is undertaken outside and independently of the University;
(b)
does not form part of the Staff Member’s prescribed duties;
(c)
does not involve significant use of University resources or facilities
including University funding, Staff Members, Students, apparatus or
supervision;
(d)
does not include any use of University-owned Intellectual Property; and
(e)
is undertaken with the permission of the Staff Member’s Line Manager.
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(8)
2.
(1)
Where the position is unclear, Staff Members are required to seek clarification in
writing from the Deputy Vice-Chancellor (Research) to avoid possible disputes.
Ownership of Intellectual Property Created by Students
Subject to this Section 2, Intellectual Property created by a Student during the
course of his or her studies at the University is owned by that Student.
Assignment
(2) Where a Student wishes to receive funds under a scholarship, then the University
may require the Student to assign his or her Intellectual Property and agree to
confidentiality obligations arising out of the work as a condition of the receipt of the
funds under the scholarship.
(3) Where a Student wishes to participate, or continue to participate, in a project
which:
(a)
is externally funded;
(b)
is likely to have potential for, or has potential for, Commercial Exploitation;
or
(c)
builds upon pre-existing University-owned Intellectual Property,
then, the University may, as a condition of the Student participating in that
project, require the Student to assign his or her Intellectual Property and agree to
confidentiality obligations arising out of the work.
(4)
(5)
The terms of any assignment of Intellectual Property by a Student will be agreed
with the Student. In general, the Student will:
(a)
retain copyright in his or her thesis; and
(b)
have a right to have his or her thesis examined and the right to submit work
for publication, subject to obligations of confidentiality in relation to the project.
Signing an agreement under Section 2(3) must be an act of free will by the
Student and will not be a condition in order to qualify for enrolment at the University,
or to remain enrolled in a course at the University, or to complete the requirements
of a course at the University in which he or she has enrolled, under any
circumstances. If a Student prefers not to sign such an agreement, or does not
respond to a request to do so, then the University may decline to permit the Student
to participate in that project and the University will use its best endeavours
to provide the Student with the option of a different research topic.
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Sharing Commercial Benefits
(6)
Students who assign their Intellectual Property rights to the University in
accordance with Section 2 are entitled to a share in the proceeds of any
Commercial Exploitation of that Intellectual Property as provided in Section 7.
Student Research at other Institutions
(7)
3.
A Student who is involved in research at an institution other than the University
(which is not itself party to a joint research project with the University), must
advise his or her supervisor of his or her involvement in such research at another
institution before a research or thesis topic is approved by the University for the
Student, so that suitable arrangements can be made with that institution, if
necessary. These arrangements might include obtaining a disclaimer from the
institution of any interest in the research, or negotiating a sharing of rights to any
Intellectual Property arising from the research.
Securing and Protecting Intellectual Property
A Creator of Intellectual Property which the University owns or in which the University
has an interest under this Policy:
(1)
must, at the request of the University, execute any documents or do any acts or
things required by the University, including without limitation execute a deed of
assignment, to give effect to the provisions of this Policy; and
(2)
must not deal with the Intellectual Property in any manner that is inconsistent with
the University’s rights in the Intellectual Property.
4.
(1)
Identifying and Reporting Intellectual Property
A Creator of Intellectual Property:
(a) which the University owns and which the Creator reasonably believes has or
is likely to have potential for Commercial Exploitation; and/or
(b) who has a legal requirement of disclosure of Intellectual Property under the
terms of a research grant or contract with the University or a third party,
must promptly disclose its creation to the University by providing full details in an
Invention Disclosure Form and must submit that Invention Disclosure Form to
ORI.
(2)
The Section 4(1) obligation to report is continuing and ongoing. Any new
particulars, data, results, findings and commercial interactions associated with
the Intellectual Property disclosed in the original report must also be disclosed to
ORI as they occur.
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5.
(1)
Non-Disclosure
The Creators of the Intellectual Property disclosed under Section 4 must not
otherwise disclose or use that Intellectual Property without the written authorisation
of the University’s Deputy Vice-Chancellor (Research) if:
(a) the Intellectual Property comprises an Invention, an unregistered design, an
unregistered plant variety or a Copyright Work that relates in whole or in part
to an Invention, design or plant variety; or
(b) the disclosure or use is likely to prejudice the University’s ability to protect,
prosecute, enforce or Commercially Exploit the Intellectual Property or its rights
in the Intellectual Property.
(2)
6.
The Creator must confer with ORI regarding timing of any proposed publications
of the Intellectual Property disclosed in the Invention Disclosure Form to ensure
that publication and Intellectual Property protection may be achieved without
either hindering the other.
Assessment and Evaluation of Intellectual Property
(1)
Subject to full details having been provided in the Invention Disclosure Form, on
receipt of an Invention Disclosure Form which relates to Intellectual Property
disclosed under Section 4, ORI will decide within a period of three months of
receiving the Invention Disclosure Form whether or not it wishes to proceed with
the protection, development or Commercial Exploitation of the Intellectual Property.
(2)
Where it is not practicable to reach a decision within three months, the University
will advise the Creator of the reasons why it has been unable to reach a decision
and, after consultation with the Creator, may specify a further period of not more
than three months within which it expects to reach a decision. Any further period of
extension beyond the three months is only available by agreement between the
University and the Creator.
