Code of Conduct

1. Purpose

1.1 UTS is committed to its positive, ethical and inclusive culture aligned with its values.

1.2 This Code of Conduct (the code) sets out the behaviour required to meet this commitment and the consequences of not meeting these requirements. 

2. Scope

2.1 This code applies to:

1. all staff and affiliates performing any function or activity for or on behalf of UTS, in Australia or overseas
2. members of UTS Council and/or its committees, and
3. staff of controlled entities unless otherwise agreed. 

2.2 This code is not a term of any contract, including any employment contract, however it is enforceable as a university policy under the Policy Framework. It can be varied by UTS.

2.3 Members of UTS Council and/or its committees are also subject to the provisions outlined in the Governance Overview Handbook (SharePoint).

2.4 References to staff throughout this code include all those under its scope. 

3. Principles

3.1 UTS expects all staff and affiliates to perform their work, duties or functions to the best of their abilities, ethically and impartially, in line with the UTS 2030 strategy and furthered in the Social Impact Framework.

3.2 Staff must ensure their interactions with each other, students and the wider community are safe and respectful and comply with the Equity, Inclusion and Respect Policy and the Gender-based Violence Prevention and Response Policy. 

3.3 This code provides overarching expectations of personal and professional behaviour at UTS. It does not address all possible issues and scenarios that may arise in the course of performing work, duties or functions for UTS (refer statement 4.4).

4. Statements

Personal and professional behaviour

4.1 Staff must act with integrity and demonstrate excellence in their personal and professional behaviour. Building on UTS values (refer UTS 2030), staff are expected to contribute to a just and equitable society. 

4.2 UTS requires all staff to:

1. treat all members of the university and wider community with dignity and respect in line with the Equity, Inclusion and Respect Policy
2. comply with all legal, industrial, contractual and administrative requirements, and all lawful and reasonable directions given by or on behalf of UTS
3. be aware of and apply any legislative and regulatory requirements relevant to their position, specialisation or line of work (for example, anti-discrimination legislation, Guidelines to counter foreign interference in the Australian university sector and workplace health and safety legislation (refer Health, Safety and Wellbeing Policy))
4. act in accordance with UTS’s commitment to eliminate gender-based violence (refer Gender-based Violence Prevention and Response Policy)
5. declare any actual, perceived and potential conflicts of interest in line with the Conflicts of Interest Disclosure Policy and make any other declarations as required to ensure operational and behavioural integrity (for example, in relation to gender-based violence)
6. make decisions reasonably and without bias guided by facts and best practice
7. maintain timely, adequate and appropriate documentation to support decision-making  and comply with the Fraud and Corruption Prevention Policy
8. report serious wrongdoing (including corrupt conduct, fraud, maladministration and serious and substantial waste) in line with the Whistleblowing and Public Interest Disclosures Policy
9. report illegal, unethical and unacceptable behaviour in line with the Child Protection Policy, the Modern Slavery Policy and/or the Gender-based Violence Prevention and Response Policy
10. exercise academic freedom and freedom of expression in line with the values and expectations outlined in the Academic Freedom and Freedom of Expression Policy, and
11. be familiar with, implement and comply with all other UTS policies, procedures and guidelines.

4.3 Where possible, staff responsible for contract development, contract management and/or engaging contractors must ensure that the behavioural requirements of this code are included in the contract or agreement with UTS. Where this is not possible, behavioural expectations, conflicts of interest and confidentiality must be otherwise managed in the contract.

4.4 Behaviour or conduct that is inconsistent with this code, the Equity, Inclusion and Respect Policy and the Gender-based Violence Prevention and Response Policy is unacceptable and will be managed as a breach of this code and/or as a breach of contract (as appropriate). UTS will investigate any unethical or unacceptable behaviour brought to its attention, particularly that which may have an adverse effect on the wellbeing of staff, students or the wider community. UTS will work to mitigate risks, address safety concerns and, where appropriate, take any necessary disciplinary action. 

4.5 If there is any doubt about how to apply this code, or the appropriate course of action to take in a particular scenario, staff should discuss the matter with their supervisor (or an appropriate senior staff member) or the People Unit. 

Publication of information

4.6 Staff who publish information (in any format) must ensure that it is professional, ethical and lawful, and consider:

1. UTS's responsibilities under the GIPA Act, and
2. the Data Governance Policy, the Privacy Policy, the Research Policy, the Website Policy, the Acceptable Use of Information Technology Resources Policy and the Academic Freedom and Freedom of Expression Policy.

4.7 When publishing academic work, course materials and the results of research, staff must be aware of the ethical and legal requirements about authorship and the acknowledgement of work done by others (including students) as required by the Intellectual Property Policy, the Open Access Policy, the Authorship Procedure and the Subject Information Procedure.

Use of UTS information and resources

4.8 Staff must:

1. maintain the confidentiality, integrity and security of university information during and at the end of their work, duties or functions at UTS
2. respect the personal privacy of all individuals at UTS by collecting and managing personal information in line with the Privacy Policy
3. manage UTS corporate data in line with the Data Governance Policy and be accountable for the data they collect and manage on behalf of UTS
4. be aware of the university's obligations under the Government Information Public Access Act 2009 (NSW) (the GIPA Act) and ensure certain types of information are made publicly available as outlined at Right to information, and
5. not take, or seek to take, improper advantage of any university information they have access to for financial or other benefit. This may be classified as serious wrongdoing and must be reported and managed in line with the Whistleblowing and Public Interest Disclosures Policy.

