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Code of Conduct

THE CODE OF CONDUCT

INTRODUCTION

In response to the Public Sector Ethics Act 1994, an enactment of the Queensland legislature, James Cook University has developed this Code of Conduct.

To assist all staff of the University in defining and understanding the fundamental ethical principles enshrined in the Act there has been prepared a set of Guidelines to the Code of Conduct. Supporting the Guidelines are existing policies and procedures and two Statements, one dealing with Staff External Activities and the other with the Right and Responsibility of Academics to make Public Comment. Further Statements will be developed as the need arises.

The full suite of documents can be represented diagrammatically as follows:

CODE OF CONDUCT
The five fundamental ethical principles
|
GUIDELINES TO THE CODE OF CONDUCT
Guidelines on interpretation of the principles of the Code
|
|
|
|
Pre-existing policies and procedures
Statement on Staff External Activities
Statement on the Right and Responsibility of Academics to make Public Comment
Statement on the Use of Communication Facilities

The Code of Conduct is a public statement of the standards of conduct and integrity expected of members of James Cook University. It aims to guide staff in identifying and resolving issues of ethical conduct which may arise in the course of their duties and, in so doing, maintain public trust and confidence in the integrity and professionalism of the University.

The University community is complex and diverse. It plays a key role in society through the provision of teaching, research and community service, and receives a significant proportion of its funding from public moneys. Its status as a public sector organisation places upon it a range of responsibilities which must be accommodated alongside the need to protect the academic freedom which is essential to the proper conduct of teaching, research and scholarship.

The Public Sector Ethics Act outlines five fundamental ethical principles that should guide the behaviour of staff in public sector organisations. These principles form the basis of the obligations outlined in the Code.

Traditionally, universities are places where academic and research staff have been encouraged to observe and to comment upon or criticise society and its activities. Universities also encourage the development of new concepts through research and open discussion. The exploration of unconventional views is not merely tolerated but encouraged. The Code of Conduct is not intended to detract from this traditional and independent right to comment on and pursue research into matters of public concern and matters of public controversy. Indeed administrative and support staff, in facilitating academic and research endeavours, should also seek, within the scope of their duties, to protect the exercise of academic freedom.

One of the guiding principles of the University is a commitment to exemplary standards of integrity in all aspects of its affairs. The focus of the Code is therefore upon providing support for staff in achieving those standards. However, where staff conduct falls below the standards outlined in this Code, staff may be counselled in accordance with normal performance management strategies, and in accordance with the provisions of the Enterprise Bargaining Agreement which governs the University's industrial dealings with its staff.

Application

The Code of Conduct applies to all staff of James Cook University while acting in their official capacity, and to members of University Council when acting in that capacity. Visiting and adjunct staff and others acting in a voluntary capacity are also expected to behave in a manner consistent with these ethical obligations while participating in the life of the University community.

CODE OF CONDUCT

THE PRINCIPLES

The fundamental ethical principles enshrined in the Public Sector Ethics Act, from which the ethical obligations contained in the University's Code of Conduct are derived, are:

respect for the law and system of government;
respect for persons;
integrity;
diligence; and
economy and efficiency.
1. Respect for the Law and the System of University Governance
2. Respect for Persons
3. Integrity
4. Diligence
5. Economy and Efficiency

Staff should familiarise themselves with this Code of Conduct and endeavour to ensure that its principles are observed at all times.

GUIDELINES TO THE CODE OF CONDUCT

The purpose of the Guidelines is to provide a guide to staff seeking to understand the fundamental ethical principles expressed in the Code, and to illustrate their application in the University context.

Staff or students with concerns regarding the application or contravention of the Code or these Guidelines in a particular situation should be aware that grievance procedures exist in respect of many University policies. Where grievance procedures do exist, concerns should be raised accordingly. In other situations, staff or students should consult their immediate supervisor, Head of School, Executive Dean, or the relevant Union1 (see also the James Cook University Enterprise Bargaining Agreement).

There are five fundamental ethical principles enshrined in the Public Sector Ethics Act2, from which the ethical obligations contained in the University's Code of Conduct are derived.

They are:

  • respect for the law and system of government;
  • respect for persons;
  • integrity;
  • diligence; and
  • economy and efficiency.

1. RESPECT FOR THE LAW AND SYSTEM OF UNIVERSITY GOVERNANCE

1.1 Obligation to uphold the law

James Cook University staff, in common with all citizens, have an obligation to uphold the laws of the State and the Commonwealth. Staff are also required to comply with the statutes and rules of the University.

