1. Purpose

1.1 This policy outlines the University’s approach to managing conflicts of interest. It sets out the obligations and responsibilities required of members of the University community in managing conflicts of interest and provides guidance to support ethical decision-making, protect the University’s reputation, and uphold standards of fairness, integrity and professionalism in all University activities.

1.2 This policy must be read in conjunction with the linked Conflict of Interest - Procedures.

2. Scope and application

2.1 This policy applies to all members of the University community when participating in activities related to the University.

3. Definitions

3.1 Refer to the University’s Glossary of Terms for definitions as they specifically relate to policy documents.

Conflict of interest occurs when there is a conflict between a member of the University community’s private interests and their university duties where they could be influenced, or appear to be influenced, in the performance of their official duties and responsibilities with the University. A conflict of interest involves:

Actual conflict of interest involves a direct conflict between a member of the University community’s current duties and responsibilities and existing private interest.

Perceived conflict of interest can exist where it could be perceived, or appears, that a private interest could improperly influence the performance of their duties – whether or not this is in fact the case.

Potential conflict of interest arises where a member of the University community’s has private interests that could conflict with their official duties in the future.

Commercialisation means to exploit commercially and includes:

(a) the exercise of all the rights granted to the holder of intellectual property rights, including where permitted the right to license or assign those rights;

(b) in relation to a product, kit, apparatus, substance, documentation, software or information resource (or any part of such materials) – to make, distribute, market, sell, publish, hire out, lease, supply, or otherwise dispose of it; and

(c) in relation to a method or process – to use the method or process or to make, distribute, market, sell, hire out, lease, supply, or otherwise dispose of a product, kit or apparatus the use of which is proposed or intended to involve the exercise of the method or process.

Foreign influence refers to all governments, including Australia’s, try to influence deliberations on issues of importance to them. These activities, when conducted in an open and transparent manner, are a normal aspect of international relations and diplomacy and can contribute positively to public debate.

Foreign interference occurs when activities are carried out by, or on behalf of a foreign actor, which are coercive, clandestine, deceptive or corrupting and are contrary to Australia’s sovereignty, values and national interests.

Private interest is any interests, financial or non-financial, for an individual or for any other person or organisation where the individual may wish to benefit (directly or indirectly through family, friends, associates) or disadvantage competitors or rivals.

Research as defined in the Australian Code for the Responsible Conduct of Research.

Researchers refer to all staff, students, adjunct and conjoint appointments, visiting academics and research fellows who engage in research activity under the auspices of the University.

Staff member means anyone engaged by and who receives payment for work done for the University in a permanent, casual, or fixed-term (whether full-time or part-time) role.

University community means all staff members, adjunct and honorary title holders, members of University Council, students, consultants, contractors, volunteers, researchers and external appointees of Council, boards and committees of the University.

4. Policy statement

4.1 This policy outlines the University’s approach to identifying, disclosing, and managing any actual, potential, or perceived conflicts of interest by members of the University community. It supports the University’s obligations under section 6(d) of the Public Sector Ethics Act 1994 (Qld) to ensure that any conflict of interest is resolved or appropriately managed in favour of the public interest.

5. Principles

5.1 The University recognises that conflicts of interest are not uncommon in a workplace and if disclosed, they can, in the most part, be managed using relevant strategies to ensure they do not negatively impact the University. However, if conflicts of interest go undisclosed, or are not adequately managed, they can have a negative impact on the University.

5.2 The University is therefore committed to creating a conflict of interest management framework that includes appropriate education and awareness for all members of the University community.

5.3 All members of the University community are expected to perform their duties in accordance with the ethical standards in the Staff Code of Conduct - Governing Policy for staff or community members acting on behalf of the University, the Student Conduct - Governing Policy for students, and other relevant policy documents where applicable. This includes acting in good faith towards the University. Where conflicts of interest do arise, all members of the University community must manage those conflicts appropriately and in accordance with the following principles:

(a) to protect the University’s interest ensuring that all decision making is impartial and objective;

(b) to protect the reputation of the University by maintaining ethical standards of good judgement, fairness and integrity in all its dealings;

(c) to ensure that employees always observe the highest standard of professional ethical conduct;

(d) to avoid any activity or interest that might reflect unfavourably upon a member of the University community’s own integrity and good name, or upon the integrity and good name of the University;

(e) restrict the extent to which a private interest could compromise, or be seen to compromise, their impartiality when carrying out their official duties;

(f) abstain from involvement in official decisions and actions which could be compromised by other private interests and affiliations;

(g) avoid private action in which they could be seen to have an improper advantage from confidential/privileged information they might have access to because of their official duties;

(h) ensure that they do not use their official position or University resources for private personal gain or gain by others with whom the staff member has a relationship or close personal association;

(i) ensure that there can be no perception that they have received an improper benefit that may influence the performance of their official duties; and

(j) ensure they do not take improper advantage of their official position or confidential/privileged information gained in that position when seeking employment or other opportunities for personal benefit outside the University or provide such advantage to others with whom they have an association.

6. Identifying, disclosing and managing conflicts of interest

6.1 Members of the University community must identify, disclose, and manage conflicts of interest in accordance with the Conflict of Interest - Procedures.