4.9 Staff must use UTS resources (for example, materials, funds, equipment, facilities, email and UTS logo) sustainably, professionally, honestly, ethically and lawfully. Staff must: 

1. use IT resources in line with the Information Security Policy and the Acceptable Use of Information Technology Resources Policy
2. undertake procurement in line with the Procurement Policy
3. manage modern slavery risks in line with the Modern Slavery Policy and the Risk Management Procedure (SharePoint)
4. not use UTS resources for private purposes (unless other university policies, procedures or guidelines allow or permission has been granted)
5. use the UTS corporate credit card in line with the Staff Travel, Expenses and Corporate Credit Card Policy.

Training requirements

4.10 Staff must undertake mandatory training (as approved by the Vice-Chancellor or divisional leaders), any role-specific training and/or any other required or mandated training (refer Mandatory compliance courses at UTS (SharePoint)).

Academic integrity

4.11 UTS is committed to maintaining a culture of integrity and transparency in line with the Academic Integrity Policy. A failure to act with academic integrity is considered a breach of this code.

4.12 Academic staff and affiliates must demonstrate academic integrity at all times, including:

1. in their teaching and when interacting with students by upholding high standards of integrity and honesty in scholarly work
2. when undertaking research by complying with the Research Policy and its  procedures, and
3. when undertaking supervisory activities (refer Graduate Research and Supervision Policy).

Public comment

4.13 Staff are free to make public comment in line with the Academic Freedom and Freedom of Expression Policy, however they must ensure that all public comments made in a private capacity (in any format), whether during or outside work hours, are not attributed as official comment of the university.

4.14 Public comment that is considered a breach of this code, the Academic Freedom and Freedom of Expression Policy or the Equity, Inclusion and Respect Policy resulting in a complaint to the university will be managed as a code and/or policy breach.

4.15 Official stationery, email accounts or any media displaying the UTS logo or name must not be used for private correspondence or for purposes not related to university work, duties or functions (refer Use the UTS logo (Staff Connect)).

Leaving UTS

4.16 Staff and affiliates must notify their supervisor as soon as they have accepted an offer of external employment, appointment or engagement to:

1. identify and rectify any potential conflicts of interest resulting from an offer, and
2. manage outstanding activities or apply any control measures (for example, access to resources, data, equipment or funds). 

4.17 Staff and affiliates must:

1. not disclose confidential UTS information, which must remain confidential once their employment, appointment, engagement or association with UTS ends
2. not use or take advantage of personal or confidential information obtained during their time at UTS and should be aware of their responsibilities under the Privacy Policy
3. not allow their work to be influenced by plans for, or offers of, external employment, appointment or engagement that would conflict with, or compromise in any way, their obligations to UTS or the best interests of UTS, and
4. exercise care in their dealings with former UTS staff and affiliates to make sure they do not give them favourable treatment or access to personal or confidential information.

Breaches of the code

4.18 Breaches, or suspected breaches, of this code (either identified or reported) should be reported to the relevant manager or supervisor and must be managed in line with the Enterprise agreements (sections on disciplinary action), contract of employment or other form of engagement. Breaches of any UTS policy or procedure by staff or affiliates will be managed as a breach of this code unless otherwise stated.

4.19 UTS may act against staff who are found to be in breach of this code or any other policy. Action may include (but is not limited to) risk mitigation strategies, safety measures, investigations, legal action, disciplinary action which could result in sanctions for misconduct or serious misconduct and/or, where relevant, termination of employment or contract.

4.20 In some circumstances, depending on the nature of the breach, actions may include UTS notifying a relevant statutory authority and/or agency, and further action being taken by a statutory authority and/or agency where relevant legislation is breached. This may result in criminal action, fines or imprisonment.

5. Roles and responsibilities

5.1 Code owner: The Provost is responsible for enforcement of and compliance with this code for academic staff. The Chief Operating Officer (COO) is responsible for enforcement of and compliance with this code for professional staff.

5.2 Code contact: The Executive Director, People and Culture is responsible for the implementation of this code and acts as the primary point of contact for advice on implementing its provisions.

5.3 Implementation and governance roles: All staff and affiliates must:

1. behave ethically and professionally, in line with this code
2. create an environment where the code's requirements are reflected in the day-to-day management of staff and affiliates
3. encourage colleagues to maintain high standards of conduct in the workplace, and
4. receive and act on reports of actual or potential conflicts of interest in accordance with this code.

6. Definitions

The following definitions apply for this code. Definitions in the singular also include the plural meaning of the word.

Academic integrity is defined in the Academic Integrity Policy.

Affiliate includes honorary award and title holders, honour name holders, contractors, consultants, volunteers, agency staff, members of university/faculty committees (excluding UTS Council and its committees) and any other person appointed or engaged by UTS to perform work, duties or functions for UTS.

Conflict of interest is defined in the Conflicts of Interest Disclosure Policy. 

Integrity is defined in the Academic Integrity Policy.

Serious wrongdoing is defined in the Whistleblowing and Public Interest Disclosures Policy.

Staff means any person employed by UTS, including professional, academic or senior staff, either full-time or part-time, permanent, casual or on a contractual basis in line with the university's Enterprise agreements.

Supervisor means a person employed by UTS who has direct line management responsibility for staff and/or affiliates. Supervisors include, but are not limited to, members of the senior executive, deans, executive directors, directors, chief officers, heads of school, managers and other people who supervise staff. Where it is required to ensure appropriate management, support and/or oversight, supervisory responsibilities may be managed by a supervisor’s supervisor (refer Enterprise agreements: UTS Staff Agreement).

University information includes, but is not limited to, UTS papers, documents, registers, files, photographs, microfilm, passwords, data or information stored in digital or printed form.