Guidelines for Independent Work in the Research Trust
1.
Purpose
To allow members of the academic staff to manage funding obtained pursuant to their
entitlement to private work as Independent Work through the Research Trust (RTV) and
to enable the funding to be used to support their academic research programmes. This
process outlines the responsibilities of staff and the RTV regarding Independent Work,
and the conditions that apply regarding the expenditure of this funding.
2.
3.
Definitions
Independent Work:
Work which meets the definition of private work but is
contracted between the RTV and the Funder, and for which
the RTV accepts any associated contractual liability.
Private Work:
Work related to the academic or professional field in which the
staff member is employed by the University, but which the staff
member undertakes, not necessarily for payment, for an
individual or organization outside the university, including
governmental, professional and community groups, and for
which the University has not accepted a contractual liability.
(Where staff members are in doubt about whether particular
work constitutes private or university work, they should consult
their Head of School, who in turn may take advice from their
PVC or the Vice Chancellor. Refer “Entitlement to Undertake
Private Work Policy” for further detail.)
RTV:
Research Trust of Victoria University of Wellington
Content and Guidelines
The RTV may raise funds from any lawful means to apply to the purposes of the RTV,
i.e., academic research. As a charitable trust, all RTV expenditure must relate to the
purpose of academic research. This allows staff to use the RTV as the contracting body
on work which they could otherwise have managed personally as part of their private
work entitlement. However the funding from this work can only be spent on activities
that support or promote academic research. These include:
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Original investigations that contribute to knowledge and understanding, including
in some disciplines cultural innovation or aesthetic refinement;
Experimental or critical enquiry that is hypothesis-driven, creative, and sometimes
long-term;
Production of results, including artistic works and performances;
Contributions to the intellectual infrastructure of disciplines, including development
of design solutions and new products;
Provision of scholarships for students;
Employment of persons to undertake research on any project lodged in the Trust;
The promulgation of research findings including attending conferences;
The development of research skills including attending conferences and research
training; and
Any other charitable purpose (as defined in the Charities Act 2005) that is
consistent with the above purposes.
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The funding cannot be used for direct remuneration of the project manager and/or salary
recoveries to the school. Salary costs for other persons employed to enable the
activities listed above are to be charged to the grant directly. These can include
employment of another person to provide workload relief for the academic staff member
to enable them to conduct research, with HOS approval.
Contracting
The contractual relationship must be between the RTV and the funding entity. It may
specify the staff member involved. Portfolio managers will work with the staff member to
ensure the contract contains either the standard clauses including liability and
intellectual property, or others agreeable to both parties. It is recognised that in some
instances the relationship may be less formal, with the funding entity not requiring a
contract. The portfolio manager will advise on the adequacy of other forms of
documentation, e.g., letters and emails.
Project Duration
A project will be created in the RTV to invoice the revenue and to charge expenditure.
The maximum duration of the project will be based on the total revenue of the contract
as per the table below. Any funds unspent at the end of the project will revert to the
RTV Strategic Fund for investment in other research.
Revenue up to $10K
Revenue up to $20K
Revenue up to $50K
Revenue over $50k
2 years duration
3 years duration
4 years duration
5 years duration
University Facilities
Under the Private Work Policy staff members are generally not entitled to use the
University’s facilities when engaged in private work, unless this has been authorised in
advance by the Head of School and is paid for in full, either as a charge for each service
or as otherwise directed by the Head of School. This policy will also apply to
Independent Work. If such a payment is required, the School will be responsible for
charging this to the project. However, payment is not required for the use of offices,
telephones (other than toll calls), and limited use of computers (such as for word
processing and minor statistical analyses).
Maximum of 36 Days
Under the Private Work Policy staff members are entitled to 36 days (pro-rated for
fractional employees) of private work in total annually. The 36 days may consist of a
combination of Independent Work undertaken through the RTV and work undertaken
privately. The staff member will be required to advise the RTV of the number of hours
involved in each Independent Work project when the project is initiated. This timeframe
can be revised at the completion of the project if it differs significantly from the actual
time spent. The RTV will maintain a database of staff members’ hours worked
independently. Any work in excess of 36 days must receive the approval of the ViceChancellor. The staff member is personally responsible for ensuring the combination of
their private work and independent work does not exceed 36 days annually.
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Sign-Off – Staff and Head of School
The staff member and Head of School will be required to complete and sign-off a
summary sheet (refer Appendix One) for each contract of Independent Work advising
the following:
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Agreement that the work meets the definition of Private Work under the
“Entitlement to Undertake Private Work Policy”,
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Agreement that the number of hours involved in the project appears reasonable;
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FTE of the staff member.
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University facilities will not be used (with the exception of those not requiring
payment as detailed in “University Facilities” above); or
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The amount of payment required, or the rate agreed to be based on actual usage,
for use of University facilities.
Fixed Assets
Any fixed assets purchased under funds derived from Independent Work remain the
property of the RTV. However they will be retained within the School of the staff
member for their use. If a staff member ceases employment with VUW, the HOS will
manage the future use and disposition of the asset.
Intellectual Property
Any intellectual property (IP) which arises from Independent Work is subject to the VUW
policy on IP and remains in VUW. No IP is held by the RTV.
RTV Review and Reporting
The RTV will review all contracts and their related summary sheet sign-off to ensure
consistency between the documents and in the interpretation between projects.
The quarterly reporting to SMT and Heads of Schools will include a breakdown of all
Independent Work projects, the staff member(s) involved, the estimated hours of the
project and the funding amount. Further detail can be reported upon request.
These projects will also be subject to external audit review.
Subject to RTV and VUW Policy
All independent work is subject to the RTV and VUW policies.
RTV policy is detailed in the Operating Guidelines for The Research Trust of Victoria
University. They state “All VUW policies apply to the RTV unless a different policy is
created specifically for the RTV”.
Relevant VUW policy includes:
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Management of External Research, Consultancy and Related Contracts.
personal payments can be made by research projects held in the RTV.
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Intellectual Property Policy
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Fixed Assets
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References
This process is based on the policy and guidelines listed below. Any changes to these
may result in a change to this process to ensure consistency.
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Entitlement to Undertake Private Work Policy
Operating Guidelines for The Research Trust of Victoria University
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Appendix One
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