If the University Decides Not to Proceed
(3)
If the University decides it does not wish to protect, develop or Commercially
Exploit the reported Intellectual Property which it has assessed under paragraphs
(1) and (2) of this Section 6, the University must notify the Creator of this decision.
Upon such notification the Creator shall no longer have an obligation of nondisclosure under Section 5. The Creator may request the University to assign the
Intellectual Property to him or her so that the Creator can protect, develop or
Commercially Exploit the reported Intellectual Property in any manner the Creator
chooses at the Creator’s own cost, subject to the interests of any third parties.
(4)
Nothing in Section 6(3) prejudices any right of the University to negotiate
conditions to the assignment to:
(a) claim a share in any revenue received by the Creator from the Commercial
Exploitation of the Intellectual Property; or
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(b) retain a non-exclusive right to use the Intellectual Property for education and
research purposes.
(5) In the case of multiple Creators, any assignment of Intellectual Property in accordance
with Section 6(3) will be to all Creators without determination of ownership or
proportion of contribution.
(6)
The University reserves the right not to assign Intellectual Property to the
Creators under Section 6(3).
If the University Decides to Proceed
(7)
If the University decides to protect, develop or Commercially Exploit the reported
Intellectual Property which it has assessed under paragraphs (1) and (2) of this
Section 6, the University must notify the Creators of this decision and the
Creators will be requested to complete a formal assignment of their interests in
the Intellectual Property to the University in a contract that specifies the rights
that will accrue to the Creators.
(8)
Without limiting the University’s discretion in the Commercial Exploitation of
Intellectual Property, the University may consult with the Creators of the Intellectual
Property before determining the appropriate pathway for Commercial Exploitation.
The pathway may include the filing of patent applications, the identification of
possible licensees, the formation of a limited liability company or some other vehicle
to exploit the Intellectual Property.
(9)
The Creators must provide the University with all reasonable assistance in the
exploitation of the Intellectual Property including the assessment, management,
protection and Commercial Exploitation of Intellectual Property. The Creators
must also assist by attending meetings, executing appropriate documents, and
preparing documents that will assist in the protection, development and Commercial
Exploitation of Intellectual Property including technical descriptions and
evaluations, as required.
7.
(1)
Sharing the Proceeds of Commercialisation
As a general rule, Net Revenue will be distributed as follows:
(a)
One half to all the Creators between them;
(b)
One half to the University, to be shared amongst the Creators’ School or
Centre at the time the Intellectual Property was developed, and the
University’s Strategic Initiatives Fund for strategic investment in research or
commercialisation.
(2)
Section 7(1) does not apply in respect of any proceeds derived from the
Commercial Exploitation of Teaching Materials developed for the purpose of
delivering a degree, diploma, course or unit of study regardless of where, by
whom and what mode the degree, diploma, course or unit of study is delivered.
(3)
The discretion to vary distribution of the Net Revenue from the general rule in
Section 7(1) will be exercised by the Vice-Chancellor on advice from the Deputy
Vice-Chancellor (Research).
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POLICY
(4)
Distribution of Net Revenue will be made to the Creators regardless of whether
they remain employed or engaged by, or enrolled with, the University.
(5) Taxation obligations associated with benefits flowing to Creators are the responsibility
of the Creators involved. For the avoidance of doubt, benefits may take the form of
revenue, equity or shares, a right to convert to equity or shares or other non-cash
benefits, dependent upon the path of Commercial Exploitation.
Multiple Creators
(6)
Net Revenue will be shared between the Creators involved according to the
proportionate contribution made by them to the Intellectual Property.
Such
proportions are as agreed by the Creators. If there is any dispute between the
Creators and agreement cannot be reached, the provisions of Section 12 Dispute
Resolution apply.
(7)
In the case where there are several Creators who are employed by or study
under different Schools or Centres, distribution to relevant Schools or Centres will
be made in the same proportions as apply to Creators.
Transitional Provisions – Revenue Distribution
(8)
8.
Arrangements regarding sharing the Net Revenue executed prior to the date of
this Policy will remain in accordance with the arrangements and policies in force
at that time.
Agreements
The University may enter into an agreement with a Creator or any other person (including
a Creator who is a Student) regarding the ownership, licensing, use or Commercial
Exploitation of Intellectual Property.
9.
Intellectual Property From Previous Employment
Where a Staff Member or Affiliate brings Intellectual Property to the University
generated in the course of previous employment, and in respect of which that previous
employer or the Staff Member or Affiliate has a claim of ownership, and where that
claim of ownership could reasonably be expected to impact upon or limit the Staff Member
or Affiliate’s ability to perform research or related tasks under his or her contract
with the University, then this must be disclosed to ORI so all issues of ownership are
clarified and settled before the Staff Member or Affiliate uses that Intellectual Property in
the course of his or her work at the University.
10. Indigenous Works
Where the creation of the University Intellectual Property involves the traditional interests
or property of Indigenous peoples and/or the use of traditional knowledge, the University
will take all reasonable steps to consult with the relevant groups within the University,
including relevant Indigenous Australian staff, to ensure that any decisions taken on the
protection, development and Commercial Exploitation of that Intellectual Property
conforms with the relevant Indigenous protocols and ethical guidelines.