1.2 Academic freedom

This obligation is not intended to detract from the concept and practice of academic freedom, which is regarded by the University as essential to the proper conduct of teaching, research and scholarship. Academic and research staff should be guided by an absolute commitment to freedom of inquiry. This commitment is expressed in their teaching and research and in their role in advancing the intellectual heritage of society. Academic and research staff should exercise their traditional rights to examine social values and to criticise and challenge the belief structures of society in the spirit of a responsible and honest search for knowledge and its dissemination.

Example
Academic freedom entitles a member of the teaching / research staff to criticise ideas and methods but not to defame others.

2. RESPECT FOR PERSONS

The University seeks to create an environment where all persons are treated equitably and with respect, where persons' rights are respected and where staff and student efforts are encouraged and their achievements given due recognition. Respect for persons extends to the manner in which University staff deal with students, other officers and employees and members of the community. The University regards a staff member's personal behaviour towards and interaction with others as a vital part of the duties of their position. A collegial working environment is particularly encouraged.

2.1 Courtesy and responsiveness

University staff are expected to be responsive, courteous and prompt in dealing with others, whether students, other staff (irrespective of their position or seniority), or members of the community.

Example
Persistently rude or unnecessarily aggressive behaviour towards other members of staff or to students is unacceptable.
2.2 Obligations of staff supervising other staff

University staff who supervise other staff have special responsibilities to treat their staff fairly and honestly, to maintain open and honest communication with them and to ensure that their staff understand performance standards expected of them. Evaluations of staff performance should be undertaken against these standards objectively and without bias. Staff in academic management positions, particularly Executive Deans and Heads of Schools, should ensure that research opportunities and teaching and administrative duties are allocated amongst staff appropriately and equitably.

Example
A supervisor should make available development and training opportunities without patronage, favouritism or unfair discrimination.
Example
Formal and informal mechanisms for consultation and communication with staff within a discipline, school or section are encouraged.
2.3 Making fair decisions

When making a decision, taking action of a discretionary nature or resolving a grievance which may adversely affect a person's rights, liberties, interests or legitimate expectations, the principles of procedural fairness and natural justice should be applied.

In general, natural justice refers to two broad principles:

1) An adequate opportunity must be given to a person to present their case to an authority before a decision is reached that might adversely affect them. This includes providing reasonable notice and time to prepare, sufficient information about the matter to be decided to enable the person to prepare their case, and adequate opportunity for the person to present their story or case to the authority empowered to make the decision.

2) The authority empowered to make the decision must be free from bias or the appearance of bias. This requirement means that a person who has a close personal or family relationship with any of the parties is precluded from being a member of the decision-making authority. It also precludes a person who might have a direct or indirect pecuniary interest in the outcome of the decision from being involved in the decision.

In practice, this means that staff affected should have the opportunity to respond to allegations or assertions made and to have a decision made without bias. Decisions may be accepted more readily if reasons are given.

Example
Where an adverse report is received concerning a staff member's performance or conduct, that staff member should be given the opportunity to respond
Example
Evaluations of staff performance and decisions based on these evaluations should conform to University policies and guidelines.
2.4 Staff must not unfairly discriminate

Staff are obliged to treat other people fairly, irrespective of gender, physical appearance, sexual orientation, race, disability, cultural background, religion, marital status, age, medical condition or political conviction.3

2.5 Respect for the opinions of others

At a university, different opinions and perspectives are accommodated and respected and disagreements are dealt with by rational debate. Such freedom of speech presupposes open communication and the freedom to voice alternative points of view. Staff should not cut off rational debate by verbal or physical violence or by intimidation, and should recognise that the freedom to express their views is not a licence to disregard the dignity of others.

Example
Criticism of ideas should be distinguished from personal criticism.
Example
Staff should not verbally abuse, vilify or belittle other staff or students, either personally or to others.
2.6 Harassment and bullying are unacceptable

Officers and employees must not engage in conduct which amounts to or may be perceived as sexual, racial, gender or disability-based harassment. Staff should not behave towards other persons in a manner which may reasonably be perceived as intimidating, overbearing or bullying.4

Example
Shouting at other staff or students is commonly perceived as intimidating or bullying.
2.7 Obligations of University teachers

Staff involved in teaching or research training should encourage the pursuit of independent scholarly learning, critical judgement, academic integrity and ethical sensitivity in their students, and should themselves demonstrate these qualities in their interactions with students. Teaching staff should behave courteously towards students and should be sensitive to students' need for feedback and consultation. Evaluations of student performance should reflect the true merit of each student's work.5

Example
Significant scholarly or academic assistance or contributions from students should be acknowledged, for instance, where this has given rise to publications.
Example
Expectations of students in respect of assessment criteria should be explained clearly and in a timely fashion.
Example
Teaching staff should make themselves available for individual consultation by students for reasonable periods of time, whether in person or by other means.
Example
A student should not be unfairly penalised for adhering to a defensible alternative view or approach.