6.2 While it is not possible to list every scenario, conflicts of interest can arise in the below situations. Members of the University community should refer to the Conflict of Interest - Procedures for further detail:

(a) conflict of roles: when an individual holds more than one official role within the University, or has a role in another organisation, and finds it difficult to separate responsibilities;

(b) private interests: when personal interests, whether financial or non-financial, could influence decisions or actions, including situations involving personal gain or the avoidance of loss;

(c) personal relationships: where a member of the University community is involved in decisions or processes affecting the employment or academic administration of someone with whom they have, or have had, a personal relationship;

(d) personal benefits: where a member receives a benefit that could be, or be perceived as, an incentive or inducement to act (or not act) in a particular way in the course of their duties; or

(e) use of University resources: where University facilities, equipment, documents or information are used for personal benefit or the benefit of a third party, including access to confidential information obtained through official duties.

6.3 The University adopts conflict of interest management strategies outlined in the Crime and Corruption Commission (CCC)/Independent Commission Against Corruption (ICAC) publication, Managing Conflicts of Interest in the Public Sector:

(a) Register: all conflicts of interest are registered regardless of the management strategies adopted;

(b) Restrict: restrictions are placed on a University community member’s involvement in a matter;

(c) Recruit: a disinterested third party is used to oversee part or all of the process that deals with the matter;

(d) Remove: members of the University community remove themselves from any involvement in the matter (e.g. absenting oneself from discussion and decision making);

(e) Relinquish: members of the University community relinquish the private interest that is creating the conflict; and

(f) Resign: members of the University community resign from their position (last resort).

7. Privacy and confidential information

7.1 Recording and reporting conflicts of interest can involve the collection, storage, use, or disclosure of personal information. Any personal information collected, stored, used, or disclosed under this policy is managed in accordance with the Privacy and Right to Information – Operational Policy.

7.2 Records of any notification of conflicts of interest are maintained in an approved and secure recordkeeping system, in accordance with the Data Governance - Operational Policy. Notifications regarding staff conflicts of interest are stored on the staff member’s personnel file as well as on the Conflict of Interest Register.

7.3 Confidentiality is always maintained by all persons involved in the notification and management of conflicts of interest to ensure that confidential disclosures are protected from misuse.

8. Reporting and failure to comply

8.1 Any person who has knowledge that a conflict of interest may exist that has not been appropriately disclosed, should discuss the situation with a relevant supervisor, Cost Centre Manager, Executive Member or People and Culture representative. Such reports will be considered in accordance with Fraud and Corruption Control - Governing Policy and the Public Interest Disclosures – Governing Policy.

8.2 Any person who is concerned that a research related or research commercialisation conflict of interest has not been disclosed or managed in accordance with University policy and procedures, or who wishes to lodge a complaint, should follow the process set out in the University’s Managing and Investigating Breaches of Responsible Research Conduct – Procedures.

8.3 Examples of departures from appropriate management of conflicts of interest include (but are not limited to):

(a) failing to disclose a relevant interest in a timely manner; and

(b) failing to abide by any decisions as to the management of a conflict of interest.

8.4 Failure to comply with this policy or the Conflict of Interest - Procedures may constitute a breach of conduct and will be assessed and managed as follows:

(a) Council members who fail to disclose a conflict of interest in the exercise of their functions may be removed from office under the provisions of the University of the Sunshine Coast Act 1998 (Qld);

(b) staff can be found to breach the Staff Code of Conduct - Governing Policy and such matters may be dealt with as misconduct and serious misconduct in accordance with the relevant clauses of the Enterprise Agreement or instrument of appointment;

(c) students can be found to breach the Student Conduct - Governing Policy and such matters are to be managed in accordance with the Student Misconduct – Procedures; and

(d) other members of the University community who do not comply with this policy and relevant procedures may have their association with the University terminated and access to University services, facilities, or infrastructure revoked.

8.5 Some breaches of this policy may also have consequences for staff members and other members of the University community under criminal or civil provisions of the general law.

9. Authorities and responsibilities

9.1 As the Approval Authority, Council approves this policy in accordance with the University of the Sunshine Coast Act 1998 (Qld).

9.2 As the Responsible Executive Member the Vice-Chancellor and President can approve procedures and guidelines to operationalise this policy. All procedures and guidelines must be compatible with the provisions of this policy.

9.3 As the Designated Officer the Director, People and Culture can approve associated documents to support the application of this policy. All associated documents must be compatible with the provisions of the policy.

9.4 This policy operates from the last amended date, with all previous iterations of policy on conflicts of interest replaced and no longer operating from this date.

9.5 All records relating to conflicts of interest must be stored and managed in accordance with the Records Management - Procedures.

9.6 This policy must be maintained in accordance with the University Policy Documents – Procedures and reviewed on a standard 5-year policy review cycle.

9.7 Any exception to this policy to enable a more appropriate result must be approved in accordance with the University Policy Documents – Procedures prior to deviation from the policy.

9.8 Refer to Schedule C of the Delegations Manual in relation to the approved delegations detailed within this policy.

9.9 The following authorities/responsibilities are delegated under this policy:

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