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11. Infringement of University Intellectual Property
A Staff Member, Affiliate or Student who becomes aware of any unauthorised use of
Intellectual Property owned by the University must promptly inform the Deputy ViceChancellor (Research) of the relevant details in writing.
12. Dispute Resolution
(1)
In the event of a dispute arising between the University and a Creator or between
Creators concerning any matter relating to this Policy, then, except where there is
a written agreement between the University and the Creators to the contrary, the
dispute shall be referred to a panel of three people (“Panel”).
(2)
The Panel shall be made up of:
(3)
(a)
one person nominated by the Vice- Chancellor;
(b)
one person nominated by the Creators; and
(c)
an independent Chair nominated by mutual agreement between the ViceChancellor and the Creators involved in the dispute.
ORI shall be responsible for convening such a Panel without unnecessary delay.
The Panel shall consider evidence provided to it by all concerned parties and can
request further information to be provided to assist it in its decision making. The
Panel shall produce a written report containing its decision as soon as practicable
and having regard to the urgency of any such dispute.
5. ACCOUNTABILITIES AND RESPONSIBILITIES
In relation to this policy, the following positions are responsible for the following
Policy Owner
The Policy Owner, being the Deputy Vice-Chancellor (Research) has overall responsibility for
the content of this policy and its operation in ECU.
ECU students, staff and Council Members are required to comply with the content of this
policy and to seek guidance in the event of uncertainty as to its application.
6. CONTACT INFORMATION
For queries relating to this document please contact:
Policy Owner
All Enquiries Contact:
Telephone:
Email address:
Deputy Vice-Chancellor (Research)
Director, Office of Research and Innovation
08 6304 5401
margaret.jones@ecu.edu.au
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7. APPROVAL HISTORY
Policy approved by:
Vice-Chancellor
Date policy first
approved:
10 October 2011
Date last modified:
27 November 2017
Revision history:
20 November 2015 – minor amendments made as a
result of the academic organisational restructure,
approved by the Policy Owner.
24 August 2016 – minor amendment to include in
the Definition Table – “Scholarly Works”; this was
inadvertently deleted from the table when the policy
was previously amended. Approved by the Vice
Chancellor.
27 November 2017 – amendments refer to the
details of intellectual property ownership to the
agreement or arrangement that governs the
administration of the scholarship. Endorsed by
Academic Board and approved by the ViceChancellor.
Next revision due:
October 2020
HPRM file reference
SUB/31523
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POLICY
Policy Title: Health and Safety Policy
Policy Owner:
Director, Human Resources Services
Keywords:
1) Health 2) Safety 3) Commitment
Policy Code:
PL139 [hr081]
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1.
INTENT
This Policy outlines the scope, commitment and responsibilities of the University with respect to
providing, maintaining and continuously improving, so far as is reasonably practicable, a safe and
healthy working and learning environment for its workers, students and the community.
2.
ORGANISATIONAL SCOPE
This Policy applies to all ECU Workers, students and visitors conducting activities on behalf of
Edith Cowan University (ECU) both within Australia and overseas. Our campuses outside of
Western Australia will comply with this policy and with relevant local Health and Safety (HS)
legislation as a minimum. Where there is a difference, the higher standard will apply.
3. DEFINITIONS
TERM
DEFINITION
ECU
Officers
Edith Cowan University
A person who makes or participates in making decisions that
affect the whole, or a substantial part, of the business or has the
capacity to significantly affect the business’ financial standing.
Reasonably Practicable
‘Reasonably practicable’, in relation to a duty to ensure health
and safety, means that which is, or was at a particular time,
reasonably able to be done in relation to ensuring health and
safety, taking into account and weighing up all relevant matters
including:
a) the likelihood of the hazard or the risk concerned
occurring; and
b) the degree of harm that might result from the hazard or
the risk;
c) what the person concerned knows, or ought to
reasonably know, about:
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Worker(s)
4.
i. the hazard or the risk; and
ii. ways of eliminating or minimising the risk;
d) the availability and suitability of ways to eliminate or
minimise the risk; and
after assessing the extent of the risk and the available ways of
eliminating or minimising the risk, the cost associated with
available ways of eliminating or minimising the risk, including
whether the cost is grossly disproportionate to the risk.
A person is a worker if the person carries out work in any
capacity for ECU, including work as:
a) an employee
b) a contractor or subcontractor;
c) an employee of a contractor or subcontractor;
d) an employee of a labour hire company who has been
assigned to work in the person's business or undertaking;
e) an apprentice or trainee;
f) a student gaining work experience; or
g) a volunteer.
POLICY CONTENT
ECU has the goal of providing a healthy and safe working and learning environment at all our
global locations, where our people are protected from physical and psychological injury, ill health,
disease or harm arising from our activities.
