Conflict of Interest Procedures APPENDIX 1

Transcription

1 Integrity and Standards Unit (ISU) Cnflict f Interest Prcedures APPENDIX 1 Types f Cnflicts f Interest 1. Financial interests A cnflict f interest arises where an individual makes, participates in, r has the ability t influence decisins that culd advantage their wn persnal and/r financial interests r affiliatins. Such interests and affiliatins may include investments, wnership r directrship f external entities, University cnsultancies, prvisin f gd r services, receipt f ryalties r ther cnsideratins. A cnflict f interest may arise, fr example, where an individual: wh has a financial interest in an external entity hlds a psitin within the University where they culd influence, r culd be perceived t influence, the awarding f cntracts by the University t that entity. hlds a directrship r ther executive psitin in an external entity which is in a psitin t exert significant influence ver the University. hlds a directrship r ther executive psitin in an external entity that the University is bidding with r is bidding against fr cntract research funds. has interests in an external entity t which the University is prviding r is t prvide services e.g. where an individual cncurrently hlds a psitin such as Chief Scientific Officer in a cmpany spnsring and cnducting research at the University. negtiates the terms under which any intellectual prperty, r ther prperty f the University, is t be sld, licensed r transferred t an external entity in which the individual has a financial interest. cntrls the designatin f curse texts r materials t be used by students and is als the authr r develper f such texts r materials. qutes r tenders fr and engages in cnsultancy wrk in a private capacity (fr mre infrmatin, refer t sectin n Private Cnsultancies in the Cnsultancy Prcedures). deals with, calls tenders r btains prices frm anyne with whm the individual has a clse persnal relatinship r any external entity in which the individual has a pecuniary interest (such an interest des nt include the hlding f shares purchased thrugh nrmal Stck Exchange dealings) r in any circumstances where the individual may benefit financially. is persnally remunerated frm an external surce/party (e.g. research prjects, cnferences, teaching prgrams, remunerative cnsulting agreements, etc) that invlves, r might reasnably be perceived t invlve, the University's name, facilities, equipment and staff. chairs a cmmittee respnsible fr allcating internal funding fr research at a Faculty r University level where funding is granted t the chair's schl/department. Versin 1.3 Updated 10/3/17

2 is required t perfrm an audit n a business activity f the University in a business area in which he r she has an interest, pecuniary r therwise. wh has been awarded a research grant wishes t authrise private payments t themselves frm funds held by the University and under the University's cntrl. 2. Research A cnflict f interest arises fr researchers where a cmpeting private interest cmprmises, r has the appearance f cmprmising, the researcher s prfessinal judgment in cnducting, evaluating r reprting n research. It may affect, r be seen t affect, nt nly the cllectin, analysis and interpretatin f data, but als the hiring f staff, prcurement f materials, sharing f results, chice f licensees, chice f prtcl, invlvement f human subjects, and the use f statistical methds. A cnflict f interest may arise, fr example, where: the research is spnsred by anther persn r entity with which the researcher has an affiliatin r a financial invlvement. the researcher may benefit, directly r indirectly, frm any inapprpriate disseminatin f research results (including any delay in r restrictin upn publicatin f such results). the researcher may persnally benefit, directly r indirectly, frm the use f University resurces in cnducting University research. the researcher cnducts a clinical trial which is spnsred by any persn r rganisatin with a significant interest in the results f the trial. private benefits r significant persnal r prfessinal advantage are dependent n a researcher s research utcmes. in the peer review and publicatin prcess, an authr, reviewer r editr allws persnal cnvictin, financial interests, r persnal views (f amity r enmity) t influence the wrk imprperly. in relatin t the cmmercialisatin f research, substantial benefits fr a researcher arise frm cllabratins and relatinships with industry in the licensing and marketing f research discveries and in the creatin f spin-ff cmpanies. amity r enmity between supervisr and student causes ne r bth f the parties t act cntrary t the best interests f the University. Researchers have additinal respnsibilities under the Australian Cde fr the Respnsible Cnduct f Research (the Australian Cde). The Australian Cde recmmends that researchers: maintain recrds f activities that may lead t cnflicts, fr example: cnsultancies, membership f cmmittees, bards f directrs, advisry grups, r selectin cmmittees, and where they hld financial delegatin r are in receipt f cash services r equipment frm utside bdies; when invited t jin a cmmittee r equivalent, review current activities fr actual r apparent cnflicts and bring pssible cnflicts f interest t the attentin f thse running the prcess; and disclse any actual r apparent cnflict f interest as sn as it becmes apparent. 2

