• Section 1 - Purpose and Context
• Section 2 - University Requirements 
• Section 3 - Visual Workflows
• Section 4 - Guidelines to Requirements
• Part A - Restricting 
• Part B - Awareness
• Types
• Situations 
• Duties Involving Students  
• Duties Involving other University Staff
• Duties Involving Hiring/Recruiting
• Duties Involving Financial and Purchasing Transactions
• Duties Involving Research
• Duties Involving the University Board of Trustees or Board Committees
• Part C - Declaring
• Part D - Assessing Conflicts of Interest, Gifts, and Benefits
• Executives, Board members, Board Committee members
• All Other University Representatives
• Part E - Recording on the Integrity Reporting Register 

Section 1 - Purpose and Context

(1) These guidelines outline how to implement the process of declaring and managing conflicts of interest, gifts, and benefits at Western Sydney University. 

(2) For the purpose of these guidelines, the policy statement and the definitions that apply can be found in the Integrity Reporting Policy (Conflicts of Interest, Gifts, Benefits)(currently the Integrity Compliance and Reporting Policy (Conflicts of Interest, Gifts, Benefits)). 

Section 2 - University Requirements 

(3) All University Representatives must abide by the following requirements when declaring and managing conflicts of interests, gifts, and benefits:

1. Restricting conflicts of interest, gifts, and benefits from arising. This should be considered in context to the Representative’s:
   1. functions and responsibilities, and
   2. conduct. 
2. Awareness of the types of conflicts of interest, gifts, and benefits that exist and/or can arise, and how to manage them. This includes being aware that:
   1. conflicts of interests can be perceived, potential, or actual,
   2. gifts and/or benefits can be ones provided in gratitude, for influence, as token, or as official, and
   3. the types of situations that commonly give rise such as particular relationships, financial affiliations, and undertaking multiple roles.   
3. Declaring conflicts of interest, gifts, and benefits. Declarations should occur as soon as the Representative becomes aware of its existence/offer to the relevant managing authority. 
4. Assessing conflicts of interest, gifts, and benefits. This includes:
   1. implementing the appropriate risk mitigation strategies designed to manage the conflict of interest and minimise its risk, and
   2. deciding whether to accept, refuse, or accept and dispose of/non-use of a gift and/or benefit.
5. Recording conflicts of interest details on the Integrity Reporting Register (Register). This should be completed no later than 5 days after the initial declaration.  

Section 3 - Visual Workflows

(4) Refer to the following visual workflows:

1. Keeping Conflict of Interest on Your Radar
2. Gifts and Benefits – Making the Right Decision

Section 4 - Guidelines to Requirements

Part A - Restricting 

(5) University Representatives can restrict acts/activities by: 

1. Considering your functions and responsibilities, as it relates to your conduct at the University.  
   1. Example 1: While it is appropriate for a Representative to establish good rapport with a staff member whom the Representative manages, the Representative should not enter into a relationship with that staff member while the Representative is still managing that staff member. 
   2. Example 2: While a Representative may feel like they are on friendly terms with someone offering a gift and/or benefit, especially when in a financial relationship with them, the Representative should recuse themselves from any decision-making processes that involves that individual or organisation. 
2. Considering your conduct, as it relates to your official duties, functions, or responsibilities at the University.  
   1. Example 1: While there are social events that both students and academic staff both attend, an academic should not excessively socialise outside of class with a student or student whom the academic teaches or supervises.  
   2. Example 2: Employees should avoid situations where personal relationships might overlap with professional duties, as this can make it more difficult to resist gifts and/or benefits. 
3. Further examples of activities in which Representatives are to restrict or avoid making decisions or involving themselves: 
   1. Accessing University resources, records, and other private information outside the normal scope of duties or for personal use or on the behalf of someone else who is not authorised or when the Representative is not authorised. 
   2. Allowing access to someone who is unauthorised to that accesses, for example, do not allow students to use staff computers and offices, or direct reports to use manager log-ins.  
   3. Giving the impression of endorsement or sponsorship by the University to external individuals or organisations without adequate permissions.  
   4. Using resources or results of work done by the other people at the University, and for the University, for personal use without adequate permissions.  
   5. Giving, seeking, or receiving gifts, benefits, bribes, financial incentives, or discount on goods and/or services from an organisation or individual for personal use or on the basis of being able to secure future University business or an unfair advantage for the organisation or individual involved.   
   6. Giving favourable (or unfavourable) treatment to individuals based on personal (social, political, religious) beliefs, views, or convictions. This is unlawful discrimination, which is defined in legislation and University policy that state a person may not be discriminated because of their religious or political affiliations, views, or beliefs. 
   7. Undertaking other work in addition to their official duties with the University that competes with or is incompatible with the University's activities. External work and additional work is handled by the relevant provisions of the current Academic Staff Agreement or current Professional Staff Agreement, and the External Work Policy.  

