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Conflicts of Interest Disclosure Policy

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Purpose | Scope | Principles | Policy statements | Roles and responsibilities | Definitions | Approval information | Version history | References

Related document

Declaration of interest form (SharePoint)

1. Purpose

1.1 UTS is committed to maintaining a culture of integrity and transparency, requiring all staff and affiliates to identify, disclose and manage conflicts of interest. The Conflicts of Interest Disclosure Policy (the policy) supports the Code of Conduct by:

  1. defining conflicts of interest
  2. outlining how to identify conflicts of interest
  3. specifying the requirements for disclosing conflicts of interest, and 
  4. providing guidance for managing conflicts of interest. 

2. Scope

2.1 This policy applies to all staff and affiliates (hereafter staff) performing any function or activity for, or on behalf of, UTS, in Australia or overseas. 

2.2 Members of UTS Council and its committees must follow the process outlined in the Governance Overview Handbook (SharePoint). UTS maintains a register of conflicts that arise at UTS committees.

2.3 Graduate research students with a conflict of interest must raise this with their supervisor or with the Graduate Research School (refer Graduate Research and Supervision Policy).

2.4 Other students who identify an actual, perceived or potential conflict of interest should raise this via the Student Complaints Policy.

3. Principles

3.1 UTS is committed to responsible, transformative leadership. Staff must lead with integrity by: 

  1. acting in the best interests of UTS and the UTS community
  2. using authority and position honestly, transparently and responsibly 
  3. recording all decisions in line with the Records Management Policy, and 
  4. acting, at all times, in accordance with the university’s expectations of personal and professional behaviour.

3.2 UTS is committed to responsible leadership and seeks to ensure the UTS community is ethical and transparent in its actions and decision-making.

3.3 External parties are encouraged to disclose actual, perceived or potential conflicts of interest, noting that UTS may receive multiple disclosures identifying and disclosing the same interest. 

3.4 UTS acknowledges that conflicts of interest may arise while undertaking normal university work or duties. Identifying conflicts of interest is appropriate and proper in maintaining individual and institutional integrity. In all circumstances conflicts of interest must be disclosed, assessed and managed.

4. Policy statements

What is a conflict of interest?

4.1 A conflict of interest means a conflict between the personal or professional interests of an individual (or their duties to another person) and their work, duties, activities, responsibilities or functions at UTS. Such conflicts:

  1. can be actual, perceived or potential 
  2. can directly or indirectly compromise the performance of an individual’s work, duties, responsibilities or functions 
  3. can directly or indirectly influence decision-making, and 
  4. must be identified and managed in line with this policy to ensure integrity of processes and decision-making as part of UTS’s governance and risk management requirements. 

4.2 It may not always be clear whether a conflict exists. For this reason, UTS recognises actual, perceived and potential conflicts of interest as follows: 

  1. actual conflicts of interest involve a clear and direct conflict between current work, responsibilities, duties or functions and existing private interests or other work responsibilities
  2. perceived conflicts of interest occur where it could reasonably be concluded that an appearance or perception that private interests or work responsibility could improperly influence the performance of work, responsibilities, duties or functions, and 
  3. potential conflicts of interest occur where there is a possibility that private interests or work responsibility could conflict with professional interests, whether or not this is currently the case.

4.3 Support and guidance in identifying conflicts of interest is available from the relevant People Business Partner, the Legal Unit, the Director, Risk, the Research Office, the Graduate Research School, the Deputy Director, Corporate Governance or the University Secretary as appropriate.

4.4 In line with the Australian Code for the Responsible Conduct of Research, UTS recognises that a conflict of interest does not, in itself, imply improper motivation or individual wrongdoing. However, it is a requirement that conflicts of interest are properly identified, disclosed and appropriately managed. 

Identifying conflicts of interest

4.5 Table 4.5 provides examples to help identify actual, perceived or potential conflicts of interest. It is recognised that a conflict of interest may conform to more than one example or have the potential to cut across multiple examples. 

Table 4.5: Identifying conflicts of interest

Conflict typeExample 
Private and professional interests

Private and professional conflicts of interest may be financial, non-financial, business interests, outside work, directorships or other office holdings, which may produce conflicting interests or obligations. Private and professional interests may be held by staff or their close associates (for example, their family or friends). 