3 Researchers shuld be aware f and cmply with any separate requirements fr disclsure f cnflicts f interest, frm funding bdies such as the Natinal Health and Medical Research Cuncil (NHMRC). 3. Clse persnal relatinships between individuals A cnflict f interest situatin arises where an individual participates in, r has the ability t influence, decisins affecting anther individual with whm the first individual has r has had a clse persnal relatinship. A cnflict f interest may arise, fr example, where an individual: participates in any recruitment, selectin, prmtin, transfer, reclassificatin, determinatin f cnditins f emplyment, access t prfessinal develpment, perfrmance evaluatin, dismissal r grievance/cmplaint prcess with anther individual with whm they have r have had a clse persnal relatinship. The individual des nt have t be respnsible fr making a decisin n the matter; just being present can be sufficient t give rise t a cnflict. persnally surces r recmmends peple with whm they have r have had a clse persnal relatinship fr psitins in, r t d wrk fr, the University utside f nrmal University recruitment and selectin r prcurement practices. In all cases, apprpriate independent cmpetitive r individual merit selectin prcesses r supplier selectin prcesses need t be bserved. Where an individual, in such cases, acts utside f the relevant independent cmpetitive r individual merit selectin prcesses r supplier selectin prcesses in the engagement f a third party, then that individual has, thrugh their actins, failed t take reasnable steps t avid a cnflict f interest. This represents an autmatic breach f the Prcedures which cannt be crrected r addressed by registering a cnflict f interest. Examples f where an individual fails t take reasnable steps include where an individual selects r influences the selectin f their: sn as an administrative assistant/catalguer n the individual s research prject; partner as casual research assistant n the individual s research prject; daughter t undertake casual administrative wrk; mther t perfrm marking f assignments fr the individual under a private service supply arrangement; stepsn t wrk fr three days a week n a casual cntract in a business unit; r wife as a casual administrative assistant. is placed in a supervisry rle with respect t anther individual with whm they have, r have had, a clse persnal relatinship. is appinted t an appeals cmmittee and has r has had a clse persnal relatinship with anther individual wh is invlved in the decisin under appeal. is appinted t a University cmmittee established t select the recipient f an award and anther individual with a clse persnal relatinship t the individual is a candidate fr the award. In relatin t staffing and prmtins decisins: A selectin panel member r prmtin panel member ( panel member ) wh has a clse persnal relatinship with a candidate, r ther cnflict f interest, must disclse the cnflict f interest t the Chair f the panel as sn as they becme aware f the cnflict. If a panel member is uncertain whether a cnflict f interest exists, advice shuld be sught frm the Chair prir t participatin. 3