Part B - Awareness

(6) Conflicts of interest, and being offered a gift and/or benefit are not wrong in themselves. Any conflict of interest, gift, or benefit should be properly identified and declared, and effectively and transparently managed.

1. Remember: Having a rapport with individuals and/or organisations is normal and sometimes expected in some industries due to its size and/or speciality (for example, Research). Only interests, gifts, and benefits, where a reasonable person would assume that a University employee or other person engaged in University business stands to gain an advantage, or suffer a disadvantage, if he or she does not properly manage, must be declared, recorded on the Register and mitigated appropriately.  
2. Remember: Having a conflict of interest or being offered a gift and/or benefit is not necessarily negative or adverse; it is the risk mitigation of that conflict of interest and the acceptance/refusal of that gift and/or benefit that is the most important. If risk mitigation is not relevant and/or appropriate, it can adversely affect the University.   

Types

(7) All Representatives must be aware that conflicts of interest can be: 

1. Actual (or direct) conflicts of interest are situations where the Representative can be (or is currently) influenced by the interest when performing their official duties for the University.   
   1. For example: A Representative who regularly procures IT equipment, and sits on decision-making panels in regards to suppliers, is a shareholder in a company that is involved in a tender process to become a supplier of IT equipment to the University has an actual conflict of interest.   
2. Perceived (or apparent) conflicts of interest are situations where the Representative appears to be influenced by the interest when performing their official duties for the University.  
   1. For example: A Representative is a Faculty Manager whose family member owns a company that provides equipment to the University that is used by the Faculty. Even though the Representative does not make any decisions in regards to the goods and services provided by the company, it can be perceived at an arm’s length that there is a conflict of interest.  
3. Potential conflicts of interest are situations where there is a reasonable possibility that Representative will (or may) in the future be, but is not, influenced by the interest when performing their official duties for the University.   
   1. For example: A Representative is managing a research project, and her husband is interviewing for a job as a senior manager of the company who is providing funding to the research project. There is no actual or perceived conflict of interest as the husband is not yet employed by the funding company, however if he were to be offered or accept the position, there would be a direct conflict of interest.  

(8) All Representatives must be aware that gifts and/or benefits can be items, services, or experiences in the form of gifts of gratitude, hospitality, or influence, and token, ceremonial, or official gifts.

Situations 

(9) Representatives must also be aware of situations where conflicts of interests or provision of gifts and/or benefits commonly occur in the duties involving:   

1. students
2. other University staff  
3. recruitment
4. financial and purchasing transactions   
5. research
6. Board of Trustees (Board) and Board Committees.  

Duties Involving Students  

(10) Representatives should restrict their conduct by not: 

1. attempting to influence an application for admission for a student with whom the Representative has a close personal relationship;   
2. placing program requirements on students related to particular beliefs (i.e. contesting particular political movements) of the Representative;
3. accessing personal or sensitive information without legitimate business requirements and
   authorised access.