Private or professional interests may include a situation where a: 

  • person (or their close associate) has a financial stake, shares, interest or involvement in an external company (entity or organisation) and may be in a position (actual, perceived or potential) to influence contracts, collaborations, decisions or other interactions between that company and UTS
  • professional or personal advantage may be gained due to access to information from their role (or the role of a close associate) at either UTS or the external entity that may be beneficial to the other
  • professional or personal advantage may be gained due to an incumbency in role or position that may be beneficial to a future role or substantive role or position 
  • person engages in paid and unpaid work outside UTS (refer Outside Work Policy) and this work could adversely affect their work, responsibilities, duties or functions for UTS or give rise to a conflict or potential conflict of interest, or 
  • person (or their close associate) has an affiliation, or other relationship, with an external company, entity or organisation located in Australia or overseas that may result in external influence on their teaching, research or decision-making. While this may not present an actual conflict immediately under the current suite of responsibilities, the possibility that an actual conflict may arise, or the perception that this is a conflict by an outside source, means that this must be declared. 
Personal interests 

Conflicts of interest may arise where there is a conflict between a personal (family or close friend, sexual or romantic) relationship and university responsibilities (refer Equity, Inclusion and Respect Policy). 

For example: 

  • where a person works with family members or other people with whom they have a close relationship (positive or negative) and acts in a supervisory or reporting role to that person 
  • when a person is involved in a decision relating to the selection, appointment, promotion, supervision or performance management of another staff member or affiliate with whom they have (or had) a personal, sexual or romantic relationship that may compromise the ability of that person to be objective or impartial
  • where a person is responsible for supervising, teaching and/or assessing a student with whom they have (or had) a personal, sexual or romantic relationship that compromises the person’s responsibility to behave reasonably, objectively and consistently to that student and to all students 
  • where a person is involved in a decision relating to procurement or financial spend that involves family members or with other people with whom they have a close (or hostile) relationship, or
  • a situation where a person’s relative works for a building company with whom UTS has a major contract. While neither party are directly involved with the contract, it could potentially cause a conflict at another time, or could be perceived as being a conflict by another observer. 

In addition to the above examples, a personal, private or professional benefit may arise where an individual receives a gift, benefit or another gratuity that poses a conflict of interest due to the actual expectation of a benefit in kind, or the perception that a benefit in kind may be expected (refer Gifts and Benefits Policy).

Research conflicts

Conflicts of interest may arise where a person’s research, research engagement responsibilities or any relevant research contracts or ethics processes, conflict with their personal, private or professional interests. 

In line with the Research Policy and the Research Management Procedure (SharePoint), researchers must be aware of all potential conflicts and/or other spheres of influence that may arise during the undertaking of any research-related activities. These must be disclosed to meet both internal and external requirements including those of funding bodies (refer Disclosure and management of conflicts of interest (SharePoint)).

This includes the university’s actual, potential or perceived conflicts arising from research that forms part of an onshore research project or international activities (refer below) with external partners, funding bodies and organisations. 

Examples of conflict include: 

  • a researcher holds a position, appointment or a financial interest with an external organisation to whom UTS is submitting an application or is being contracted by that organisation 
  • intellectual property (IP) has been assigned to a researcher and they are working on a UTS project that utilises that assigned IP 
  • dealings of IP with previous students, family members, friends or close associates, and/or 
  • a researcher may benefit personally from decisions made by UTS in translating IP into use.
International activities

Conflicts of interest may arise when undertaking an international activity (for example, an international collaboration or research activity). 

UTS has obligations to comply with: 

Commercialisation Where UTS and/or staff seek to translate or commercialise their research or project, establish an associated or controlled entity, or have a shareholding or financial interest in an entity, and this poses a conflict with their UTS duties and functions.

4.6 UTS will run regular engagement and compliance activities to ensure proactive disclosure of interests and to educate staff on conflicts of interest more broadly, including but not limited to conducting training and publishing guidelines, surveys and questionnaires (refer Disclosures of interest (SharePoint)).

Declaring conflicts of interest

4.7 Staff must disclose any conflicts of interest to their supervisor as soon as there is a possibility that a conflict of interest may be present. Conflicts must be disclosed using the declaration of interest form (SharePoint).

4.8 The fact that a matter may be known by others, or is considered public knowledge, is not a substitute for formal written disclosure on the declaration of interest form. 

4.9 Where the conflict of interest involves a supervisor, the matter should be escalated to the supervisor’s line manager. 

4.10 In addition to disclosing conflicts under this policy, the following declaration processes will apply: 

  1. Researchers must also make any required disclosures to funding bodies such as the Australian Research Council and the National Health and Medical Research Council (NHMRC) and/or as part of the compliance obligations for staff involved in international engagement, research and/or national security activities (refer International Collaboration and Engagement Portal (SharePoint)). These interests must be recorded against all relevant projects in ResearchMaster (MyProjects) or as otherwise required (refer Research Management Procedure (SharePoint)).
  2. Conflicts of interest arising as a result of outside work should be declared via the outside work form available at Access HR forms (Staff Connect) (refer Outside Work Policy).
  3. Conflicts of interest arising as part of the recruitment and appointment process are normally managed by the hiring manager (or the convenor or relevant supervisor, as relevant to the stage of recruitment) in line with the Recruitment and Appointment Policy. The term supervisor should be read to include hiring manager for the purposes of managing conflicts in the recruitment process. 
  4. Conflicts of interest arising as a result of receiving a gift or benefit should be declared on the gifts and benefits declaration form in line with the Gifts and Benefits Policy.
  5. Conflicts of interest arising at any stage in the procurement process, or during any procurement activity, must be declared in line with the Procurement Policy.