4 The Chair f the panel is respnsible fr ensuring that n disclsed cnflict f interest can influence the utcme f the applicatin r prmtin and that there can be n reasnable perceptin that it might have dne. Where there is a clse persnal relatinship between the applicant and the panel member, the panel member shuld be immediately remved frm the panel. In evaluating the actin t be taken, the Chair shuld cnsider any perceived cnflict f interest shuld the panel member be permitted t be invlved in the prcess. Where the Chair f the panel has a cnflict f interest in relatin t any f the candidates fr the psitin r prmtin, the Chair must disclse the matter t the Directr Peple and Culture fr apprpriate actin befre shrt listing f candidates r interviews ccur. An individual shuld take reasnable steps t avid recmmending r apprving any financial transactin which prvides, r culd prvide, a direct pecuniary benefit t anther individual with whm they have r have had a clse persnal relatinship. Such transactins include: casual r sessinal timesheet payments cntractr payments staff reimbursements staff crprate card transactins staff benefits / rewards 4. Clse persnal relatinships between individuals and students A cnflict f interest situatin arises where an individual has r has had a clse persnal relatinship with a student fr whm the individual has academic, administrative r ther respnsibilities. A cnflict f interest may arise, fr example, where an individual: has respnsibility fr the admissin, assessment, examinatin r supervisin (including PhD supervisin) f a prspective r current student with whm the individual has r has had a clse persnal relatinship. unduly influences r pressures anther designated fficer (directly r indirectly) t give preference t a prspective r current student with whm the individual has r has had a clse persnal relatinship. is respnsible fr the apprval f r allcatin f mnies fr a schlarship fr a prspective r current student with whm they have r have had a clse persnal relatinship. 5. Persnal views f individuals twards thers A cnflict f interest situatin arises thrugh an individual having, r there being a perceptin f having, a persnal view f anther persn r grup that might reasnably be anticipated t cause an inability n their part t perfrm their respnsibilities bjectively and impartially as far as the ther persn r grup is cncerned e.g. because f feelings by the individual f friendship (amity) r hstility, ppsitin, rivalry, cnflict r cntentin (enmity), r by having ther persnal psitive r negative feelings twards that persn r grup. A cnflict f interest under these circumstances may arise in many wrk situatins (in particular, see sectins 3 and 4 abve), fr example, where an individual: is invlved as either a member r Chair n a staff selectin panel where the internal r external applicant is knwn t the individual. 4

5 is respnsible fr cnducting a perfrmance review n anther party where the individual has previusly invked disciplinary actin against the party under the Staff Enterprise Agreement. is required t investigate allegatins f miscnduct against a fellw individual wh they have knwn and wrked with fr years. participates in a tender selectin prcess, but previusly wrked in the particular industry and was acquaintances with industry participants, sme f whm have nw been invited t tender. favurs r discriminates against particular peple in their unit and misuses r abuses their authrity t make wrk-related decisins and prvide r deny privilege, benefits r entitlements based n persnal dislike f these peple by, r lyalty by these peple t, the individual, rather than n ability, merit r acknwledgement f legal entitlement. 6. Gifts, benefits and hspitality A cnflict f interest arises where an individual slicits r accepts gifts, benefits r hspitality (hereafter referred t as gifts ) fr services they perfrm in cnnectin with their emplyment r engagement with the University frm any persn r entity that culd influence that individual in their fficial capacity. When shuld a gift nt be accepted As a general rule, an individual shuld nt accept a gift where it culd be seen by a reasnable disinterested bserver, after cnsidering all relevant facts, that the gift was intended r likely t cause that persn t: perfrm their jb in a way which that persn wuld nt nrmally d; r deviate frm their prper r usual curse f duty. Generally, the mre valuable a gift, the mre likely it is that accepting the gift wuld be perceived as a cnflict f interest. The safest curse fr anyne being ffered a gift is t plitely decline. If an individual is f the view that they have been ffered a gift as an attempt t induce favured treatment, they shuld immediately ntify the ISU, regardless f whether r nt the gift has been accepted. Types f gifts which shuld never be accepted include: Gifts in kind: free r discunted accmmdatin, meals, travel, entertainment r any ther cmpensatin r enrichment (e.g. gift cards, lans, cmmissins, expense reimbursements) which wuld be cnsidered excessive by a reasnable disinterested bserver. This principle extends t gifts prvided t ther persns wh have a clse persnal relatinship with the individual. Gifts assciated with prcurement: If the University is engaged in a tender r ther type f prcurement prcess, n gift, n matter hw small r insignificant, shuld be accepted frm any ptential supplier r assciated party. In particular, an individual must never accept gifts f mney. Facilitatin gifts: Gifts made t an individual with the express purpse f inducing the individual t expedite, r thanking the individual fr expediting, a University business transactin, r giving preference t anther party in the cnduct f nrmal University business. 5