ECU is committed to achieving its goal by:
• Implementing and continuously improving our health and safety management system, as
outlined in ECU’s Health and Safety Management System Framework, to ensure we fulfil
our legal and other requirements and meet industry best practice;
• Applying the requirements of the Health and Safety Management System across all areas
and activities of the University;
• Collaborating and consulting with workers, students and industry partners about decisions
that may affect their health, safety and wellbeing. This will be accomplished using
consultative mechanisms, including ECU Health and Safety committees and working
groups, hazard and incident management processes and engagement with health and
safety representatives;
• Setting and regularly reviewing measurable and proactive health and safety targets at the
senior management level, that are aimed at reducing workplace injury, ill health, disease
and risk; and
• Adopting a process of systematic health and safety risk management, consistent with the
principles of ISO 45001 Occupational health and Safety Management Systems –
Requirements with Guidance for use that forms the foundation of our research, teaching
and operational activities to ensure we understand workplace risks and use this
information to inform our planning and decision making. In doing so, hazards that may
cause physical or psychological injury, ill health, disease or harm, are identified, assessed
and controlled to as low as is reasonably practicable.
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To realise our vision, the University is committed to strong visible leadership where health and
safety is integrated into all University activities. At ECU, health and safety is a shared
responsibility and everyone has an important role in helping us maintain a safe and healthy
environment. This may be as simple as reporting any potential hazards so they can be promptly
addressed.
5.
ACCOUNTABILITIES AND RESPONSIBILITIES
In relation to this policy, the following positions are responsible for the following
Policy Owner
The Policy Owner the Director Human Resources Service has overall responsibility for the
content of this policy and its operation in ECU.
Amendments will be undertaken in consultation with the University Health and Safety Committee
including Health and Safety Representatives.
University Council and Officers of the University
University Council and Officers of the University have ultimate responsibility for providing a safe
and healthy working and learning environment for ECU workers, students and visitors in
accordance with this policy and legislative requirements.
Workers/students/visitors
Workers/students/visitors are required to meet their duty of care under the Occupational Safety
and Health Act (1984), and in doing so meet the intent of this policy.
6.
RELATED DOCUMENTS:
6.1
The policy is supported by the following Guidelines:
A range of health and safety related guidelines are available from the Health and Safety pages of
the ECU Human Resources Services website, including but not limited to:
• ECU Health and Safety Management System Framework
• University Health and Safety Consultative Committees Procedure
6.2
Other documents which are relevant to the operation of this policy (as amended from time
to time) are as follows:
Available from the Western Australian Legislation website
• Occupational Safety and Health Act 1984
• Occupational Safety and Health Regulations 1996
Available from Standards Australia via the ECU Library:
• ISO 45001:2018 Occupational Health and Safety Management Systems –
Requirements with guidance for use.
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Available from the Safe Work Australia website:
• Model Work Health and Safety Bill
• Safe Work Australia (2013) Guide: How to determine what is reasonably practicable to
meet a health and safety duty
• Safe Work Australia (2018) Model Code of Practice: How to manage work health and
safety risks.
7.
CONTACT INFORMATION
For queries relating to this document please contact:
Policy Owner
All Enquiries Contact:
Telephone:
Email address:
8.
Director Human Resources Services
Director Human Resources Services
08 6304 2937
osh@ecu.edu.au
APPROVAL HISTORY
Policy Approved by:
Vice-Chancellor
Date Policy First Approved:
14 June 2002
Date last modified:
8 September 2020
Revision History:
Policy revised to meet amended Western
Australia legislative requirements.
June 2009: Policy amended to comply with
University Guidelines re Drafting of Policy
Documents.
June 2013: Policy amended to include due
diligence and consultation requirements.
November 2013: Policy amended to align with
new policy template.
August 2020: Policy amended to be consistent
with section 5.2 of the ISO 45001:2018 standard.
May 2021: Council to approve all amendments
made to the policy [UC205/15].
Next Revision Due:
August 2023
HPRM File Reference
SUB/12560
HSMS/23
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Policy Title: Prevention of Harassment, Bullying, Discrimination
and Violence
Policy Owner:
Director Human Resources Service Centre
Keywords:
Harassment, Complaints, Victimisation,
Opportunity, Bullying, Violence
Policy Code:
PL124
Discrimination,
Equal
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1.
INTENT
Edith Cowan University (ECU or the University) is committed to providing safe and inclusive
work and learning environments, and intends to minimise the risk of inappropriate behaviours
such as bullying and all unlawful forms of harassment, discrimination and assault (including
racial harassment, racial vilification, sexual harassment, sexual assault, other forms of violence
and victimisation), in accordance with our duty of care.
So far as is practicable the University will take all reasonable steps to:
a)
b)
c)
d)
e)
2.
Prevent inappropriate behaviours and violence in its workplaces and learning
environments.
Raise awareness amongst staff and students of the standards of behaviour required
while working and studying at ECU and the expectation that individuals will report
unacceptable behaviours if they become aware of any unethical behaviour or
wrongdoing.
Provide guidelines and procedures to assist in the prompt, confidential and effective
resolution of complaints, confidentially and effectively.
Prevent bullying, harassment, discrimination and violence, to comply with its legislated
responsibilities.
Provide appropriate support for staff and students who are victims of sexual
harassment and assault or affected by family or domestic violence.
ORGANISATIONAL SCOPE
All ECU students, staff and visitors.
Matters specific to Sexual Assault and Sexual Harassment are addressed in a standalone
policy and can be accessed here.
