(1) This Procedure is effective from 25 August 2020. (2) The Procedure sets out the processes for staff to identifying, declaring, managing and recording conflicts of interest (COI). (3) This Procedure applies to all staff and associates. (4) This Procedure is pursuant to the Code of Conduct. (5) The University is committed to fostering a culture of honesty, responsibility, fairness and accountability and ethical behaviour. (6) The University must maintain integrity in decision-making and research and ensure the decision-making and research is free of influences, interests or relationships that conflict or give rise to the potential for or perception of a COI. (7) As part of upholding these standards all staff and associates have a responsibility to identify and declare any COI at any time prior to or during their employment at or service to the University. (8) There are three categories of COI: (9) Clause 12 provides examples of common situations and activities where a COI may arise or exist and the risk level associated with the COI. The risk level determines the way in which the University will assess and consider the COI identified and declared by the staff member. (10) It is the responsibility of the staff member to identify any other situations not described in the table below which may constitute a COI and discuss this with their supervisor and/or HR Partner. (11) Where a staff member is unsure as to whether they have a COI at any time prior to or during their employment, they should seek advice from their supervisor and/or HR Partner. (12) Common examples of COI are: (13) As soon as a staff member becomes aware that they have a COI they should: (14) Members of University Committees must comply with Regulation 7.1(2) - Meetings. (15) Executive members are annually required to disclose to the Vice-Chancellor any COI via the Key Management Person Declaration of Private Interest form, and to advise the Vice-Chancellor directly of any COI as they may arise. (16) Where an associate of the University considers that they may have a COI with the duties they are undertaking for the University, they must immediately raise this with the person within the University who has engaged their services. The University contact will determine whether there is any COI in consultation with the General Counsel and will advise the associate of the action to be taken to resolve the COI. (17) Staff must declare a COI to their supervisor, where possible, prior to the COI arising and in all other circumstances as soon as practicable after becoming aware of it. (18) Where the declared COI is identified as low risk in accordance with this Procedure, the COI should be recorded in the staff member’s annual DeakinAchieve Plan and remain actively managed by the supervisor and the staff member. (19) Where the declared COI is identified as high risk in accordance with this Procedure or COI not listed in this Procedure (other than in accordance with clause 20 below) the staff member must complete the online Conflict of Interest Declaration and submit this to their supervisor for endorsement. The COI Management Plan must be developed by the staff member in consultation with and agreed to by the supervisor of the staff member. (20) Where the declared COI relates to the staff member’s existing or a potential position as a Company Director, CEO or Board Member of another organisation the staff member must complete the online Membership of a Company Board or Directorship Declaration and submit this to Executive Director, Human Resources or nominee for consideration by the Vice-Chancellor. (21) At any time the staff member, associate or supervisor may seek advice in relation to the COI from their Senior HR Business Partner/ HR Business Partner. The Senior HR Business Partner/ HR Business Partner, may liaise with the General Counsel, Internal Audit or any other area of the University as appropriate in relation to the disclosed COI. (22) Staff undertaking research have additional responsibilities under the Research Conduct policy and the Australian Code for the Responsible Conduct of Research, 2018 (the Code) to disclose all interests that are relevant or could appear to be relevant to their proposed or ongoing research. Staff should contact the Research Integrity Advisers for advice regarding disclosures relating the research. Staff must ensure that they act in accordance with the Research Conduct policy and the Code including incorporating any additional requirements in the Conflict of Interest Declaration where appropriate. (23) The COI Management Plan should identify actions to remove the existence of the COI or the staff member/s from situations where the COI exists. Examples of actions may include but are not limited to: (24) The management strategy must take into account a number of factors, including: (25) Where the COI cannot be removed, appropriate actions need to be included in the COI Management Plan to ensure the impartiality of decisions or actions by the staff member. Examples of checks and balances may include but are not limited to: (26) The COI Management Plan should include how the COI Management Plan will be reviewed and the regularity of the reviews. At a minimum, this must be recorded and discussed as part of the staff member’s DeakinAchieve Plan. (27) The supervisor must submit via the online portal the endorsed Conflict of Interest Declaration with the completed COI Management Plan to the Executive Director, Human Resources or nominee. (28) The Executive Director, Human Resources or nominee will review the Conflict of Interest Declaration and COI Management Plan and may do any of the following: (29) Following further consultation in accordance with clause 28, if satisfied that the COI Management Plan adequately protects the interest of the University, endorse the proposal or not endorse the proposed COI Management Plan and advise the supervisor and the staff member in writing of the reason/s for their decision. (30) If the Executive Director, Human Resources or nominee does not endorse the proposed COI Management Plan staff may request a review of the decision by the Vice-Chancellor or nominee. (31) If the Executive Director, Human Resources or nominee approves the Conflict of Interest Declaration, an approval notification will be emailed to the staff member and their supervisor. The original record will be retained by the HRD. (32) Staff are responsible for ensuring the COI Management Plan is implemented. (33) The supervisor will assist with the implementation and is required to manage and monitor the COI Management Plan, unless otherwise noted in the COI Management Plan. (34) Staff must obtain the approval of the Vice-Chancellor where they intend to be a member of a board or hold the office of director in a company (other than board positions identified in clause 12). (35) Staff must submit a Membership of a Company Board or Directorship Declaration to the Executive Director, Human Resources or nominee via the online portal. The application must contain the following details: (36) The Executive Director, Human Resources or