6 An individual may smetimes receive tken gifts which it wuld be rude r inapprpriate t decline. Tken gifts may include suvenirs, mements and symblic items f relatively lw value. Tken benefits may als include mderate acts f hspitality when meeting with rganisatins t develp a wrking relatinship with the University. In itself, receiving a tken benefit wuld nt cnstitute a cnflict f interest. Hwever, a cntinuing pattern f giving tken benefits may be seen as a ptential attempt t inapprpriately influence an individual and amunt t a cnflict f interest. Where a tken gift ffered t an individual is valuable, it shuld be declined. If an individual is unsure whether such a gift shuld be accepted, they shuld seek advice frm their line manager r the ISU. When shuld an accepted gift be registered 1 If an individual wishes t accept a gift ffered r given as a part f nrmal University business, then it is assumed there is n actual, perceived r ptential cnflict f interest in ding s. In such circumstances, an individual must adhere t the fllwing requirements fr registering gifts thrugh the nline Cnflict f Interest prtal. It is imprtant t emphasise that the act f registering a gift des nt legitimise its acceptance. When ffered a gift, the individual must first evaluate whether there wuld be a cnflict f interest in accepting the gift and, if nt, take the fllwing actin 2 : Value f the gift is less than r equal t $150 If a gift has a cmmercial value less than r equal t $150, then the individual is nt required t disclse that gift via the nline Cnflict f Interest Register (except where the cnditin explained under Value f gifts ver a 12 mnth perid is met belw). Value f the gift is abve $150 but less than r equal t $300 If a gift has a cmmercial value abve $150 but less than r equal t $300, then the gift must be disclsed via the nline Cnflict f Interest Register. The gift may nly be accepted by that individual upn receipt f written apprval frm a respnsible fficer wh is their line manager. Value f the gift is ver $300 If the cmmercial value f a gift ttals mre than $300, then that gift must be disclsed via the nline Cnflict f Interest Register. The gift may nly be accepted upn receipt f written apprval frm a respnsible fficer wh is an Executive Manager. Value f gifts ver a 12 mnth perid If gifts received frm the same persn r entity have a cumulative value which exceeds $300 within a 12 mnth perid, then thse gifts must be disclsed via the nline Cnflict f Interest Register at the pint that the cumulative value reaches $300. Subsequent gifts within that 12 mnth perid may then nly be accepted upn receipt f apprval frm a respnsible fficer wh is an Executive Manager. Where the value f the gift is unknwn If an individual is unsure f the value f a gift, the safest apprach is t plitely decline it. If ding s wuld be inapprpriate, the gift must be disclsed via the nline Cnflict f Interest Register and apprval sught frm the apprpriate respnsible fficer. Where the gift is ffered t a grup f individuals rather than an individual 1 IMPORTANT NOTE 1: When registering a gift via the nline Cnflict f Interest Register, it shuld be specifically identified as gift, benefit r hspitality during the registratin prcess nt as a cnflict f interest as the act f registering a gift implies that there is n actual, perceived r ptential cnflict in accepting it. 2 IMPORTANT NOTE 2: These dllar limits apply in all University-business related situatins, including when wrking in ther Australian states r verseas r while n business travel 6