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3. DEFINITIONS
TERM
Bullying
Complaint
Discrimination
Duty of Care
Harassment
Racial Harassment
Racial Vilification
Reasonable Management
Action
University Sanctioned
Activity
Victimisation
DEFINITION
Bullying occurs when an individual or a group of individuals
repeatedly behaves unreasonably towards another
individual, or group of individuals, and that behaviour
creates a risk to physical or mental health and safety.
A statement made to the University that something is
unsatisfactory or unacceptable. Complaints made to the
University are subject to processes outlined in the relevant
rules, policies and guidelines.
Discrimination on the grounds of gender, marital status,
pregnancy, breast feeding, family responsibility, family
status, race, religious or political convictions, gender history,
impairment, age or sexual orientation.
The legal responsibility of the University to take reasonable
care in ensuring the safety of its employees, visitors and
students in reasonably foreseeable circumstances.
Unacceptable conduct, including racial or sexual
harassment, that consists of unwelcome and uninvited
comments or actions that intimidate, offend, humiliate or
embarrass a person or a group of persons. Equal
opportunity laws prohibit harassment on the grounds of
gender, race and/or disability.
Unacceptable conduct that consists of unwelcome or
uninvited comments, including threats, abuse or taunts in
relation to a person’s race or by association, descent or
nationality, colour, language or ethnic origin, or a racial
characteristic. It may include derogatory remarks about
people from particular countries or races, disparaging
remarks about someone’s accent or manner of speaking,
mockery of skin colour or appearance, or displays of material
prejudicial to a particular race and racial jokes.
Unacceptable conduct that involves the incitement of racial
hatred, racial violence, or racial harassment by statements
or other public acts.
Refers to the rights and obligations of the University to take
appropriate action and make appropriate decisions in its
business and academic operations and in the application of
rules, policies and guidelines.
Any activity taking place on a campus, facility or location
under the control of the University or at any other location in
which the University has sanctioned an activity to take place.
Unacceptable conduct that consists of any unfavourable
treatment of a person resulting from their involvement in a
complaint or enquiry process. Unfavourable treatment could
include: adverse changes to the workplace environment,
denial of access to resources, work opportunities or training,
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Violence
Workplace
4.
refusing to provide information, ignoring the person,
violence, refusing to renew a contract of employment, or
lower assessment of student work.
Unacceptable conduct that consists of actions ranging from
intimidation and low level threatening behaviour, through to
physical and/or sexual assault and verbal abuse.
Any campus, facility or location under the control of the
University, and at which the University is the recognised
employer.
POLICY CONTENT
4.1.
All staff, students and visitors have a responsibility to ensure that they do not promote
or engage in bullying, harassment, discrimination, racial vilification, victimisation or
violence.
4.2.
Any person subjected to inappropriate behaviour is encouraged to:
a.
b.
raise the issue with the other person directly, where appropriate and only if a
person feels comfortable in doing so, with a view to resolving the issue by
identifying the behaviour, explaining that the behaviour is inappropriate and
requesting that the behaviour ceases; and
alternatively, or additionally, report any incidents of such behaviour so that a
process of resolution can be initiated.
4.3.
All reports will be treated seriously. Unfavourable treatment of any person as a
consequence of their actual or intended participation in an inquiry, investigation or
resolution process may constitute victimisation and be unlawful.
4.4.
The University has the right to determine how a report should be addressed in
accordance with its obligations and this policy. The University may also consider
reasonable adjustments in the interim, such as amending an employee’s duties and
reporting lines, or those required to allow a student to continue their studies or for the
University to comply with its duty of care obligations.
4.5.
Reasonable management action carried out in a proper manner regarding expected
standards of work, performance, behaviour, or feedback on student work given
appropriately by managers, supervisors, and academic staff does not, of itself,
constitute harassment, bullying and victimisation.
4.6.
Persons involved in the investigation of any activities prescribed by this policy, including
support people or witnesses, must maintain confidentiality of information disclosed or
provided during the process subject to any legal obligations of disclosure. In some
circumstances such as where serious safety or criminal activities are raised confidential
information may need to be divulged.
4.7.
Safety of people within the University and any University sanctioned activity is the first
priority in any situation and may take precedence over a person’s desire for
confidentiality.
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4.8.
In all actions taken under this policy, the principles of procedural fairness will be
observed as appropriate to the circumstances, including:
a.
b.
c.
d.
e.
f.
4.9.
conducting an inquiry expeditiously upon the receipt of any report;
providing an opportunity for a person to present their allegations and any
supporting facts;
informing a respondent of sufficient particulars of the allegations to enable
them to respond to any allegations;
affording the respondent with a reasonable opportunity to respond, and to
provide a written or oral response to the report and information provided;
any investigation process relating to an allegation will be conducted by an
impartial decision-maker; and
the right to have a support person at any interview.
Any persons found to have committed or condoned bullying, discrimination
harassment, racial vilification, victimisation, or violence within the University or at a
University sanctioned activity may, in accordance with relevant policies, procedures
and industrial obligations be subject to, without limitation:
a.
b.
disciplinary action for staff, up to and including termination of employment; and
penalties for misconduct for students, up to and including expulsion,
under any applicable terms of employment or contract, by-laws, rules, policies and
procedures.
4.10. All staff, students and visitors are required to participate in the relevant resolution
process or investigations under the University terms of employment or contract, rules,
policies and processes in good faith, and in an open and honest manner.