(11) Conflicts of interest occur where a Representative has a personal relationship or another private interest with a student, and the Representative must perform duties that include:  

1. teaching, marking, or assessing work of that student  
2. undertaking administrative tasks, for example, registering or accepting assessment items, processing results, or invigilating exams for that student  
3. recommending or approving allocation of resources, such as approving travel or the awarding of a prize or scholarship for that student  
4. participating in a process for alternative entry, for example, an interview, or recommending or approving the outcome of such a process for that student
5. participating in misconduct or disciplinary proceedings for that student; or  any other situation, act, decision, or advice that would give rise to a conflict of interest 
6. External Work: Certain external work is prohibited under the External Work Policy as it represents a conflict of interest, such as:  
   1. Offering or providing private tuition or sharing professional expertise to University students, whether or not for financial gain or if the Representative has a personal relationship or a private interest with the student.  
7. Honorary appointments: Representatives who hold honorary appointments with another university may also be a conflict of interest, depending on the circumstances.  

(12) Gifts and/or benefits from a student should not be accepted and used at any time prior to assessing or making a decision on a student.  

Duties Involving other University Staff

(13) Representatives should restrict their conduct by not colluding with other University staff that may benefit them or you personally, or be detrimental to others. 

(14) Conflicts of interest occur where a Representative has a personal relationship or another private interest with another staff member, and the Representative must perform duties that involve:  

1. recommending or approving development opportunities, providing references, funding, travel, or the allocation of resources for the staff member 
2. conducting performance appraisals of the staff member  
3. participating in disciplinary proceedings, is a member of an investigation committee as the approving officer, or is charged with carrying out resultant actions (punitive or non-punitive) with the staff member that can either be a complainant or respondent   
4. approving payments, timesheets, contracts, or other transactions pertaining to that staff member. 

(15) Gifts and/or benefits from other University staff should not be accepted and used at any time prior to assessing or making a decision about them. 

Duties Involving Hiring/Recruiting

(16) Representatives should restrict their conduct by not: 

1. recruiting a known candidate before the formal interview process  
2. providing references and/or recommendations for an individual who is being considered by a direct report of yours. 

(17) Conflicts of interest occur where a Representative has a personal relationship or another private interest with an individual applying for a position at the University, and the Representative must perform duties that involve:  

1. participating in the selection process of which the individual is the subject. This includes being a member of a recruitment committee, promotions committee, or as an approving officer. 

(18) Gifts and/or benefits from individuals involved in a hiring / recruiting process related to you or your team should not be accepted and used at any time. 

Duties Involving Financial and Purchasing Transactions

(19) Representatives should restrict their conduct by not undertaking any financial or business transactions that may be fraudulent, and always seek value for money for the University.

(20) Conflicts of interest occur where a Representative has a private interest in an external organisation or a personal relationship with someone involved in the organisation, and the Representative performs duties that include:  

1. participating in purchasing or tender processes, or contractual arrangements involving that organisation  
2. advocating or lobbying for the goods or services of that organisation
3. assessing, recommending, or approving of the University entering into a commercial agreement with that organisation, or  
4. any other situation, act, decision, or advice that would give rise to a conflict of interest.  

(21) Conflicts of interest occur in financial situations even where there is no private interest to another party, but there is a personal benefit or gain, such as:  

1. travelling at the University's expense for University business where the Representative is also able to visit individuals or partake in activities not connected to the primary University business  
2. approving payments, timesheets, contracts, or other transactions for themselves
3. using the University’s credit, purchasing power or facilities for purchasing goods and services, or using University property for personal gain.  

(22) Gifts and/or benefits that are cash or have an equivalent or discernible monetary value should not be accepted and used at any time. 

