Reference: UNSW Guidelines for Commercial Activities (the Guidelines)
Under The University of New South Wales Act 1989, University Commercial Activities are defined as those activities "comprising the commercial exploitation or development of any facility, resource or property of the University" (s6.3a).
Some examples include:
Note: The collection of fees or charges for goods, services or access to facilities is an indicator that an activity is a commercial activity. However, activities that accrue nonfinancial benefits to the University may also be considered commercial activities. Enquiries should be directed to the Compliance Officer http://www.legal.unsw.edu.au/contacts/index.html.
Key questions to consider:
What is not considered a Commercial Activity:
Evaluation and Approval
The sponsor (person proposing the commercial activity) should:
(refer the Guidelines, Section 4.2)
The proposal document should at least specify:
If approved, ensure it is registered. Complete the Commercial Activity Registration Form and submit to the Compliance Unit. A hard copy should be downloaded and filed with the proposal in the HoS's office.
Ensure that all information relating to the proposed activity is submitted with the proposal to the Head of School and then to the Executive Officer after approval for recording in an appropriate file kept in the HoS office.
Sponsors (persons proposing the commercial activity) are responsible for ensuring all commercial activities are reviewed at least once every three years. The Compliance Unit will provide regular reports detailing those activities due for review.
This review should be conducted by a person or panel appropriate to the nature of the activity, and copies of the findings & recommendations of the review provided to both the approval authority and the Compliance Unit (refer the Guidelines section 6.5).
The object of review (refer the Guidelines, Section 6.5) is to:
Assess the continuing viability of the activity; identify any significant changes in the activity; ascertain appropriate risk management processes are in place; explore opportunities for leveraging of the activity; ensure compliance with relevant law, policy and standards.
The review will be conducted by a person or panel appropriate to the nature of the commercial activity. Findings and recommendations of the review shall be provided to the approval authority, and a copy forwarded to the officer responsible for maintaining the University's Register of Commercial Activities.
Review of one-off activities or activities winding up prior to their review date shall take the form of a report assessing the extent to which the activity achieved the objects set out in the approved proposal.
Guidelines for the Head of School
Undertake an evaluation of the proposed activity based on the Proposal Document. The evaluation should be in accordance with the UNSW Guidelines for Commercial Activities, refer to Section 4.
If necessary, obtain specialist advice from the Compliance Office: http://www.legal.unsw.edu.au/contacts/index.html
Submit the endorsed Proposal Document and NGFunds form to the approval authority if not the Head of School.
The approval authority and the sponsor should locate all records relating to the activity, and ensure that all relevant documents are kept on an appropriate file for that activity ~ see UNSW Guidelines section 4.7. In CSE, appropriate files are kept in the HoS’s office.
The sponsor ensures that information regarding the activity is provided to the Compliance Unit for entry into the Register of Commercial Activities. Complete the Commercial Activity Registration Form and submit to the Compliance Unit. A hard copy should be downloaded and retained in an appropriate file in the HOS’s office ~ see UNSW Guidelines section 4.8
The sponsor must ensure all commercial activities are reviewed at least once every three years. This review should be conducted by a person or panel appropriate to the nature of the activity, and copies of the findings & recommendations of the review provided to the Approval Authority and the Compliance Unit ~ see UNSW Guidelines section 6.5
The University of New South Wales Act 1989 requires that the University maintain a Register of Commercial Activities. At present, this register is held within the Compliance Unit of the Legal Office.
The Register is a central repository for information on the University’s commercial activities.
All records held in the Register are considered Commercial-in-Confidence, and access to these records is only available as stipulated in the University Of New South Wales Guidelines For Commercial Activities.
Approval authorities supply all information held in the Register relating to a commercial activity and heads of organisational units are responsible for ensuring that information held regarding commercial activities of their units is complete and current.
Reports may be generated by the officer responsible for maintaining the Register for the purposes of review of commercial activities.
Sponsors may request a copy of the information held in the Register relating to their commercial activities by contacting the Compliance Unit. Sponsors should also notify the Compliance Unit of any significant changes to the activity so that an accurate record can be maintained.
Identify the types of risk that could arise from the activity, such as:
Any risks identified should be quantified in terms of likelihood and possible consequences.
Qualitative measures of likelihood
|Level||Descriptor||Example detail description|
|1||Rare||May occur only in exceptional circumstances|
|2||Unlikely||Could occur at some time|
|3||Possible||Might occur at some time|
|4||Likely||Will probably occur in most circumstances|
|5||Almost certain||Is expected to occur in most circumstances|
Qualitative measures of consequence/ impact
|Level||Descriptor||Example detail description|
|1||Insignificant||No injuries; low financial loss|
|2||Minor||First aid treatment; on-site release immediately contained; medium financial loss|
|3||Moderate||Medical treatment required; on-site release contained with outside assistance; high financial loss|
|4||Major||Extensive injuries; loss of production capability; off-site release with no detrimental effects; major financial loss|
|5||Catastrophic||Death; toxic release off-site with detrimental effect; huge financial loss|
Qualitative measures of consequence/ Levels of risk (low, medium, high)
|Likelihood||1 Insignificant||2 Minor||3 Moderate||4 Major||5 Catastrophic|
|5 Almost Certain||High||High||Extreme||Extreme||Extreme|