NSW Audit Office: Review of OPA/IP Policy

Checklist for Paid Outside Professional Work Policies

POW - Private Outside Work

MINIMUM STANDARDS CSU RESULT OTHER NSW UNIVERSITIES
V (tick) ? X (cross)
Existence of Procedures 1. The University's POW Policy has been recently issued V 2 - 7
2. The policy contains evidence of recent review or includes review mechanism and timeframes X 1 1 7
Restrictions on Private Outside Work 3. The policy states the types of POW allowed to academics ? 1 7 1
4. The policy sets a time limit for academics engaging POW AND/OR specifies other methods for monitoring POW activities X
? 		7
2 		1
1 		1
6
Notification Procedures 5. There is a specific requirement that the academic advise the University before starting POW activities V 7 2 0
6. The policy contains procedures for approving POW V 4 2 3
7. The policy states the circumstance where activities are exempt from approval procedures V 7 1 1
Using University Resources 8. The policy unambiguously states whether the use of University resources is allowed for private POW activities ? 7 2 0
9. The policy provides guidelines on allowable usage of University resources in private POW activities ? 3 7 0
10. Procedures exist for charging staff (or other means of recovery) for using University for private POW activities ? 2 5 2
11. Charge rates for University resources are specified or available V 2 1 6
Liability and Indemnity 12. The policy requires a statement from the academic that University is not involved in private POW activities V 6 0 3
13. Academics must submit evidence that the above statement has been provided to clients for each private POW activity V 2 1 6
14. Procedures require academic to have adequate insurance coverage before engaging in private POW activities ? 3 4 2
15. Evidence is required that academics have adequate insurance coverage if engaging in private POW activities ? 2 1 6
16. Academics have the option of engaging in University-sponsored POW V 9 0 0
Reporting and Monitoring 17. The policy contains requirements for academics to report their private POW activities to the University on a periodic basis X 8 0 1
Disciplinary Measures 18. The policy contains a statement that disciplinary measures will be taken in instances of non-compliance V 1 2 6

Checklist for Intellectual Property Policies

MINIMUM STANDARDS CSU RESULT OTHER NSW UNIVERSITIES
V (tick) ? X (cross)
Policy, Procedures and Review 1. University's IP policy is current (that is, recently issued or reviewed) V 5 0 4
2. The policy contains review timeframes and review mechanisms V 5 0 4
Definition and Ownership of IP 3. The policy contains adequate definition of what constitutes IP V 6 3 0
4. There is a clear statement on the ownership of IP developed by staff V 9 0 0
5. Courseware (lecture notes, AV material) when commissioned by the University is included in IP V 8 0 1
6. The policy contains procedures for academics to use such courseware if the academic leaves the University V 7 0 2
7. The policy identifies specific exemption allowed for scholarly books, articles, audio-visuals and lecture notes note commissioned specifically by the University V 4 2 3
8. The policy includes exemptions for creative works not specifically commissioned by the University V 6 2 1
9. The policy addresses the ownership of IP developed by students V 8 1 0
10. The rights of students are stated (if included in the IP policy) V 8 1 0
Notification 11. The policy contains specific procedures and requirements for notifying the University of the development of IP ? 8 1 0
12. Time limits are set for the University to decide whether to involve itself in the exploitation of the IP V 6 0 3
13. The policy includes confidentiality requirements while the University assesses the IP X 7 1 2
14. The policy contains procedures for assigning or sharing ownership of IP with the originators when the University decides to exploit the IP X 4 4 1
15. The procedures to determine ownership if the University decides not to exploit the IP V 8 1 0
16. Students are included in revenue-sharing arrangements V 8 1 0
Exploitation of IP 17. The policy includes a role for originators in the exploitation of the IP V 7 1 1
18. The University asserts the right to exploit the IP as it see fits V 5 1 3
19. There are procedures for sharing income from IP exploitation V 8 1 0
20. The University acknowledges specifically the moral rights of the originators (for example, to attribution) V 6 1 3
Dispute Resolution 21. The policy contains adequate dispute resolution mechanisms V 7 1 1