Guidance Notes for the holding of outside appointments
University academic and academic-related employees (with the exception of Associate Professors who have colleges as their main employer; please see the paragraph below) are permitted to hold outside appointments and to undertake other outside activities, including consultancies, which require a commitment of time that otherwise might reasonably be expected to be devoted to University duties, subject to the approval of their direct line manager (where relevant) and their head of department or the chair of the faculty board.
Associate Professors who have colleges as their main employer (formerly known as CUFs) might be subject to rules within their colleges, but there are no limitations placed upon them by the University with respect to outside appointments, apart from the requirement to follow conflict of interest procedures.
Council Regulations 5 of 2004 lay down the University’s requirements relating to outside appointments. This guidance complements the Regulations and provides more detail on how these requirements work in practice.
1.a Council Regulation 5 of 2004
The Regulations state that approval may be granted for outside work and the holding of outside appointments, eg executive and non-executive directorships, directorships in external organisations, spin-off companies, University subsidiaries and consultancies. The total commitment to such outside work and appointments, without any deduction from salary, must not exceed thirty days in any academic year, ie October - September. (For a proposed commitment that exceeds thirty days, please see the third paragraph in this section.)
This is not an entitlement and permission might not be given by the head of department or the chair of the faculty board eg for operational reasons, or if there is a conflict of interest, or a potential conflict of interest, or tension with a sponsor of a research grant.
Approval for cases where the proposed commitment exceeds thirty days may be sought from the divisional board, and if it is approved, a deduction from salary should be made, even if the extra days are unpaid, as the employee will spend fewer days working for the University. For full-time staff it is recommended that heads of division authorise a deduction of a 260th of the employee’s salary for every day worked over 30 days. For part-time staff, they should calculate the hours in the employee’s average working day and multiply that by the hourly rate of pay.
In the Regulation, references to a ‘day’ or ‘days’ should be understood to mean working days. Academic and academic-related staff are required to work such hours as are reasonably required to carry out their duties to the satisfaction of the head of department. However, the notional working day for academic and academic-related staff is 7.5 hours. 7.5 hours should be used as the number of hours in a day if any calculations on the basis of half-days are required. However, the working day should have a maximum length of 12 hours, if the hours are to be worked in one continuous session.
In order to exercise its duty of care, the University will ensure that its employees are observing statutory rest periods each day and each week and taking adequate annual leave.
1.b Travel time
If the member of staff is being paid for their travel time to any appointment, this should be included in the submission of the total amount of time (calculated in days or half-days) for the outside appointment.
Applications should be submitted, as necessary throughout the year, on the OA1 form which is available from the menu on the right-hand side. The information gathered by the department will be held on CoreHR (See QRG:IP5).
Approval to hold outside appointments must always be obtained before work commences, to allow any conflict of interests issues to be resolved, so that the Conflict of Interest Committee may be updated with reports and to ensure that the department/division and individual can reach agreement on any necessary repayment of salary if the individual will exceed 30 days of outside appointments as a result of the request.
Applicants must ensure that they are familiar with the University's policy and procedure on conflict of interest. If they have any concerns about potential conflicts implicit in their proposed arrangements they should approach the secretary of the Conflict of Interest Committee.
If the outside appointment is arranged via Consulting Services at Oxford University Innovation (OUI) and approval is granted for the outside appointment, the applicant will enjoy a measure of protection under the University's insurance arrangements. If the outside appointment is arranged privately the individual (or the company) will need to hold their own insurance cover.
The person who may give approval for a consultancy or an outside appointment should be:
- the head of department or the Faculty Board Chairman: or
- the head of division if the applicant is a head of department, or the application is for a total of more than 30 days per year, or
- the line manager of the senior officer making the application (where applicable). For the avoidance of doubt, the application should be made to the Vice-Chancellor in respect of each of the Pro-Vice-Chancellors with portfolio, the heads of division, the Registrar and Bodley's Librarian. In the case of the Vice-Chancellor, he or she should submit an application to the Chancellor.
- the person at the next higher level of authority if the head of department (or equivalent) has an interest in the appointment or activity.
1.e Academic staff
Associate Professors whose main employment is with the University should complete the application form for any outside appointments before those appointments commence and submit it to their head of department.
Associate Professors who are mainly employed by colleges, who are not required to obtain approval from their head of department or faculty board chair, are asked to follow the conflict of interest process in respect of any outside appointments before commencing the appointment. They are asked to declare any outside appointments annually, in order to provide a complete record of external consultancies provided by Oxford academics.
Academic staff will be sent a reminder at the end of the academic year, so that they can complete a nil return, if appropriate. Nil returns should be sent on form OA2 which is available from the menu on the right-hand side.