3. INTEGRITY

Staff are placed in a position of trust: they manage University resources, have access to University information and make decisions that affect the interests of others. Staff may be in a position of power over other staff or students. Research undertaken by University staff will be considered by other members of the academic community and may be relied upon by government or members of the community generally as the basis for future conduct.

3.1 Avoiding conflicts of interest

The trust that is placed in University staff requires that they conduct themselves with honesty, fairness and propriety. This means that they should avoid conflicts between their private interests and University responsibilities and should avoid situations where there is a reasonable basis for the perception of such a conflict. The obligations outlined in the following paragraphs detail specific occasions when conflicts of interest might occur.

3.1.1 Close personal relationships

A conflict of interest can arise where a staff member makes or participates in decisions affecting another person with whom they have or have had a personal relationship (such as near relative, spouse, close friend or personal associate). There are a number of situations in the course of a staff member's duties in which a conflict may arise, for instance, in the marking of student assignments or examination papers6, in appointment and promotion of staff and in the awarding of research or other financial assistance to staff or students. Where such a conflict arises in a clear case, a staff member is obliged to withdraw himself or herself from the situation. Where the relationship is not so close, the staff member should discuss the issue with someone in authority, such as the supervisor.

Example
A member of the academic staff should not participate in decisions relating to assessment or the determination of a grade for a close friend.
Example
A member of staff should not participate in decisions relating to the appointment of a relative.
3.1.2 Sexual relationships

While it is recognised that staff may sometimes form consensual sexual relationships with other staff or, in some cases, with students, such relationships should not intrude or be seen to intrude on the teaching and research environment or on the workplace generally, since workplace practices may be compromised. Such relationships may also create difficulties in maintaining the boundaries between professional and personal life and may compromise the professional or personal standing of either one or both of the persons involved. Difficulties may also arise from the unequal power of the persons concerned. This is particularly acute in relationships between staff and students. 7

Staff involved in a sexual relationship giving rise to a potential conflict of interest should discuss this with their immediate supervisor. Alternatively, in personally delicate situations, the staff member should discuss the issue with an even more senior officer who may not be in daily contact with those involved. In every case, it is in the staff member's best interests that a responsible University officer knows of the situation in enough detail to provide advice if it becomes necessary.

Staff who become involved in a situation where a sexual relationship is a source of conflict of interest must withdraw from the situation giving rise to the conflict.

Staff in supervisory positions, in particular, must be alert to the conflicts which such a relationship may create in the workplace, and to the need to handle such situations in a sensitive manner. Where both a supervisory role and significant relationships between staff members are unavoidable, supervision must openly be seen to be of the highest professional standard and neither unfairly advantaging nor disadvantaging the supervised staff member.

Example
Staff members who become involved in a sexual relationship with postgraduate students under their supervision should withdraw from the supervisory role. If this is not possible (for example, due to there being no alternative disciplinary expertise), the associate supervisor should assume equal responsibility for supervision.
3.1.3 Financial relationships

Financial relationships (for instance, where a staff member has a pecuniary interest in a company from which equipment is purchased or services obtained) can also give rise to a conflict of interest. Such a relationship must be disclosed before any question of purchasing or other financial or contractual decisions or dealings may arise8. In general, staff should avoid involvement in such transactions.

3.1.4 Receipt of gifts

University staff should not ask for or encourage the giving of any form of gift or benefit in connection with the performance of their duties9. Receipt of gifts can be perceived as an inducement to act in a particular way, thus creating a real or apparent conflict of interest. A staff member may, of course, give or accept an occasional gift of nominal value which is offered in accordance with social or cultural practice, for instance, when an officer or employee retires or leaves the University or visits another university overseas.

