1. Purpose
1.1 These procedures outline the process for members of the University community to identify, disclose, and manage conflicts of interest.
1.2 These procedures must be read in conjunction with the linked Conflict of Interest - Governing Policy.
2. Scope and application
2.1 These procedures apply to all members of the University community who are in a position to exert influence over the University resources and activities. This applies to governance, employment, research, teaching, financial, commercial activity, board and council representation, volunteer, consultant, and contractor arrangements.
2.2 Other relevant policy documents such as the Staff Gifts and Benefits Policy and Procedures, Outside Work and Private Practice – Operational Policy and Procedures, University Consultancy Work – Operational Policy and Procedures, Higher Degrees by Research Supervision - Procedures, and Responsible Research Conduct - Academic Policy should also be referred to when managing conflicts of interest of a specific nature.
2.3 These procedures are not intended to manage student’s conflicts of interest related to their placements. Refer to the Work Integrated Learning (Placements) - Procedures.
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 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.
Discloser refers to a staff member, Council member or other University community member who has made a conflict of interest disclosure.
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.
Intellectual property refers to all present and future rights conferred by statute, common law or equity in any jurisdiction which protect intellectual and creative effort recognised by law as defined by Article 2 of the Convention establishing the World Intellectual Property Organisation of July 1967.
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. Identifying conflicts of interest
4.1 Members of the University community are expected to regularly reflect on their personal circumstances and consider how private interests can affect their official University responsibilities. Key considerations include:
(a) whether close personal relationships or friendships—particularly those formed through business associations—could compromise objectivity or professional judgement;
(b) how private interests can be perceived by others; and
(c) whether those private interests align with the ethical principles and expected standards of conduct for University community members.
4.2 The risk of having a conflict of interest increases when a member of the University community’s role includes the authority to make or influence decisions.
4.3 If a member of the University community is uncertain whether a conflict of interest exists, they should seek guidance from their supervisor, Cost Centre Manager, relevant Executive Member, or a People and Culture representative. For research-related conflicts of interests, members of the University community may also consult a Research Integrity Advisor, the Office of Research, or the Deputy Vice-Chancellor (Research and Innovation).
4.4 Personal relationships
4.4.1 Members of the University community must not participate in decisions or processes involving individuals with whom they have a close personal relationship with. This includes, but is not limited to, decision-making and processes regarding:
(a) the purchasing of goods or services for the University where a member of the University community involved in the decision-making or process has a relationship with the supplier or an employee of the supplier;
(b) the recruitment, appointment, promotion, or other employment decisions and factors where personal relationships exists between any of the parties involved;
(c) students where a personal association exists, including assessments, scholarships, placements, prizes, examination results and other matters relating to a student’s academic progress or records;
(d) the supervision or oversight of another staff member, student or other personnel associated with or contracted to the University where a close personal relationship exists; or
(e) business decisions or processes where there is a close personal relationship with competitors or businesses operating in the same areas as the University.
4.5 Gifts and benefits
4.5.1 Members of the University community must not accept any gift or benefit which could create a conflict of interest or be perceived to create such a conflict. Acceptance of gifts or benefits (financial or otherwise), including conference attendance, entertainment, travel, accommodation expenses or hospitality must be managed and declared in accordance with the Staff Gifts and Benefits – Operational Policy and Procedures.
4.6 Research, commercialisation and intellectual property
4.6.1 Members of the University community involved in research have obligations under the Australian Code for the Responsible Conduct of Research, which include responsibilities to disclose and manage conflicts of interest. As such, individuals involved in research must also consider requirements prescribed in the Responsible Research Conduct - Academic Policy and Intellectual Property – Academic Policy.
4.6.2 Members of the University community involved in research must not allow their private interests to interfere or perceive to interfere with research and commercialisation activities.
4.6.3 Research conflicts of interest can occur when an independent observer may reasonably conclude that a researcher’s other interests may unduly influence the design, conduct, outcome, or reporting of the research. This includes financial, personal, familial, professional and organisational interests.