4.11. If a report is found to be made vexatiously by a person, the University may take action
against that person under any applicable terms of employment or contract, by-laws,
rules, policies and procedures.
5. ACCOUNTABILITIES AND RESPONSIBILITIES
In relation to this policy, the Director Human Resources Service Centre is the policy owner
and has overall responsibility for the content of this policy and its operation in ECU, subject
to over-riding obligations under the Statutes and Rules of the University.
The proper application of the requirements set down in this policy, information and advice on
other relevant rules, policies and procedures is provided by the following areas:
a.
Staff Grievances
Human Resources Services Centre
b.
Student Wellbeing
Student Life
c.
Formal Student and Public Complaints
Strategic Governance Services
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Staff, students, contractors and visitors are required to comply with the content of this policy
and seek guidance in the event of uncertainty as to its application.
6. RELATED DOCUMENTS:
Legislation
Occupational Health and Safety Act 1984
Fair Work Act 2009 (Cth)
Equal Opportunity Act 1984
Sex Discrimination Act 1984 (Cth)
Relevant Industrial Instruments
Statutes, By-Laws and Rules
Statute 22 - Student Conduct
General Misconduct Rules (Students)
University Lands and traffic By-Laws
Policies
Code of Conduct (Staff)
Grievance Resolution
Health and Safety
Sexual Assault and Sexual Harassment
Social Media
Student Code of Conduct Student Complaints
Operational documents and resources
Enterprise Bargaining Agreement
Employee Assistance Program (Staff)
7. CONTACT INFORMATION
For queries relating to this document please contact:
Policy Owner
Director, Human Resources Services Centre
All Enquiries Contact:
Director, Human Resources Services Centre
Telephone:
08 6304 2937
Email address:
j.robertson@ecu.edu.au
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8. APPROVAL HISTORY
Policy Approved by:
Vice Chancellor
Date Policy First
Approved:
15 June 2005
Date last modified:
11 December 2020
Revision History:
July 2009 - Policy amended to comply with
University Guidelines re Drafting of Policy
Documents.
04 December 2013
June 2017 Updated to reference sexual assault and
violence; policy title now includes “violence” –
approved by Vice-Chancellor on 17.07.2017
11 December 2020 – policy amended to align with
the introduction of a stand-alone Sexual Assault and
Sexual Harassment policy.
Next Revision Due:
December 2023
TRIM File Reference
SUB/51886
PL124 Prevention of Harassment, Bullying, Discrimination and Violence
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Policy Title:
Sexual Assault and Sexual Harassment
Policy Owner:
Senior Deputy Vice-Chancellor
Keywords:
sexual assault, sexual harassment, respectful relationships,
disclosure
Policy Code:
PL303
Intent
Organisational Scope
Definitions
Policy Content
Accountabilities and Responsibilities
Related Documents
Contact Information
Approval History
1.
INTENT
Edith Cowan University (ECU or the University) is committed to promoting Respectful
Relationships and striving for an environment of physical, psychological and emotional
security.
Where Sexual Assault or Sexual Harassment occurs and/or is disclosed, it is accepted no two
situations are the same, and each person’s response is unique. What is consistent and
underpins the approach taken by the University towards these matters is the principle of
responding to all situation and all involved persons with dignity, respect and empathy.
2.
ORGANISATIONAL SCOPE
This policy applies to all members of the University Community.
Within scope are all current, recent and historical incidents of Sexual Assault and Sexual
Harassment occurring while the member of the University Community was engaged in an
interaction or activity undertaken in the course of work, study, research, living or socialising
that is associated with the University, including:
a.
b.
c.
d.
When the interaction or activity occurs on, or in, a campus, property or facility, owned,
leased, provided or occupied by the University, including accommodation;
When the interaction or activity involves the use of University owned, leased or
provided resources such as information and communication technologies, digital
platforms and vehicles;
When the interaction or activity is related to University business but does not occur
on a University premises, such as whilst on field trips, placements and internships,
conferences, social functions and camps, or in attendance at licensed and other
community or commercial premises;
When the Member of the University community is participating in any activity as a
member of staff, student, researcher or other representative of the University.
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Where an allegation of Sexual Assault or Sexual Harassment is made against a person who
is not a member of the University Community, and/or, the incident is not connected to an
interaction or activity undertaken in the course of work, study, research, living or socialising
that is associated with the University, the University will endeavour to provide support and
information, and, as appropriate or required, liaise with any relevant authority; however, the
University itself may not take further action including conducting any investigation of the
matter.
3.
DEFINITIONS
Term:
Definition:
Disclosure
Letting someone know about new information or about
information that was previously kept secret.
Industrial Instrument
An instrument that has legal application with respect to
minimum entitlements to those employees covered within
its scope.
Respectful Relationships
For the purpose of this policy a Respectful Relationship is
one where a person shows they value other people through
their words and actions. People are treated with care and
with consideration for the effect words or actions may have.