Duties Involving Research

(23) The University's Responsible Conduct of Research Policy deals more in depth about the types of conflicts of interest that exist in research or research supervision matters, and advice may be sought from the Research Services. There may be further direction from the Australian Research Council. Below are some examples of conflicts of interest that may occur in research:  

1. an investigator or research candidate having a private interest in an organisation providing funding support to the research project or to the candidate, such as a grant or scholarship
2. participating in a teaching or assessment panel or committee, for example, a supervisory panel or employment panel for a candidate with whom there is a personal relationship  
3. examining a thesis for a candidate with whom there is a personal relationship, or where there is a personal relationship with a supervisor
4. situations where a personal relationship exists between two or more members of a supervisory panel  
5. participating in the board or decision-making authority of a company that provides the funding or donation or resources   
6. receiving philanthropic donations, sponsorship, or scholarship funding by requesting admissions for their relatives, or by favouring a particular research outcome  
7. using the University information or resources for personal use or private interest, for example, medical researchers using medicines or equipment of the University in their private practice.  

(24) Gifts and/or benefits from a research partnership or collaboration or an organisation or person that has an interest in the research project should not be accepted and used at any time prior to or during a research project. 

Duties Involving the University Board of Trustees or Board Committees

(25) Advice may be sought from the Office of General Counsel and University Secretary in relation to conflicts of interest involving University Board and Board Committee duties. Below are some examples of common conflicts of interest:  

1. University Director or Board or Board Committee member holding a Director or Board member position of another controlled entity, Joint Venture, or external body of the University.  
2. University Director or Board or Board Committee member is a government official in an agency which has responsibility for some aspect of policy affecting the University. 

Part C - Declaring

(26) All University representatives must declare conflicts of interest as soon as they become aware of its existence, or at the very least before: 

1. appointment to boards or committees of the University 
2. participating on a decision-making panel or a decision-making process, including recruitment selection panels 
3. undertaking official duties on behalf of the University.

(27) All University Representatives must declare to a relevant managing authority, such as: 

1. their manager/supervisor 
2. a senior manager 
3. Chair/Convenor of a committee, panel or group 
4. the project manager
5. Director of your managing area

1. in-person meetings, including via electronic means or via telephone 
2. written and electronic correspondence, including email.

(28) Managing authorities must ensure Representatives have the opportunity to declare conflicts of interest by: 

1. enquiring at the start of any meetings 
2. enquiring before an official duty commences 
3. requesting the representative to positively confirm they have no conflicts of interest to declare before a contract, project, or tender process commences.

(29) A declaration does not need to be made for multiple conflicts of interest if there is an overarching conflict of interest.

1. For example: The Chair of an Appeals Committee that considers more than one student matter, also sits on the Board of Trustees. If those student matters come before the Board, the Chair of that Appeals Committee will need to be recused from any decision making for all of the students, however only one overarching declaration needs to be made on the Central Register that the conflict is for multiple students.  

Part D - Assessing Conflicts of Interest, Gifts, and Benefits

Executives, Board members, Board Committee members

(30) All Research Ethics Committee members that are Executives, Board Members, Board Committee members, and Research Committee members can immediately announce and adopt a risk mitigation strategy to manage the declared conflict. 

All Other University Representatives

(31) All other University representatives must assess the conflict of interest in consultation with the managing authority to develop appropriate and relevant risk mitigation strategies designed to manage the conflict and minimise its risk. 

(32) University representatives may propose risk mitigation strategies, but the managing authority must confirm agreement with the proposal. 

(33) Assessments of declared conflicts of interest must be conducted as soon as practicable (recommended no later than five calendar days after a declaration is made).

(34) The risk mitigation strategy must be implemented immediately or as soon as practicable in order to not compound the risk associated with the conflict of interest, and to not unreasonably delay the University's activities and/or operations to which the conflict pertains.

(35) All risk mitigation strategies assessed at meetings should be notated in the meeting minutes and/or file notes if practical. 

Part E - Recording on the Integrity Reporting Register 

(36) All declarations must be recorded on the Register as soon as practicable (recommended to be within five calendar days of its declaration).

(37) All University representatives making the declaration are required to record the associated assessment decisions.