(1) This document aims to outline conflict of interest issues in the University context with a view to generating increased awareness and understanding and to provide protection for both the organisation and the individuals concerned. It also provides standard procedures for declaring and managing conflicts of interest for use where no other formal procedure exists. (2) This document applies to staff, students and other representatives of the University, such as Adjunct appointments, charged with carrying out University activities and functions, and should be read in conjunction with the Code of Conduct which establishes the University's broad ethical framework and values, and other applicable University policies, procedures and guidelines. (3) For the purpose of this policy: (4) The University promotes, through the Code of Conduct and other policies, an environment that is values-based, founded on the principles of honesty, responsibility, fairness and accountability, to maintain the integrity of its decision-making processes. (5) Conflicts of interest may affect or have the appearance to affect sound and professional judgement adversely. Conflicts of interest or perceived conflicts of interest must be declared and managed to ensure integrity and transparency. (6) Staff members, students and other individuals who are charged with carrying out University activities and functions have a responsibility to declare and manage conflicts of interest as they arise. When declared, the conflict of interest should be avoided or where this is not possible, action must be undertaken to ensure that the conflict (or perceived conflict) is managed in a transparent and appropriate manner. (7) Staff members also have a responsibility to avoid activities or actions in relation to students that may impair objectivity, compromise academic standards, impede student development, or risk exploitation of the student, or that may be perceived to do so. (8) The appearance of unethical behaviour can be just as damaging as actual unethical activity. Perceived conflicts of interest can have a negative impact on staff morale and can undermine the ethical framework set by the Code of Conduct. Supervisors, managers, senior staff and the University Executive have a leading role in setting the benchmark for ethical behaviour and to ensure a culture of ethical conduct in all activities. (9) Individuals who are considered to have breached University requirements regarding the management of conflicts of interest, as set out in this document, the Code of Conduct, or other University policies or procedures, may be subject to disciplinary action. (10) All individuals are responsible for identifying, declaring and managing conflicts of interest that apply to them. (11) Supervisors, Chairs of committees/panels/groups and other responsible parties are accountable for ensuring that declared conflicts of interest, real or perceived, are evaluated and managed appropriately. They will discuss and develop a risk management strategy in consultation with the person making the declaration and any other parties as appropriate. (12) Declarations of conflict of interest should be made by individuals in writing to the relevant supervisor, chair of a committee/panel/group, other relevant person or body as soon as the conflict is identified. Where circumstances prevent an immediate written declaration (e.g. conflict arises during a meeting), a verbal declaration should be lodged and, if possible, formally noted (e.g. in minutes of the meeting). (13) Where the conflict of interest relates to research, the declaration should also be made to the Integrity in Research Committee. (14) Where a supervisor, chair of a committee/panel/group, other relevant person or body becomes aware of a conflict of interest (or perceived conflict of interest) that has not been declared they should discuss the matter with the individual and if appropriate put in place a risk management strategy. (15) Where circumstances affecting a declared conflict of interest change, any declarations should be amended accordingly, and where appropriate, the risk management strategy revised. (16) Where a conflict of interest relates to an ongoing matter, the strategy chosen for its management must be reviewed at regular intervals to ensure it remains appropriate. (17) Declaration of conflicts of interest should be a formal item on University committee agendas as a prompt. (18) Just because a conflict of interest exists it doesn't mean that something improper will automatically occur. Conflicts of interest can be properly managed without detriment to the integrity of the process or for those involved. Issues can arise when a conflict of interest is not openly acknowledged or managed appropriately. (19) The best way in which to handle a conflict of interest is to avoid it. Where it is not possible to avoid a conflict of interest, a risk management strategy should be adopted. Depending on the circumstance a range of risk management strategies can be implemented, including: (20) Additional advice on managing conflicts of interest, depending on the issue at hand, can be sought from the: (21) Conflicts of interest are often obvious but where there is uncertainty on whether a conflict of interest exists, parties should: (22) Part D of the University's Code of Conduct provides a simple ethics test that can be applied in many circumstances to determine whether a conflict of interest exists. (23) At times, a conflict of interest may not be recognised because it is a relatively minor matter. A minor matter that occurs frequently, however, may become substantial. Regardless of how minor a conflict of interest may seem, it is important to maintain an ethical approach in all circumstances. (24) The timing and nature of declaring a conflict of interest depends on the circumstances. For example if you are involved in the development of the specifications for a tender in which an individual with whom you have a personal relationship or a company in which you have a personal interest could submit a tender, your declaration of a conflict of interest should be early in the process. (25) The following examples are provided to develop a better understanding of the nature of conflicts of interest so that individuals will be able to recognise conflicts when they arise and take appropriate action in regard to their management. (26) Conflicts of interest may arise when a staff member has or enters into a dual-role relationship with a student or students. A dual-role relationship exists where staff have a personal relationship or private interest involving a student or students. (27) Where a staff member has a personal relationship (as defined in this policy) with a student the following activities will almost certainly represent a conflict of interest: (28) Whilst it is appropriate for staff members to establish good rapport with students, staff members should avoid actions or activities that may lead to the perception of favouritism or unfairness. Examples include: (29) Offering or providing private tuition for UWS students, whether or not for financial gain, is a