4.6.4 Commercialisation conflicts of interest can occur when an independent observer may reasonably conclude that the personal benefits a researcher makes from commercialisation activities may unduly influence their University duties and cause them to not act in the best interest of the University.
4.6.5 Researchers have a responsibility to identify and assess conflicts of interest in relation to research and commercialisation activities.
4.6.6 When determining whether a conflict of interest may exist in a research or commercialisation activity, researchers should consider how their private interests might impact on their University duties and how those interests might be perceived to independent observers. Factors to consider include (but are not limited to):
(a) direct payments, such as salary, consultancy payments, speaking fees, or panel memberships;
(b) indirect payments, such as funding of travel, accommodation, professional development, or hospitality;
(c) payments to support research, such as funding from an industry or interest group;
(d) company shares or options;
(e) royalties;
(f) directorships;
(g) scholarships;
(h) operational or infrastructure support;
(i) whether there is a future expectation of a benefit, for example, proceeds from the sale of IP arising from a project or the promise of shares in a spin-off company;
(j) board membership (paid or unpaid) or other affiliation with an organisation that could stand to benefit from or be affected by the research;
(k) personal or social relationships and current and past professional relationships, where relevant; or
(l) recent employment with, or role in, organisations with financial links or affiliations with industry groups that could stand to benefit from or be affected by the research.
4.7 University consultancy and outside work
4.7.1 While University consultancy and outside work is permitted for staff members under certain circumstances, conflicts of interest must be considered prior to approval and commencement of the consultancy or outside work.
4.7.2 Situations where a conflict of interest may exist include, but are not limited to:
(a) holding memberships, directorships, executive positions, shareholdings or ownerships of other companies, organisations, or businesses that are in serious competition or conflict with the University; or
(b) employment (or voluntary work) external to the University of a kind, whilst still employed by the University, where that work may be in conflict with the objectives of the University.
4.7.3 Staff members must refer to the Outside Work and Private Practice – Operational Policy and Procedures and the University Consultancy Work – Operational Policy and Procedures when seeking to undertake consultancy or outside work.
4.8 Foreign influence and foreign interference
4.8.1 Foreign influence: Members of the University community are required to register certain activities under the Foreign Influence Transparency Scheme Act if they are taken on behalf of a foreign principal. The types of activities that may be registrable include the following activities if undertaken on behalf of a foreign principal for the purpose of political or government influence:
(a) lobbying;
(b) disseminating information or material;
(c) distributing things or money.
4.8.2 Any proposed registrable activities must be promptly disclosed to the Chief Operating Officer as the Chief Safety and Security Officer for assessment and approval.
4.8.3 Foreign interference: Members of the University community must promptly disclose to the Chief Operating Officer as the Chief Safety and Security Officer any conflicts of interest that give rise to the risk of foreign interference, including identifying actual or proposed foreign affiliations, relationships and financial interests, such as where a member of the university community:
(a) receives financial support (cash or in-kind) for education or research related activities from a country other than Australia.
(b) holds a position (paid or unpaid) or honorific titles in any foreign university, academic organisation or other entity, or has an obligation to or receives a benefit from a foreign university, academic organisation or other entity.
(c) associates or affiliates with a foreign government or foreign military, policing or intelligence organisation.
(d) experiences harassment, intimidation or other behaviour from or on behalf of a foreign University, academic organisation or other entity that is intended to cause or may lead to self-censorship.
4.9 Council members
4.9.1 In keeping with the obligation of the members of Council pursuant to the University of the Sunshine Coast Act 1998 (Qld) to 'act in the way that is most likely to promote the University's interests', all Council members must act in good faith in avoiding conflicts of interest and the perception, whether founded or not, of a conflict of interest between the interests of the University and their own personal, professional and business interests.
4.9.2 Each Council member must, upon appointment, be provided with a copy of the Conflict of Interest – Governing Policy and Procedures.