4.11 Conflicts that arise between graduate research students and their principal supervisor, co-supervisor, assistant supervisor or any panel member should be disclosed in line with the Graduate Research and Supervision Policy. 

4.12 Some affiliates may have a specific conflicts of interest disclosure clause outlined in their contract of engagement with UTS. Where the contract specifically deals with the disclosure of conflicts of interest, they must be disclosed in accordance with the specific terms. If there is no contract, or the contract does not contain an obligation to report conflicts of interest, then the disclosure requirements set out in this policy apply.

Managing conflicts of interest 

4.13 Staff and supervisors should assess the disclosure and develop an appropriate conflict management plan that is proportionate to the level of risk and type of conflict (refer What is a conflict of interest?).

4.14 In assessing the disclosure, and determining appropriate control measures, UTS recommends applying the ‘6 Rs’ of conflict interest management (based on the guidelines produced by the Western Australian Integrity Coordinating Group). 

Control measure Description and application 
Register (disclose)

Registering the disclosure of a conflict is a vital first step in the management process. While registering a disclosure does not resolve the conflict, it allows staff and supervisors to start the assessment process. 

In some cases, registering the potential or perception may be the only required step (for example, when the risk is low or there is only the potential of a conflict rather than an actual conflict at the time). Where this is the case, the disclosure should still have a management plan. 

Registering a conflict may be required as part of another UTS or external process (refer statement 4.10). This process could be instead of, or in addition to, the provisions of this policy. 

RestrictIn certain circumstances, an individual’s involvement in a matter or process may be restricted to mitigate any immediate risks posed by the conflict. For example, staff may need to refrain from taking part in debate or public forum, abstain from voting, resign from taking part in a panel or decision-making process, and/or have access to information relating to the conflict of interest restricted. 
Recruit Where restriction is not practicable or reasonable, an independent third party may be engaged to oversee, participate in or review the integrity of a decision-making process, interaction or activity. This includes reassigning or transferring specific tasks or duties to another person temporarily or permanently. 
Remove Where possible, removal or withdrawal of the staff member from involvement in a matter, decision or process (also referred to as non-participation) may be the only acceptable option to manage a conflict appropriately. 
Relinquish Giving up the private or personal interest, role or other appointment may be the best way to ensure there is no conflict with the UTS responsibilities. For example, ending membership of a club, committee or association or relinquishing of shares. 
Resign Resignation from UTS, or termination of contract or relationship with UTS, may be considered in limited circumstances where the conflict cannot otherwise be managed or resolved. 

4.15 All control measures must be agreed and recorded in the management plan (included as part of the declaration of interest form (SharePoint)) noting that:

  1. a combination of different control measures may be required to best manage the conflict and associated risks, and 
  2. situations where no risk is identified and no further action is taken must still be documented. 

4.16 Management plans are completed on the declaration of interest form (SharePoint) and must be implemented, monitored and maintained to ensure all the control measures are actioned. Management plans must be reviewed and updated if the nature of the risk changes or the circumstances warrant. Check-ins should take place as per the agreed timeline (but at least annually) and must be documented in the management plan. 

4.17 The declaration of interest form must be: 

  1. reviewed and, if satisfactory, signed by the supervisor and the appropriate dean or director (or appropriate member of the senior executive if the person is a dean, a director, the University Librarian, the University Secretary, the Chancellor, the Vice-Chancellor or a member of the senior executive), and
  2. submitted to the People Unit for inclusion on the central register of conflicts of interest declarations (the central register).

Monitoring, review and escalation

4.18 Staff with a conflict of interest are responsible for adhering to and meeting the requirements of the management plan. Supervisors must ensure that the management plan is monitored and reviewed in line with the agreed timelines. 

4.19 Staff and supervisors must work together to ensure the management plan is maintained and address any changes or issues with the implementation of the control measures.

4.20 To ensure management plans remain effective staff must reassess their circumstances and reflect any changes in the management plan by updating the declaration of interest form. At each point of review staff must consider whether the:

  1. conflict still exists
  2. nature of the conflict has changed
  3. control measures outlined in the management plan have been met, and 
  4. control measures require update or amendment.