nominee will review the application and assess it in terms of the interests of the University. The Executive Director, Human Resources or nominee may require additional information from the staff member or other relevant sources. Upon reviewing the application the Executive Director, Human Resources or nominee will make a recommendation to the Vice-Chancellor regarding whether the application is supported. (37) The Vice-Chancellor will consider the application and the recommendation of the Executive Director, Human Resources and will: (38) The Executive Director, Human Resources or nominee will advise the staff member and their supervisor in writing, including reasons for the decisions. (39) The Executive Director, Human Resources or nominee will establish and maintain a register of declared and approved COI for reporting purposes. (40) This register may be accessed and reviewed by relevant University functions such as Internal Audit, Risk and Compliance, the General Counsel or the Human Resources Division as required. At any time, the Executive Director, Human Resources may review any COI Management Plans to assess compliance. (41) New or existing COI’s must be recorded, reviewed and discussed as part of the staff member’s DeakinAchieve discussions. Whilst noting a COI in the DeakinAchieve Plan is important, staff must still comply with the declaration requirements in this Procedure. (42) Where the circumstances of the COI change, including where there is no longer a COI, the staff member must advise their supervisor. Changes to an existing COI require the staff member to submit a new Conflict of Interest Declaration for endorsement to their supervisor and obtain the relevant approvals. If the COI no longer exists, the staff member must request removal of the COI from the register via email. (43) Staff who fail to declare a COI or breach the requirement of a COI Management Plan may be subject to disciplinary action in accordance with the Staff Discipline policy and the Research Integrity Breaches procedure for conflicts involving research. (44) All staff and associates of the University must report to their supervisor any concerns they have in relation to a COI that they have knowledge of that relates to another staff member or associate. (45) A complainant seeking the statutory protections afforded by the Public Interest Disclosures Act 2012 (Vic) must take their complaint to the Independent Broad-based Anti-corruption Commission (IBAC). The University’s obligations in respect of a public interest disclosure are set out in the Public Interest Disclosures procedure. (46) For the purpose of this Procedure:Conflict of Interest procedure
Section 1 - Preamble
Section 2 - Purpose
Section 3 - Scope
Section 4 - Policy
Section 5 - Procedure
University expectations
Types of conflicts of interest
Areas where conflicts of interest can arise
Activities
Description
COI risk level
Personal relationship involving current or potential staff member
- the recruitment and appointment of a staff member (Refer to the Recruitment of Staff procedure)
- the supervision of the staff member
- the assessment in any other University process such as job evaluation, salary review, bonus awards, leave approvals, academic promotion, academic study leave etc.High
Personal relationships involving students (including higher degree by research (HDR) students)
- the supervision, teaching, assessment or being accountable for any decision in relation to any matter for a student
- accessing records of the students.High
Outside employment (full time staff)
A full time staff member may engage in outside employment where it is related to or required for professional accreditation.
Other than in exceptional circumstances, a full time staff member may not engage in any other type of outside work (other than approved memberships of Board or Directorships).High
Membership of a Board, Directorships and Shareholdings
High
Research and/or commercial activity
High
Financial Management
High
Administration
High
Outside employment (casual or part-time staff)
A casual or part-time staff member engaging in outside work where it does not impact their ability to perform their duties for the University or conflict with their University responsibilities.
Low
Gifts and Benefits
The receipt of gifts and/or benefits (Refer to the Gifts and Hospitality Acceptance policy).
Low/High (depending on the quantum of the gift and the relationship of the giver)
Honorary Appointments
Honorary Appointments at other Universities.
Low
Conjoint Appointments
Conjoint Appointments with the University.
Low
Identify and disclosure obligations
Staff
Universities Committees
Members of the Executive
Associates
Declaration and recording of a conflict of interest
Developing a COI Management Plan
Endorsement of the Conflict of Interest Declaration (non-Board appointments)
Implementation of the COI Management Plan
Endorsement of membership of company boards and directorship
Conflicts of interest Register
Review of conflicts of interest
Failure to declare a conflict of interest
Section 6 - Definitions
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Where a personal relationship exists staff must not be involved in:
Where a personal relationship exists the University will not permit staff to be employed in the same work area (other than in exceptional circumstances and as authorised under a COI Management Plan).
Where a personal relationship exists staff must not be involved in:
Holding a paid or unpaid position as a Company Director, CEO or Board Member of another organisation, including membership of another organisation that could stand to benefit from or be affected by Deakin research.
There is no requirement to declare a COI where the involvement of the staff member is in a company incorporated solely for the staff member’s family affairs or where the staff member is undertaking a role in a local not for profit community based organisation such as a sporting club or school
All interests that are relevant or could appear to be relevant to a proposed or ongoing research project including:
- Direct or indirect payments or other financial interests to the researcher
- Payment to support research, such as funding from an industry or interests group
- Personal relationships with research participants or collaborating researchers
- Recent employment with, or role in, organisations with financial links or affiliations with industry groups that could stand to benefit from or be affected by the research
- Commercialisation of research and/or start-up companies relating to a staff member’s research.
Financial management, including the exercise of financial delegations.
Travel (Refer to the Travel policy and Travel procedure).
Awarding of bonuses or contracts for services.
Procurement (Refer to the Procurement policy and Procurement procedure).
All student administration processes, including but not limited to awarding of scholarships, offers of enrolment, packing of examination papers, examination supervision and academic results.
Control of or access to privileged University information or resources.