Example
Staff may participate in the mutual exchange of gifts with overseas visitors to the University in accordance with established cultural practice and expectations.
Example Staff members may accept token gifts from students upon completion of their studies providing there is no danger of the student assuming their gift will affect the result of the assessment.
3.1.5 Acceptance of outside work

The University permits staff to undertake paid outside work, in accordance with University policy10. Any use of University facilities in connection with outside work may occur only where prior approval has been obtained; the University must be recompensed for the full cost of such use. It is recognised that such work can be beneficial in forging links between the University and the community, but, having regard for Government policy on competitive neutrality, it should not thereby create any unfair competition with others working in the professions or with any external community activity. Outside work must not be accepted where it may cause a conflict between the staff member's private interests and duties to the University. Staff should not seek to secure as paid outside consultative work tasks that would rightly be regarded as part of their University duties.

3.1.6 Appropriate use of University information

University staff will gain access to information while engaged in teaching, research and administrative activities. Some information may be unavailable to the University community generally or the public. Information of a personal nature, for instance, should be accessed and used only for University purposes and should not be disclosed except where University policy expressly permits this11. Information of a commercial or strategic nature should also be handled with the utmost sensitivity, and should not be used for personal gain.

Example
Staff having computerised access to information should not access information for private purposes.
Example
Where a student confides in a staff member, the information should not be discussed with or revealed to others, except to the extent where this may be necessary to take action or reach decisions concerning the student who has provided the information.
3.1.7 External activities12

Staff are free to engage in party-political13, professional, interest group and charitable activity, provided that any such participation does not give rise to a conflict of interest, impede the performance of that person's duties or utilise University resources.

3.1.8 Public comment

Academic and research staff regarded as experts in a particular field of scholarship may comment publicly in their capacity as a staff member of the University14.

Public comment by staff in their capacity as private citizens is certainly permitted. Where a University staff member comments publicly in connection with trade union, party political or interest group activities, it should be made clear that such comments are made on behalf of the union, political party or association which they represent, and not in their capacity as a member of staff of the University. In making private comment (including via electronic means such as e-mail and the Internet), every effort must be made to ensure that the opinions expressed are not represented as the official view of the University, and the person making the private comment should not seek to use their University affiliation to add status to the comment.

Comment made by a staff member in a private capacity should not compromise or be perceived to compromise that person's ability to carry out their duties or to implement duly approved University policy.

3.2 Ethical conduct of research

University staff undertaking or assisting research should do so in a manner consistent with intellectual honesty and the public interest. In practice, this means that research should be designed to enhance knowledge in the particular field of scholarship, that it should employ sound methodology, and that the accuracy and integrity of data should be safeguarded. It is also expected that University staff undertaking or assisting research will comply with relevant University research policies15.

Harm to experimental subjects should be avoided, and the ethical principle of voluntary informed consent to research participation by human subjects should be respected. The ideas, information or intellectual contribution of others should be acknowledged appropriately, and the intellectual property of others respected. Ethical clearances must be gained where appropriate.

3.3 Ethical teaching practice

A member of the University's academic or research staff must seek explicit written permission from the relevant Executive Dean if he or she wishes to enrol in a subject or degree program for which there is potential for conflict of interest between his or her roles of student and assessor. eg staff member enrolled in postgraduate degree teaching in the coursework component of, or supervising other students in, the same or associated degree program; staff member giving specialist lectures in a subject in which he or she is enrolled.

4. DILIGENCE

The University aims to achieve the highest standards of excellence in teaching, research and administration. All University staff contribute to the achievement of this aim when they carry out their duties honestly and to the best of their ability.

4.1 Duties to be carried out in a professional manner

University staff are expected to carry out their duties in a professional, responsible and conscientious manner, and to be accountable for their official conduct and decisions.

4.1.1 Duty to carry out official policies and decisions

Generally, University staff have an obligation to carry out official decisions and policies faithfully and impartially. This obligation applies even though staff have the right to institute grievance procedures where they believe a decision is improper or they seek to have decisions or policy changed through appropriate channels.

4.1.2 Standards of performance

Staff members should endeavour to maintain and enhance their skills and expertise and keep up-to-date the knowledge associated with their particular field or area of work. High standards of performance and a focus on client service (whether clients are students, other staff, members of the academic or wider community) are expected.

4.1.3 Duty to take care

University staff should exercise due care in undertaking their University activities, particularly where others will rely on advice or information offered. In particular, University staff have a duty to take reasonable care to avoid causing harm (including physical harm) to other persons. Thus, University staff should actively promote safe working practices and environments for all staff, students, and members of the community using University facilities.