4.9.3 Council has identified the following circumstances as being indicative of circumstances which can give rise to conflicts of interest requiring disclosure. This is not exhaustive however an indication of the types of conflicts of interest relevant to Council members:
(a) outside interests including but not restricted to:
(i) a contract, consultancy or transaction between the University and the Council member or a family member of that Council member;
(ii) a contract, consultancy or transaction between the University and a company, organisation, partnership, business, or entity in which the Council member or a family member of that Council member, has a material financial or controlling interest or of which such person is a director (or equivalent position), officer, agent, partner, associate or trustee;
(b) a personal relationship with a member of staff or student of the University where a decision of the Council affects or is likely to affect that person;
(c) an academic position held by a Council member with another university where a decision of Council affects or is likely to affect an aspect of competing specific academic goals of this University and that other university e.g. in relation to a decision to introduce a new course to the University;
(d) a professional position or involvement of a Council member outside the University which is affected or likely to be affected by a decision of the Council e.g. a decision to engage or not engage, under contract, a firm of which a Council member's business is a significant competitor; or
(e) gifts, gratuities, and entertainment (e.g. received from a third party who has, or may reasonably be considered to have, an interest in the outcome of a decision of Council).
5. Disclosing conflicts of interest
5.1 Participating on committees and panels
5.1.1 Conflicts of interest that relate to panel or committee meetings, such as recruitment, procurement, and promotions processes must be immediately disclosed prior to participating in the panel or committee which is acknowledged and formally documented by the Chairperson. Documentation must clearly outline whether a management strategy (e.g. not participating in relevant sections of the meeting, being removed from the panel etc.) is required to manage the conflict (and how this will be implemented).
5.1.2 When a conflict of interest arises during a meeting, the member of the University community is to immediately disclose the conflict which must be formally documented by the Chairperson. Documentation should clearly outline if a management strategy (e.g. not participating in relevant sections of the meeting, being removed from the panel etc.) is required to manage the conflict (and how this will be implemented).
5.1.3 Where a conflict of interest is likely to be ongoing, it must be formally disclosed and managed in accordance with the applicable processes prescribed from clause 5.2 to 5.5.
5.2 Staff members
5.2.1 Upon commencing employment at the University, staff members must complete the Conflict of Interest (COI) Online Disclosure Tool (login required). This disclosure must be kept up to date by the staff member whenever a conflict of interest arises and formally reviewed at least annually to ensure accuracy.
5.2.2 Any existing conflicts of interest held by new staff members must be reported to their supervisor and formally disclosed using the COI Online Disclosure Tool (login required). The completed disclosure must be submitted for approval to the relevant Cost Centre Manager and Executive Member.
5.2.3 Throughout their employment, staff members must disclose any conflict of interest to their supervisor as soon as reasonably practicable after becoming aware of it. If the staff member’s supervisor has a conflict of interest in the matter, the disclosure must be made to the next higher level of authority. The staff member must then complete a formal disclosure using the COI Online Disclosure Tool (login required), which is submitted for approval to the Cost Centre Manager and relevant Executive Member.
5.2.4 When circumstances of a previously disclosed conflict of interest changes, the staff member must complete an updated COI Online Disclosure Tool (login required) and include an updated management strategy for approval to the Cost Centre Manager and Executive Member.
5.3 Individuals involved in research and commercialisation activities
5.3.1 Once a member of the University community identifies a conflict of interest, it must be disclosed to their relevant supervisor and a management strategy documented using the COI Online Disclosure Tool (login required).
5.3.2 Disclosure may also be required when a financial interest is held by a member of the researcher’s immediate family. This includes in situations where there is a future expectation of a benefit through commercialisation.
5.3.3 Disclosing conflicts through ethics, grant applications, or contracts does not negate the requirement to disclose the conflict using the COI Online Disclosure Tool (login required) . The COI Online Disclosure Tool (login required) includes the mandatory requirement that an appropriate conflict of interest management strategy is in place.