Characteristics of Respectful Relationships include:
• feeling safe
• trust and honesty
• being valued
• being cared about
• being free to be yourself
• being considerate of personal space
• listening and being heard
• being able to disagree or say no without fear of
being criticised or hurt
• being supported to make your own choices
• being encouraged to grow, learn and succeed
• being able to make mistakes
• being safe and supported to fully explore creative
expression and learning experiences
• working out arguments by talking and
compromising
• not being ignored
Sexual Assault
Sexual assault includes a range of behaviours, all of which
are unacceptable and constitute a crime. Sexual assault
occurs when a person is forced, coerced or tricked into
sexual acts against their will or without their consent,
including when they have withdrawn their consent.
Sexual Harassment
In WA, legislative provisions in relation to sexual
harassment exist both under the state Equal Opportunity
Act 1984 and the federal Sex Discrimination Act 1984.
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Sexual harassment is defined in the Sex Discrimination Act
1984 (Cth) as any unwelcome sexual advance, request for
sexual favours or conduct of a sexual nature towards
another person in circumstances where a reasonable
person could have anticipated that the person harassed
would be offended, humiliated or intimidated.
Sexual harassment is defined in the Equal Opportunity Act
1984 (WA) as any unwelcome sexual advance, request for
sexual favours or conduct of a sexual nature with another
person where there are reasonable grounds for believing
that a rejection, refusal or objection would disadvantage, or
has disadvantaged, the person’s employment, possible
employment, education or accommodation.
Examples include inappropriate staring or leering; sexually
suggestive comments or jokes; sexually explicit pictures,
emails or texts; repeated or inappropriate invitations to
date; intrusive questions about private life or physical
appearance.
Sexual Harassment is not behaviour based on mutual
attraction, friendship and respect. If the interaction is
consensual, welcome and reciprocated it is not sexual
harassment.
For the purpose of this policy both definitions apply.
Trauma Informed Approach
A Trauma Informed Approach is a response which
prioritises
safety,
choice,
trustworthiness
and
empowerment, and is guided by an understanding that
individuals will respond differently to what they have
experienced and require an individual response or
intervention that:
• Realises the widespread impact of trauma and
understands potential paths for recovery;
• Recognises the signs and symptoms of trauma in all
impacted people including direct and indirect impacts;
• Responds by fully integrating knowledge about trauma
into policies, procedures, and practices; and
• Seeks to actively resist re-traumatisation.
University Community
All staff and students of the University, together with the
University’s placement hosts, business partners, third party
providers, clients, guests and visitors.
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4.
POLICY CONTENT
Prevention
4.1.
Promoting and demonstrating Respectful Relationships as well as striving for an environment
free from Sexual Assault and Sexual Harassment is a responsibility shared by all members of
the University Community.
4.2.
Communication, awareness raising and increasing knowledge across the University
Community are critical components in addressing Sexual Assault and Sexual Harassment and
improving outcomes. ECU will:
a.
b.
c.
d.
Ensure the University’s stance on Respectful Relationships and the shared
responsibility for addressing Sexual Assault and Sexual Harassment and improving
outcomes is covered during induction, orientation and all other on-boarding of students,
staff and third parties into the University Community;
Regularly reinforce the expectation of Respectful Relationships within the University
Community;
Ensure knowledge relating to Sexual Assault and Sexual Harassment remains
contemporary and, where reasonable and practicable, continually improve related
training, tools, information and responses;
Take reasonable steps to ensure staff and students receive awareness and prevention
training relevant to the prevention of Sexual Assault and Sexual Harassment. This may,
where reasonable and practicable, include implementation of mandatory training for
staff and students.
Identification
4.3.
When safe to do so, students and staff not directly involved in an incident of Sexual Assault or
Sexual Harassment (bystanders) are both encouraged and empowered by the University to
intervene and to respectfully identify behaviours that do not reflect the University’s stance on
Respectful Relationships.
4.4.
Individuals requiring assistance to better understand Sexual Assault or Sexual Harassment
and identify if an incident of this nature has occurred are encouraged to seek advice from an
ECU provided support service such as the Student Life counselling service, an equity officer,
a University Contact Officer or an HR Business Partner.
Reporting
4.5.
Disclosure of all Sexual Assault and Sexual Harassment incidents is encouraged.
4.6.
ECU acknowledges the courage often required to make a Sexual Assault or Sexual
Harassment disclosure and is committed to:
a.
b.
c.
Ensuring information about Sexual Assault and Sexual Harassment, including
available supports and reporting options is provided through multiple channels, is
accessible to and easily understood by staff and students, and can be accessed at
any time;
Providing a mechanism for anonymous disclosures;
Informing staff and students that, unless they are officially required by the University
to do so, they are not expected to investigate or provide counselling, yet are expected
to know how to access University provided tools and information that will assist in
taking appropriate action should they receive a disclosure;
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d.
e.
f.
4.7.
Taking disclosures seriously and responding in the shortest reasonable timeframe;
Handling Sexual Assault and Sexual Harassment matters with a Trauma Informed
Approach meaning the approach prioritises safety, choice, trustworthiness and
empowerment, and accepts that people respond differently and have different needs;
Minimising the number of times a person must tell their story and the number of
people they must engage with is minimised. There is a ‘No Wrong Door’ approach to
disclosures with the person receiving the initial disclosure being responsible for
listening and assisting in identifying and accessing services.
De-identified data on disclosures and formal reports will be collected and reported on to assist
in determining the effectiveness of prevention actions and identify any trends or patterns that
may assist in continually improving responses.