7 If a gift is ffered t a grup f individuals rather than t a single individual, each individual may need t disclse their prtin f the gift, in accrdance with these Prcedures. 7. Spnsrships and ther agreements A cnflict f interest arises where an individual receives r is ffered discunted r free gds r services, r cntra (exchanged) items f any kind under a spnsrship r ther type f agreement that may place the recipient under an actual, perceived r ptential bligatin t the individual r rganisatin prviding these items under the terms f the agreement. Spnsrship is the right t assciate a spnsr s name, prducts r services with the spnsred rganisatin s service, prduct r activity, in return fr negtiated and specific benefits such as cash r in-kind supprt r prmtinal pprtunities. It invlves a negtiated exchange and shuld result in tangible, material and mutual cmpensatin fr the principal parties t the arrangement. Sme spnsrship agreements include the prvisin t the University f discunted r free gds r services, r cntra (exchanged) items. Cntracts with preferred suppliers f gds r services t the University may als result in similar benefits e.g. free equipment based n sales reward pints achieved r free / discunted airline tickets based n vlume f sales attained. In all such cases, these benefits are nt t be treated as gifts t individuals, as they are autmatically the prperty f the University, having been btained under and as a result f a frmal agreement between the University and an external entity. Hwever, they shuld be recrded as perceived r ptential cnflicts f interest by the recipient, regardless f value r quantity f benefits received. The University shuld take reasnable steps t exclude, wherever pssible, free, discunted r cntra type benefits frm spnsrship and ther types f agreements. Where it is nt pssible t remve the prvisin f these types f benefits frm agreements, the respnsible fficer receiving the cnflict f interest ntificatin shuld cnsider: in the first instance, declining the items and returning them t the ther party t the cntract, r if nt feasible; allcating the items t apprpriate individuals fr use n University business r fr University purpses nly, r if nt feasible and as a last resrt; making the items available t the University cmmunity at large n an independent and equitable basis. 8. Secndary emplyment A cnflict f interest arises where an individual s secndary emplyment creates r appears t create a situatin where they may nt be undertaking wrk and making decisins in the best interests f the University and / r may nt be giving their full cmmitment t the University in terms f wrk attendance, perfrmance and behaviur. A cnflict f interest may arise, fr example, where secndary emplyment: is undertaken during the same hurs that an individual is being cmpensated as a University fficer. 7

8 impses an bligatin n an individual t devte s much time t their secndary emplyment that the amunt r quality f their wrk fr the University is cmprmised. makes use f any University facility, equipment r resurce including cmputer sftware and infrmatin technlgy resurces. makes use f, r may benefit frm, cmmercial r ther infrmatin that the individual pssesses by virtue f their emplyment r engagement with the University. ccurs within an rganisatin that may cmpete with the University fr funds, staff, students, prjects, cnsultancy r in any ther activity. ccurs within an rganisatin that supplies the University with equipment, services r staff. ccurs within an rganisatin that is a custmer f the University and may acquire equipment, services r staff frm the University. creates a cmmitment utside the University that invlves frequent r prlnged absence(s) frm the University n nn-university business. invlves prviding advice t students r emplyees f the University n behalf f the emplyer. allws utside cnsideratins t affect actins r decisins that are part f their respnsibilities and bligatins t the University. All private cnsultancies, including cnsultancies undertaken by an individual in a private capacity fr the University, must be disclsed as a cnflict f interest, in accrdance with the University's Cnsultancy Prcedures. Unpaid r vluntary wrk is generally nt regarded as secndary emplyment. Hwever, cnflict f interest issues may still arise in relatin t vluntary wrk and shuld be addressed in accrdance with this Prcedure shuld they ccur. 9. Use f University facilities and equipment A cnflict f interest arises where an individual des nt use University resurces fr the purpses and in the best interests f the University. Individuals are expected t use all University facilities and equipment efficiently, carefully, hnestly and effectively, and nt t permit their abuse by thers. Such resurces must nt be used fr persnal financial gain r fr plitical purpses, nr fr any illegal r prhibited reasns. Any arrangement fr persnal use must be apprved by the relevant respnsible fficer, and shuld be fr minimal time and undertaken in accrdance with plicy and prcedures. 10. Use f fficial infrmatin A cnflict f interest arises where an individual, wh has access t infrmatin in the curse f perfrming their duties and respnsibilities (in particular cnfidential r sensitive infrmatin), uses such infrmatin t btain an imprper advantage r financial benefit fr themselves r any ther persn r entity. 8