5.3.4 When relevant, conflicts of interest may also need to be disclosed to funding bodies, research participants, publishers, journal editors, collaborators, and the public.
5.3.5 In the event that circumstances of a previously disclosed conflict of interest changes, the member of the University community must complete an updated COI Online Disclosure Tool (login required) and include an updated management strategy for approval to the Cost Centre Manager and Executive Member.
5.4 University Council members
5.4.1 Council recognises that conflicts of interest do occur as a necessary part of business and commerce. These procedures deal only with how conflicts of interest are handled and require disclosure, they are not intended to prejudice the position of Council members in relation to engagement in the ongoing business of Council, nor is it intended that those disclosures would preclude the relevant Council member from subsequent involvement in University activities.
5.4.2 A confidential Councillors' Interests Register is maintained by the Council Secretary to record the relevant interests of Councillors. All entries in the Councillors' Interests Register must be treated as highly confidential. No personal information can be disclosed except to the extent necessary to implement these procedures.
5.4.3 Each Council member must, when appointed to Council, notify the Council Secretary of all relevant interests and relationships of the Council member for entry in the Councillors' Interests Register. This notification is given by the completion of the Councillors’ Interests Declaration Form.
5.4.4 Each Council member must identify when they have a conflict of interest with regard to any item on the agenda for a meeting or arising in the course of the meeting. There is a standing item on the agenda for each meeting of the Council, requiring Council members to disclose conflicts of interest.
5.4.5 All actual, potential, or perceived conflicts of interest of Council members must be disclosed by Council members at all meetings at which any matter is discussed involving the relevant conflict. The minutes of every meeting must record all such declarations.
5.4.6 Each Council member has an ongoing obligation throughout their term to notify the Council Secretary of any relevant interests or relationships that arise and can reasonably be expected to result in a conflict of interest.
5.4.7 The Council Secretary is responsible for keeping Council informed of all notifications made under this procedure particularly when they bear on the discussion of Council matters. When an actual conflict of interest has been identified, Council members are entitled to access the entry in the Councillors' Interests Register. When a potential or perceived conflict of interest is identified, the Council Secretary or the Chancellor advises Council members as to the existence of a potential or perceived conflict of interest. In such cases, access to the entry in the Register is restricted to the Council Secretary and the Chancellor.
5.4.8 All declarations of conflicts of interest, along with the Council’s decisions on how they are managed, must be recorded in the minutes of the relevant meeting. The Council Secretary also records this in the Councillors' Interests Register and ensures any required follow-up actions are taken.
5.5 Other University community members
5.5.1 University community members, other than staff and Council members, must report any conflict of interest in writing to the relevant University officer overseeing their activity or association with the University. This notification is given by completing the Councillors’ Interests Declaration Form.
6. Managing conflicts of interest
6.1 Once a conflict of interest has been disclosed, a suitable management plan must be developed for the discloser to resolve or manage the conflict of interest to mitigate impact and protect the integrity of the University’s processes and decision-making. Advice should be sought from senior functional experts, when managing conflicts, as appropriate to the nature of the conflict.
6.2 A staff member’s management plan is developed in consultation with their supervisor and must be completed using the COI Online Disclosure Tool (login required) with approval from the Cost Centre Manager and relevant Executive Member. Council Members and other University community members must complete the relevant forms attached to these procedures for approval as stipulated on the forms.
6.3 When considering appropriate management strategies for a conflict of interest, it is important the discloser, in consultation with the relevant approver, identifies any risks that arise from the conflict and what can be put in place to mitigate those risks.
6.4 The University has adopted the Register, Restrict, Recruit, Remove, Relinquish, Resign model to manage conflicts of interest, in accordance with the Conflict of Interest - Governing Policy. These strategies must be considered when developing a conflict of interest management plan. Examples include:
(a) Register: All conflicts of interest must be formally registered with the University, as outlined in Section 5: Disclosing Conflicts of Interest.