The Regulation specifically excludes certain appointments and offices, such as holding of the office of Proctor or Assessor, or internal and external examiner, and activities normally arising from scholarly work, which do not involve a formal and continuing contract.
Representatives of recognised trade unions, in grades 6 and above, are expected to work flexibly, where operationally possible, so that they can attend to their union duties. These are expressed in the University’s recognition agreements and contained in its personnel policies. Facility time is not determined under the 30-day rule.
Outside appointments, such as acting as a school governor or magistrate, are covered by ‘Leave for Other Reasons’ on the Personnel Services website and not by the 30-day rule.
2. Consulting Services at OUI
The University's wholly-owned subsidiary company, Oxford University Innovation Limited (OUI), has a specialist group, Consulting Services, to provide administrative support to members of the University wishing to undertake consultancy. Consulting Services will negotiate terms with potential clients and put in place contracts to protect individual interests and those of the University. Consulting Services also provides advice and guidance on seeking University approvals, provides cover under the University’s professional indemnity and liability insurance policies (only available through Consulting Services at OUI), handles the invoicing of clients, the chasing of debt and the disbursement of funds, which may be taken either personally or routed to a department cost centre. Details of this service may be obtained by telephone, (2)80829, or by email.
Members of the University choosing to use the services of Consulting Services at OUI must still follow the internal procedures for University approval of their outside appointments as outlined in this Guidance Note; Consulting Services will, however, assist the process on behalf of the individuals concerned. Please see the University's Consultancy Policy and Procedures (187kb) .
3. Consultancies within research grant applications and contracts
The holding of a consultancy may be included where appropriate within research grant applications and contracts.
Where consultancies are included in this way and provision is made through the payroll to pay staff for such work, the X5 costing form should itemise, among the costs of the project, the costs of the consultancy payment (including employer's on-costs). Indirect costs should also be calculated on the total cost of the project, including the fee for the consultancy.
The PI should personally ensure that their Oxford colleague (acting as consultant on the project) understands the conditions under which they are being engaged (e.g. tasks to be undertaken, due dates, payment, intellectual property provisions, etc). This would normally be done in a meeting between the PI and the consultant (a brief follow-up email exchange to note what was agreed may also be appropriate). Time spent on such consultancies will count towards the 30-day limit.
If a department wishes to make personal payments to a University of Oxford staff member from a research account, these payments must go through the University payroll.
4. Services to industry and outside bodies
Not all work for outside bodies is governed by a contract with an external sponsor under the University's research grants and contracts procedures. Some is likely to be "service" work, i.e. the provision of a service to an external organisation which is not of academic benefit but which makes use of spare capacity in a department (most often specialist facilities/equipment) in return for payment. Such arrangements should nevertheless be covered by an agreement approved by the head of department which is drawn up in consultation with the departmental administrator and (for tax reasons) with the Finance Division. Customers must be made aware of the University's standard conditions of sale and supply (available from the Legal Services Office (LSO)), which must be incorporated into all contracts (subject to any variations required on a case by case basis, and drafted or endorsed by the LSO).
A department may well wish to engage Consulting Services at OUI to arrange these service agreements with third parties.
Where appropriate a payment may be made through the payroll to individuals for the additional work undertaken in performing the services. It is expected that the head of department will decide on an appropriate fee to be paid to the individual based on the time spent (which again will count towards the 30-day per year limit). In such cases, where an agreement has been made with the University in respect of the service, it is not expected that a further personal consultancy agreement with the academic concerned will be necessary.
5. Financial arrangements for outside appointments
The University does not generally (except in the case of consultancies for which the information is requested for the annual HE-BCI survey) seek details of remuneration which applicants are to receive in return for outside commitments, but reserves the right to request to be provided with such details in certain circumstances e.g. in the light of any potential conflict of interest with the outside commitment. Applicants wishing exceptionally to make a case to spend a total of more than 30 days in any one year on outside commitments will be required to provide details of remuneration.
6. Monitoring and reporting of outside appointments
(a) Heads of department are responsible, through their departmental administration, for keeping records of the number of days spent on outside commitments by all staff (regardless of staff group) in their departments.
(b) Details of outside commitments held by staff will be collected each year for the University’s HE-BCI return.
1 The Wellcome Trust's grant conditions, for example, include stringent conditions relating to the holding of consultancies and these apply equally to individuals who are in receipt of Wellcome Trust research grants, as well as to those whose salaries are paid from Wellcome Trust grants.
2 Throughout this document, the term "head of department" should be taken to include chairman of faculty board.