Conflict of interest

Student related activities

• As a staff member you must not be involved in the following types of activities concerning students with whom you are, or have been, in a close personal relationship:
  • selection for any undergraduate or postgraduate course offered by the University
  • assessment
  • recording of results and grades
  • selection for any prizes or scholarships (or other funds, including travel assistance)
  • honours supervision
  • supervision of a graduate student
  • decision-making processes regarding academic progress and preclusion
  • compliants procedures, appeals and disciplinary matters
  • other decision-making processes where a potential for conflict exists

• If a student related to you or with whom you have some other type of close personal relationship enrols in a class you teach in, you should declare this relationship and ensure you have no involvement in assessment or any other activity where a decision is made about that student.  The extent of relationship or connection may become a matter of judgement.  For example, if the student is a child of a close friend you should discuss the matter with your supervisor and decide what course of action is appropriate.  In such a case, disclosure is advisable to ensure transparency even if no further action is deemed necessary.

Peer related activities

• If you have, or have had, a close personal relationship with a fellow staff member in your work area, this fact should be declared to your supervisor and you must not become involved in any decision-making process related to that staff member e.g recruitment, conditions of employment, performance management, promotion, academic status, grievance, misconduct or disciplinary matters.
• You must not be involved in a determination about an award (e.g. teaching award) or other form of recognition if a fellow staff member with whom you have a close personal relationship with is under consideration for the award.
• You must not undertake a peer assessment (including peer review of an article submitted for publication) activity in relation to a person with whom you have a close personal relationship.

Research related activities

• Researchers must not be involved in the following types of activities if a person with whom they have a close personal relationship could be affected by the outcome of the decision-making process, or if they themselves would benefit from a particular outcome of the decision making process:
  • allocation of grant funds (including peer review of applications)
  • granting of ethics approval
  • breach of research integrity processes
  • other decision-making processes where a potential for conflict exists
• If you are a member of a panel or committee responsible for allocating research funds you must make a declaration if a potential recipient of those funds is someone with whom you have a close personal relationship.  Declaration may be deemed sufficient to ensure transparency and mitigate the risk of biased decision making.  Alternatively you may be required to withdraw from that role.

Finance/procurement related activities

• If you have a close personal relationship with a University supplier or potential supplier you must not be involved in any tender or other procurement process involving that supplier.
• You must not approve a payment to a supplier with whom you have a close personal relationship.
• Where two staff members have a close personal relationship to each other they must not both be able to approve a financial transaction that requires dual approval.

HR related activities

• You must not supervise a person with whom you have a close personal relationship.  Staff members who have a close personal relationship to each other and who work in the same area should disclose the nature of the relationship to their supervisor.
• You must not be involved in a recruitment or promotion process in which a person with whom you have a close personal relationship is being considered for appointment or promotion, or where you have authority to make the appointment decision.  The extent of relationship or connection may become a matter of judgement.  For example, if the applicant is a child of a close friend you should discuss the matter with the Chair of the selection/promotion committee and decide what course of action is appropriate.  In such a case, declaration is advisable to ensure transparency even if no further action is deemed necessary.
• You must not be involved in any process related to alleged misconduct concerning a person with whom you have a close personal relationship.

• If your financial interests, or those of someone with whom you have a close personal relationship, would be affected by the outcome of a tender or procurement process (either positively or negatively) you must not be involved in that process.
• You must not authorise a payment to a supplier if you have a financial interest associated with that supplier.  Nor should a staff member you supervise authorise the payment.
• Researchers must not be involved in a decision-making process relating to the selection of a contractor to conduct research if they have a financial or other interest in a company being considered, or they would benefit by a particular outcome of the decision making process.
• Researchers must declare any financial relationship they have with a sponsor of research or a company that would be impacted (positively or negatively) by the findings of the research being conducted.  The conduct and outcomes of the research must be independent of the interests of the research sponsor.  Judgement will need to be exercised as to whether declaration is sufficient or whether further action, such as not participating in the research, is warranted.

• You must declare any of the following arising from foreign interactions;
  
  • any foreign financial support (cash or kind) for research and/or any other University-related activities
  • current and past associations or affiliations with a foreign-sponsored talent program
  • current associations or affiliations with any foreign university, government, political party, state-owned enterprise, military and/or police organisation.