9 An individual shuld never use their knwledge f University peple, systems r prcesses r seek t btain cnfidential infrmatin abut University business, fr private reasns. A cnflict f interest may arise, fr example, where an individual: asks a designated student selectin fficer fr infrmatin relating t the admissin f smene with whm the individual has a clse persnal relatinship. wh is invlved in the administratin f student results, advises a student, with whm the individual has a clse persnal relatinship, f his r her results in advance f the time when such results are scheduled t be ntified and/r published. wh is invlved in the administratin f tenders fr the University infrms anther individual with whm the individual has a clse persnal relatinship f specific infrmatin, therwise nt available t the public, abut the anticipated price sught by the University fr a tender in which the ther individual has expressed an interest. acts n a private request frm a third party (whether an internal individual r external persn r entity, and regardless f whether r nt a clse persnal relatinship exists between the individual and the third party) t access University recrds, fr unauthrised, nn-university purpses. 11. Persnal beliefs A cnflict f interest arises when an individual is required t undertake fficial duties which are at variance with the individual s strng persnal values. It is unlawful t discriminate n the grunds f religius r plitical cnvictin. All individuals have the right t their wn beliefs and shuld respect the rights f thers. Staff shuld strive t perfrm the duties assciated with their emplyment r engagement diligently, cnscientiusly and t the best f their ability, and make decisins withut bias, based n the best factual infrmatin available. While individuals shuld try t ensure that their persnal values d nt bring them int cnflict with their duties as a University fficer, if it des ccur, this wuld cnstitute a cnflict f interest and the individual must make an apprpriate disclsure in cmpliance with these Prcedures. 12. Public cmment A cnflict f interest arises where an individual is invlved in a private activity and expresses a public cmment that purprts t represent, r may be perceived as representing, the views f the University. All individuals have the right, as citizens, t make public cmment n any matter f public interest. Hwever, written r ral statements made in this cntext shuld nt suggest in any way that the views expressed are thse f the University. Public cmment includes public speaking engagements, cmments t the media, letters t the media, bks, jurnals articles, ntices and use f electrnic cmmunicatins media such as , Internet, scial media etc. where it might reasnably be expected that the publicatin r circulatin f the cmment will spread t the cmmunity at large. A cnflict f interest may arise, fr example, where an individual: 9

10 assciates their name r wrk with a private external activity (such as cnsulting, trade unin, party plitical r interest grup activities) in a way that implies endrsement r spnsrship by the University. expresses a private pinin r cmment n an academic, research related r ther matter in which the individual has n particular expertise, and the individual fails t disclse that his r her pinin r cmment is made in a private capacity and nt as a representative f the University. des nt use University letterhead r statinery nly fr fficial University cmmunicatins. des nt use electrnic media in an apprpriate and respnsible manner, and in accrdance with plicy. 13. Multiple rles A cnflict f interest arises where an individual perfrms, assumes r is assigned multiple rles, either by way f r as an additin t their substantive appintment in the University, which creates a cnflict with the fulfilment f the respnsibilities f each rle. Individuals may have multiple rles as University fficers which result in cmpeting r incmpatible dualities f interest r bligatin with respect t the University and ther rganisatins r grups. A cnflict f interest may arise, fr example, where an individual: wrks fr Human Resurces and is invlved in negtiating the next staff enterprise agreement while cncurrently being a Unin representative. is required t serve as the directr f a cmpany in which the University has a cntrlling r ther interest. is invlved in a Cperative Research Centre (CRC) r ther research prject external t the University. is secnded t r is recruited specifically fr a leadership rle under a jint venture r partnership arrangement with an external service prvider t deliver the University s academic services. 10