Responding
4.8.
ECU will take all reasonable steps to ensure responses to disclosures of Sexual Assault and
Sexual Harassment are handled respectfully, supportively and confidentially.
4.9.
Precautionary actions of a disciplinary or non-disciplinary nature may be taken to ensure the
safety and wellbeing of involved individuals.
4.10. When responding to a disclosure of Sexual Assault or Sexual Harassment, no pressure or
expectation will be placed on an individual to either make, or not make, a formal complaint to
the University or to a person or entity external to the University.
4.11. Support and information will be provided to all individuals involved with a Sexual Assault or
Sexual Harassment matter including, where appropriate, assistance with impacts arising from
the disclosure on capacity to work and study, and referrals to other organisations with
specialised resourcing, skills and legal powers to respond.
4.12. ECU acknowledges a person wanting to talk to someone about a Sexual Assault or Sexual
Harassment incident (disclose) may not also want the matter to be progressed beyond the
initial disclosure, such as to a formal investigation. As far as reasonable and practicable the
right of the individual to choose the path best for them will be respected.
4.13. Notwithstanding the above, situations may arise where ECU must make an informed decision
to act on the information they have received. ECU will act when:
a.
b.
c.
It is reasonably believed there is an immediate and ongoing risk to the safety and
wellbeing of the University Community;
An appropriate response is identified which is reasonably expected to mitigate future
risk, and it is reasonably believed action can be taken without identifying the person
making the disclosure;
The person to whom the disclosure is made, and the nature of the information
disclosed is such that it falls within that person’s legally mandated requirement to
report.
4.14. When further action must be taken without the explicit agreement of the person making the
disclosure, every reasonable and practicable effort will be made to:
a.
b.
Inform the person making the disclosure why the action is necessary; and
Ensure supports and protections reasonably believed to be necessary are in place
for the person making the disclosure.
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4.15. As far as reasonable, involved parties will be advised of expected timelines for actions within
the control of ECU to be addressed and finalised.
4.16. All Sexual Assault and Sexual Harassment disclosures will be responded to regardless of
whether the matter has also been reported to police. The University is only able to take actions
falling within its legislative powers. The University will act in accordance with the ECU Act and
correlated Statutes, Rules, By-Laws, Industrial Instruments and policies. Actions which cannot
be taken by the University include criminal investigations and decisions which result in the
awarding of compensation.
4.17. Where there is a substantive reason to believe a disclosure is lacking in substance or vexatious
the investigation will not progress.
4.18. Prompt action will be taken where the University becomes aware a person may be victimising
or retaliating against a person involved in a Sexual Assault or Sexual Harassment disclosure
or related investigation.
4.19. If, following an investigation, it is reasonably believed a student has sexually harassed or
sexually assaulted a person, action will be taken in accordance with Statute 22 – Student
Conduct and University Rules: General Misconduct Rules (Students).
4.20. If, following an investigation, it is reasonably believed a staff member has sexually harassed
or sexually assaulted a person, action will be taken in accordance with the provisions within
the relevant Industrial Instrument.
4.21. Situations may arise where a disclosure of Sexual Assault or Sexual Harassment is made
against a person who is both a student and a member of staff. The University will consider the
context of the incident, and the capacity within which the person was acting at the time of the
disclosed incident and will investigate and respond accordingly.
4.22. If, following review and consideration of the context of a disclosed incident, the University
reasonably believes the disclosed incident involves a person acting equally in their capacity
as a student and a member of staff, the University reserves the right to undertake dual
investigations and respond accordingly.
5.
ACCOUNTABILITIES AND RESPONSIBILITIES
The Senior Deputy Vice-Chancellor has overall responsibility for the content of this policy and
its operation
The Director, Human Resources Services Centre has responsibility for currency of information
and provision of advice on policy content relating to staff.
The Director, Student Life has responsibility for currency of information and provision of advice
on policy content relating to students.
6.
RELATED DOCUMENTS
Legislation
Occupational Health and Safety Act 1984
Fair Work Act 2009 (Cth)
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Equal Opportunity Act 1984
Sex Discrimination Act 1984 (Cth)
Relevant Industrial Instruments
Statutes, By-Laws and Rules
Statute 22 - Student Conduct
General Misconduct Rules (Students)
Policies
Code of Conduct (Staff)
Prevention of Harassment, Bullying, Discrimination and Violence
Student Code of Conduct
Health and Safety
Operational documents and resources
Staff/Student Personal Relationships FAQ
Enterprise Bargaining Agreement
7.
CONTACT INFORMATION
For queries relating to this document please contact:
8.
Policy Owner
Senior Deputy Vice Chancellor
Staff related enquiries
Director, Human Resources Services Centre
Telephone:
08 6304 2937
Email address:
j.robertson@ecu.edu.au
Student related enquiries
Director, Student Life
Telephone:
08 6304 3888
Email address:
m.rogers@ecu.edu.au
APPROVAL HISTORY
Policy approved by:
Vice Chancellor
Date policy first approved:
11 December 2020
Date last modified:
11 December 2020
Revision history:
New policy approved on 11 December 2020
Next revision due:
December 2023
HPCM file reference:
SUB/102537
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