• Outside employment must only be undertaken in accordance with the University’s Outside Professional Activities Policy and you must ensure that:
  • the time spent on non-University activities does not compromise your capacity to meet your employment obligations to the University, and
  • there is no conflict between your different roles that would compromise your duty to the University – this includes not disclosing any confidential information except with the consent of the University, not using the University’s name or resources for private or third-party gain, and not taking any action that would have an adverse effect on the University’s interests.
• You must declare any employment other than with or for the University, and any prior employment relationship that might be perceived to represent a conflict of interest in relation to your University employment.

• You must declare any academic or other affliliation or status with any other University or education institution
• You must declare any membership or association with an outside organisation that might cause, or be perceived to cause, a conflict with your duties and obligations as a University employee.  Examples include directorships (both commercial and not for profit), or association with an organisation that has a relationship with the University and where you might have the capacity to influence the nature of this relationship.

The following guidance relates to accepting or providing gifts and benefits from/to third parties to staff in their capacity as an employee of the University (as opposed to gifts, donations and bequests that are accepted on behalf of the University).  In some cases a supervisor may require that a gift to an individual is treated as a gift to the University rather than being retained by the staff member. 

Gifts include the following:

• general gifts, e.g. flowers, wine, chocolates, gift baskets, small token items;
• corporate merchandise;
• promotional products, samples etc;
• souvenirs;
• hospitality, e.g. dinners, theatre tickets, sporting events;
• attendance at sponsored corporate events, including travel and accommodation; and
• other travel if paid for by a third party and is not of the type described in the paragraph below.

Not all travel is considered a gift for the purposes of requiring declaration and approval.  Examples of travel that is not considered a gift include: when the travel is funded as part of a research grant or is paid for by another university/organisation for work falling within the staff member’s normal teaching, research or other employment duties; travel awarded as a prize for academic achievement; travel associated with presentation at a conference of an academic or other professional group where there is an independent conference organising committee and the presentation relates to the staff member’s University employment. 

It is customary in some industries to give gifts or offer invitations to events, particularly during the festive season.  These must not be accepted if doing so would create a perceived conflict of interest.  When such gifts are accepted, either because no perception of conflict would arise or because it would be inappropriate to refuse, staff should consider sharing them amongst the office group where possible.  Providing or accepting of such gifts must be delcared via the registration form when the value exceeds $50, and pre-approved if the value is $250 or more or, in the case of gifts of a lower value, where the gift recipient opts to do so in the interests of transparency.

Guiding principles

• Staff must not solicit, offer or accept a gift and/or benefit (regardless of its value) that could reasonably be perceived as having been provided with the intent of influencing the staff member in carrying out their duties to the University.
• In assessing the ethics of accepting gifts or benefits staff should consider the nature, value, frequency and the purpose of the gift and/or benefit that is being offered.
• There will be cases where judgement needs to be exercised but in any case where doubt exists as to whether there might be a perception of conflict of interest in providing/accepting the gift/benefit it should not be provided/accepted.
• Context is important.  For example, accepting a gift from a student at the completion of their studies is much less likely to be perceived as a conflict than accepting a gift during the period that work is being assessed or a gift from a student’s family during an admissions process.
• It is acknowledged that, in some circumstances, it may cause offence to refuse a gift.  However, if there is any concern that accepting the gift could lead to a perception of a conflict of interest, the staff member must declare this acceptance, and seek pre-approval if the estimated value or the gift is $250 or over. 
• A gift of cash or the equivalent of cash (e.g. gift vouchers, cheques, travellers’ cheques, direct deposits to a bank account) must never be accepted.
• A gift must not be accepted during a procurement process by any staff member involved in determining or influencing the outcome of that process (this includes requests for quotations as well as tender processes).
• Staff must not accept gifts from or on behalf of individuals or organisations involved in an application for enrolment or employment.
• Whilst staff are able to accept gifts valued at less than $250 without supervisor approval, staff may still opt to declare such gifts in the interests of transparency. Any gift or benefit accepted or provided that exceeds $50 in value must be declared.

Public comment

• You have a right to express views as private citizens but there must be no inference made in such cases that the views are being expressed on behalf of the University.

Commercialisation/Intellectual Property

• You must not seek to gain personal advantage from knowledge acquired through employment at the University, except via the University’s policies and procedures relating to intellectual property and commercialisation

See example of Conflict of Interest Management Strategies for further guidance