4.21 Changes, including the closure of a conflict, must be agreed and documented on the management plan and submitted to the People Unit to update the central register.

4.22 Issues or disputes arising from the management of a disclosed conflict of interest will be referred to the following for resolution: 

  1. Provost for academic staff and academic matters 
  2. Chief Operating Officer (COO) for professional staff and operational matters, or 
  3. Deputy Vice-Chancellor (Research) for research activities. 

Prevention and continuous improvement 

4.23 Supervisors will be supported to help their staff recognise conflicts of interest through the workplanning process (refer Workplanning and review (Staff Connect)). All staff must proactively declare and manage any actual, perceived or potential conflicts of interest as part of their annual workplanning. Further guidance is available at Conflicts of interest at UTS.

4.24 UTS will: 

  1. continually improve institutional understanding of conflicts of interest
  2. ensure effective fraud and corruption prevention strategies and training are in place (refer Fraud and Corruption Prevention Policy), and
  3. maintain a dedicated website approved by the University Secretary in consultation with the General Counsel and Executive Director, Risk and Compliance to provide further guidance on managing conflicts of interest (refer Conflicts of interest at UTS). 

4.25 UTS may intervene at any time if it reasonably considers that a conflict of interest has arisen, or may arise, between the private interests of staff, students or affiliates and their work, duties or functions at UTS.

Privacy and records management 

4.26 Collection, management, distribution and destruction of information relating to the declaration or management of a conflict of interest must be carried out in line with the Records Management Policy, the Privacy Policy (particularly for personal information) and the Data Governance Policy. All staff involved in the management of a conflict of interest have a role in effective recordkeeping. 

4.27 The central register (and any other conflict of interest register developed to meet the requirements of the university) must be stored and managed in line with the Records Management Policy and the Privacy Policy (particularly for personal information). 

Policy breaches

4.28 Unreported and/or unmanaged conflicts of interest are considered a breach of the Code of Conduct or the guidelines for research integrity breaches (Research Integrity (SharePoint)), depending on the nature and circumstances of the breach, and will be managed accordingly. 

4.29 Some breaches, depending on the nature or severity of the conflict, may: 

  1. result in disciplinary or corrective actions or sanctions as appropriate to the nature or impact of the conflict 
  2. represent serious wrongdoing and will be managed in line with the Whistleblowing and Public Interest Disclosures Policy, and/or 
  3. be reported to, and result in action by, external integrity agencies such as the Audit Office of New South Wales, the Independent Commission Against Corruption (ICAC) and/or the New South Wales Ombudsman.

5. Roles and responsibilities

5.1 Policy owner: The Provost and the Chief Operating Officer are responsible for the enforcement of and compliance with this policy, ensuring that its principles and statements are observed. 

5.2 Policy contact: The Executive Director, People and Culture and the University Secretary share joint responsibility for the day to day implementation of the policy and act as primary points of contact for advice on fulfilling its provisions. The Executive Director, People and Culture and the University Secretary are also responsible for the approval of the declaration of interest form, university level procedures and conflicts of interest guidance at UTS. 

5.3 Implementation and governance roles:

The Deputy Vice-Chancellor (Research) is responsible for the management of disclosures of interest as part of UTS research. 

Supervisors are responsible for ensuring conflict management plans are developed, monitored and reviewed in line with this policy.

Staff and affiliates are responsible for disclosing conflicts of interest and working with supervisors to develop and implement conflict management plans.

The People Unit is responsible for keeping the central register of conflicts of interest declarations. 

6. Definitions

The following definitions apply for this policy and all associated procedures. These are in addition to the definitions outlined in Schedule 1, Student Rules. Definitions in the singular also include the plural meaning of the word.

Affiliate is defined in the Code of Conduct. 

Conflict management plan (also management plan) means the formal, documented plan agreed between the individual, the supervisor, and others as required, developed in line with this policy. The conflict management plan is part of the declaration of interest form and:

  1. documents the conflict and the assessed risks
  2. outlines agreed action (control measures) and associated responsibilities, and 
  3. ongoing monitoring to an agreed timeline/deadline. 

Conflict of interest is defined in this policy (refer What is a conflict of interest?).

Foreign bribery is defined in the Fraud and Corruption Prevention Policy.

Foreign interference is defined in the Fraud and Corruption Prevention Policy.

Integrity is defined in the Equity, Inclusion and Respect Policy. 

Integrity agency is defined in the Whistleblowing and Public Interest Disclosures Policy.

Serious wrongdoing is defined in the Whistleblowing and Public Interest Disclosures Policy.

Staff is defined in the Code of Conduct. 

Supervisor is defined in the Code of Conduct.