direct conflict of interest and it is prohibited by the External Work Policy. (30) The University's Teaching and Learning - Fundamental Code provides additional information and guidance about responsibilities between staff and students in the academic context. (31) The giving and receiving of gifts and/or benefits is potentially problematic and should be handled in accordance with the University's Gift and Benefit Acceptance and Management Policy. (32) A conflict of interest issue can arise in the context of staff undertaking other work in addition to their substantive role with the University because such work may compete with or be incompatible with the University's activities. As a result it is important that all parties manage external work and additional work in accordance with the relevant provisions of the Academic Staff Agreement 2009 - 2012 or General Staff Agreement 2009 - 2012 and the External Work and Additional Work policies . (33) As a major regional employer it is not uncommon for employees to have personal relationships with other employees, members of the public or local businesses. Given the nature of academic work and research, personal relationships among staff members in the same field are also not uncommon. Conflicts of interest arise where these relationships intersect with official duties. (34) In terms of human resource management, problematic areas that represent conflicts of interest that should be declared and managed include: (35) Employment of a individual who has a personal relationship with a current staff member warrants careful attention. Alternative supervision and reporting arrangements should be put in place where the parties are working in the same area. However, it is essential that the alternative arrangements are truly independent and are not fettered by real or perceived influence. So for instance, it would be highly undesirable for the alternative supervisor to be directly subordinate to the person with whom the new employee has a personal relationship. In small units these arrangements will need careful consideration and should be avoided unless there is a specific professional need for both parties to work in the same area. (36) The more senior the staff member the more distance should be between them and the location of the intended appointee and their supervisor. There should not be the possibility of perception that a person has been employed or received an opportunity to be employed, either on a casual or permanent basis, because of a personal relationship with a staff member at the University. (37) Advice may be sought from the Office of Human Resources regarding alternative arrangements in order to remove conflicts of interest regarding employment matters. (38) In terms of financial transactions, conflicts of interest occur where a benefit or bias, or the appearance of such, results from a decision because of an individual's private interests or a personal relationship with parties involved. (39) A conflict of interest also extends to using the University's credit, purchasing power or facilities for purchasing goods and services, or for using University property for personal gain. At all times, staff with financial responsibilities should seek value for money for the University and should not undertake any financial transactions that may be fraudulent. (40) Examples of where conflicts of interest may occur include: (41) Advice may be sought from the Finance Office regarding conflicts of interest in financial transactions. (42) Conflicts of interest in research are dealt with under well-documented procedures for ethical conduct related to research. Reference should be made to the University's Research Code of Practice and the resources listed under the Associated Information of that Code. (43) Conflicts of interest may occur in research candidate supervision. In addition to examples outlined in Clauses 26-29, examples of research candidate supervision-related conflicts of interest include: (44) Advice may be sought from the Office of Research Services or the Integrity in Research Committee on potential conflicts of interest in relation to research or research supervision matters. (45) University staff commonly have involvements with external organisations that result in dualities of interest or obligation with respect to the University and the other organisation. Typically these involvements are important complements to the staff member's role with the University. Some typical examples are: (46) In these situations the staff member has obligations to both organisations and occasionally conflicts of interest may emerge on issues and as such, disclosure of the conflict of interest is required. In most cases the conflict of interest may be managed but, depending on the circumstances, may need to be dealt with through withdrawal from involvement in the issue of concern. In circumstances of ongoing conflict situations, re-consideration of continuance in both roles will be needed. (47) Where staff have business and/or professional interests, whether paid or unpaid, separate to their role at the University, it is important that these do not conflict with their University employment. The External Work Policy deals with the process for declaring and managing these situations. (48) The concept of conflict of interest can also extend to situations where an individual has outside interests or political or religious views that could affect how they carry out their responsibilities with the University. It is inappropriate for a staff member to place requirements on students related to particular beliefs of the staff member or to give favourable (or unfavourable) treatment to individuals based on personal beliefs or convictions. For example introducing a course requirement that students participate in a political movement advocated by an academic staff member. (49) It is also inappropriate to treat students and other staff differently because of an outside interest or political or religious view. Unlawful discrimination is defined in legislation and University policy. (50) During the course of their work with UWS, staff will have access to personal information. Staff should only access and use information that they need to undertake their duties. Access and use of personal information is covered by privacy law and the University's Privacy Policy. A direct conflict of interest results where staff use any information that they have access to regarding the business operations of the University for personal reasons.Conflict of Interest Guidelines
Section 1 - Purpose and Context
Section 2 - Definitions
Top of Page
Section 3 - Policy Statement
Section 4 - Procedures
Section 5 - Guidelines
Part A - Managing a Conflict of Interest
Part B - Identifying a Conflict of Interest
Timing of a declaration
Part C - Examples of Conflicts of Interest
Relationships with Students
Gifts and Benefits
External or Additional Work
Employment Matters
Financial Transactions
Research
Dual Interests
Business and Professional Interests
Personal Beliefs
Access to Personal Records and Information
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