Example
Staff giving advice to students about necessary procedures should ensure that the information is up-to-date and accurate. Example
Staff teaching, researching or assisting in laboratories must dispose of hazardous or infectious material, such as sharps, in an appropriate fashion.
4.1.4 Substance abuse

University staff should ensure that their personal use of alcohol or other drugs does not affect work performance or the safety and well-being of others.

4.1.5 Outside interests

Staff should ensure that outside interests (including outside employment) do not interfere with the performance of official duties or responsibilities.

Example
Paid outside consultative work undertaken by academic staff should be undertaken only in accordance with University policy and guidelines and should not interfere with performance of the staff member's teaching, research or administrative duties. Example
Party-political activity should not be undertaken during working hours, nor involve the use of University resources.
4.1.6 Professional ethical standards

University staff who work in a professional capacity, or teach or undertake research related to professional activities (such as doctors, social workers, lawyers, teachers, nurses, therapists, psychologists, accountants) may have obligations or conventions related to their profession. The standards of conduct outlined in the University's Code of Conduct are generally consistent with professional ethical standards. Staff subject to professional ethical standards should aim to act in a way which satisfies ethical standards of the University and of their profession.

4.2 Disclosure of fraud or corrupt conduct

Fraud, corrupt conduct or maladministration is contrary to law and is to the detriment of the University community generally. Staff are therefore encouraged to report genuinely suspected or known fraud or corrupt conduct to appropriate University or external authorities16. Frivolous or vexatious complaints, however, are to be discouraged.

Where a person discloses impropriety or corrupt conduct to appropriate authorities, this must not result in harassment or other reprisal action by staff.

5 ECONOMY AND EFFICIENCY

The resources required for the provision of teaching, research and community services by the University are significant. It is incumbent upon all staff to ensure that these are managed effectively.

5.1 Use of property and resources for University purposes

Material, financial and computerised resources should be used only for the legitimate University purposes for which they are provided.

The forwarding of offensive, obscene or threatening messages by telephone, facsimile, computer or other electronic means is contrary to University policy17 and may be unlawful.

Example
Electronic mail and access to the Internet and computerised information systems are provided to staff to enhance their employment activities, and should be used only for this purpose. Example
Staff should not remove University equipment from the campus, except where this is necessary for use by the staff member for University purposes and where they have appropriate permission. Where staff members have University property, eg. laptop computers, at home, they must ensure that the location of the equipment is advised to the Head of School and appropriately recorded on an asset register.

Staff members may occasionally need to use University resources for private purposes, for instance to make a telephone call. Staff should be sensitive that in doing so they are using University resources and should endeavour to ensure that such use is kept to a minimum.

5.2 Avoidance of waste and security of University property and facilities

Resources should be used economically and waste avoided. Equipment, materials and University facilities should be treated with appropriate care and secured against theft or misuse. This ensures that the maximum level of resources are available to discharge the University's functions.

Example
Staff should report possible breaches of security to the appropriate authority.

The skills and time of University officers and employees is the most significant University resource. Effective interpersonal and personnel management skills and the provision of training and development opportunities, enhances this resource for the benefit of the individuals concerned, of the University generally and the wider community which the University serves.

Endnotes

1 See James Cook University Enterprise Bargaining Agreement 1997, in particular sections 13 and 14.

2 See Sections 7 to 11 of the Queensland Public Sector Ethics Act 1994.

3 See Harassment: Policy and Procedures and Harassment: Further Information, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

4 See Harassment: Policy and Procedures and Harassment: Further Information, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

5 See also: Guidelines for Effective University Teaching; Student Consultation Times; and Guidelines on Students and Intellectual Property, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

6 See Appointment of Examiners - Near Relatives, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

7 See Harassment: Policy and Procedures and Harassment: Further Information, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm), in particular sections 3.11 and 3.12.

8 See Conflict of Interest - Financial Matters, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

9 See Conflict of Interest - Financial Matters, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

10 See James Cook University Enterprise Bargaining Agreement 1997, Section 64 and Private Work (to be replaced by Statement on Staff External Activities) and Commercial Research and Consultancy Services, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

11 See Records Management, Student Records - Access Guidelines, and Examination Marks and Scripts - Student Access, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

12 See also Statement on Staff External Activities.

13 See Political Participation, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

14 See also Statement on Public Comment.

15 See Responsible Practices in Research and Experimentation Ethics, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).

16 See Whistleblowers Protection Management Policy (in progress)

17 See Harassment: Policy and Procedures and Harassment: Further Information, Policy and Procedure Manual, Volume 1 (http://www.jcu.edu.au/adm/Policy/index.htm).