(b) Restrict: Used in circumstances where the conflict of interest is not likely to arise frequently and the individual can be effectively separated from parts of the activity or process. Strategies can include:
(i) non-involvement in any critical decision-making roles or criteria setting in the process or matter concerned;
(ii) withdrawal from discussions pertaining to the process or matter concerned; or
(iii) restricted access to relevant systems, information, or sensitive documents.
(c) Recruit: Used in circumstances when it is not appropriate for the the individual to be removed from the decision-making process. A common strategy includes recruiting an independent third party to participate in the process to balance the influence of the individual with the conflict.
(d) Remove: Appropriate when restriction or recruitment is not feasible. The individual is removed from all involvement in the matter, including discussions or decisions. This can involve the removal from any involvement in the matter including any related discussions or situations where the individual may have or perceive to have an influence on the decision or actions. This can also include transferring the individual to another project or removing the individual as a supervisor for a particular person.
(e) Relinquish: Used in circumstances of significant conflicts of interest where other strategies are ineffective or not appropriate. The individual may relinquish the private interest entirely, such as:
(i) liquidating the interest through an arm’s-length transaction;
(ii) divesting themselves or withdrawing support for the private interest; or
(iii) assigning the interest to a genuinely ‘blind trust’ or ‘blind management’ arrangement.
(f) Resign: Considered as a last resort for serious conflicts of interests where no other strategy is effective or agreed upon between the individual and management.
6.5 Where conflicts of interest may affect collaborative research with other institutions or organisations, appropriate management strategies should be considered during the negotiation of the collaborative research agreement.
6.6 Management plans must be reviewed annually and updated using the COI Online Disclosure Tool (login required) as required.
7. Monitoring conflicts of interest
7.1 All disclosed conflicts of interest must continue to be monitored, not only by the discloser but also by their supervisor, Cost Centre Manager, relevant Executive member, and other relevant approver as needed.
7.2 Monitoring the conflict must include ensuring adherence to the agreed conditions in the management plan as well as updating the management plan via the COI Online Disclosure Tool (login required) when circumstances change, particularly in instances where a potential conflict of interest turns into an actual conflict of interest. A management plan in this instance will look quite different to when the conflict of interest was only a potential.
7.3 A Conflict of Interest Register for staff member’s disclosures and management plans is maintained by People and Culture. The register contains individual disclosures and their respective management plan information. This is available to the individual’s relevant supervisor, Cost Centre Manager and Executive member (restricted access to their needs only) as required. People and Culture periodically review the data to ensure management plans of significant conflicts of interest are being monitored and updated appropriately.
8. Authorities and responsibilities
8.1 As the Approval Authority, the Vice-Chancellor and President approves these procedures to operationalise the Conflict of Interest - Governing Policy.
8.2 As the Responsible Executive Member the Vice-Chancellor and President can approve guidelines to further support the operationalisation of these procedures. All procedures and guidelines must be compatible with the provisions of the policy they operationalise.
8.3 As the Designated Officer the Director, People and Culture can approve associated documents to support the application of these procedures.
8.4 These procedures operate from the last amended date, with all previous iterations of procedures on conflicts of interest replaced and no longer operating from this date.
8.5 All records relating to conflicts of interest must be stored and managed in accordance with the Records Management - Procedures.
8.6 These procedures must be maintained in accordance with the University Policy Documents – Procedures and reviewed on a standard 3-year policy review cycle.
8.7 Any exception to these procedures to enable a more appropriate result must be approved in accordance with the University Policy Documents – Procedures prior to any deviation from these procedures.
8.8 Refer to Schedule C of the Delegations Manual in relation to the approved delegations detailed within these procedures.
9. Appendices and supporting documents
Appendix A - COI Online Disclosure Tool - which includes the management strategy template (login required)
Appendix B – Councillors’ Interests Declaration Form
Appendix C – Other University community member’s Declaration of Conflict of Interest Form
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