• Section 1 - Purpose
• Document context
• Section 2 - Procedure
• Part A - General principles
• Part B - Identifying conflicts of interest
• Part C -  Declaring conflicts of interest
• Declarations - general
• Declarations – specific
• Recruitment and selection activities
• Procurement and tender activities
• Committees and decision-making groups
• Additional employment and university consultancies
• Research activities and grant funds
• Gifts and benefits
• Part D - Managing conflicts of interest
• Registers
• Part E - Breach of procedure
• Section 3 - Glossary

Section 1 - Purpose

(1) This procedure sets out the conditions and requirements for staff to identify and declare any private interests and circumstances that give rise or may give rise to actual, potential or perceived conflicts of interest during their engagement within Charles Sturt University (the University).

Document context

Section 2 - Procedure

Part A - General principles

(2) A conflict of interest arises when a person’s private interests interfere with their ability to perform official University duties impartially. These conflicts can be actual, perceived, or potential, and they may involve pecuniary (financial) or non-pecuniary (non-financial) interests. 

(3) Proactively managing conflicts of interest upholds the University’s public accountability and reputation, and reduces the risk of corruption, misconduct, and bias in its operations and decision-making processes.

(4) Having a conflict of interest does not imply wrongdoing, nor does it necessarily reflect a person’s integrity or conduct. However, staff have a responsibility to identify, declare, and effectively manage any actual, potential, or perceived conflicts of interest in accordance with the Code of Conduct and this procedure.

(5) The University has a zero-tolerance approach to fraud, corruption, and foreign interference, as outlined in the Fraud and Corruption Control Policy and the Countering Foreign Interference Procedure.

Part B - Identifying conflicts of interest

(6) Staff and supervisors have a responsibility to identify where there is or may be a conflict between private interests and their official University duties. To identify a conflict of interest, staff must consider whether:

1. there is a connection between their private interest and their official University duties, and
2. a reasonable person might perceive that the private interest could be favoured over their official University duties. In practice, this requires a connection or overlap between those interests and duties.

(7) Conflicts of interest can arise in relation to past, current, or future interests staff may have.

(8) Conflicts of interest must be declared in accordance with Part C of this procedure as soon as they become known. Staff must not self-adjudicate whether to make a declaration.

(9) Leaders must:

1. remind staff of their obligation to comply with this procedure
2. ensure that disclosed conflicts are managed and mitigated
3. ensure that staff have completed assigned compliance training to identify conflicts, including training related to fraud, corruption, and foreign interference.

(10) It is not possible to document all situations in which a conflict of interest might arise in the workplace, or during the performance of official duties. However, the following list provides examples of the types of situations in which conflicts of interest might arise:

1. Intimate and close personal relationships between staff.
2. Intimate and close personal relationships between staff and students.
3. Foreign/overseas relationships and interests.
4. Financial interests and affiliations, including relationships with vendors.
5. Receiving or giving gifts, benefits, and hospitality.
6. Sponsorships and other agreements.
7. Engaging in additional employment or University consultancies.
8. Use of University information, facilities, or resources.
9. Engaging in external activities or providing public comment.
10. Undertaking multiple roles with the University.
11. Conduct of or participation in research.
12. Membership on committees and decision-making groups.

(11) An unacceptable conflict of interest will arise where an individual makes any of the following decisions in relation to a person they have, or have had, an intimate or close personal relationship with. These conflicts cannot be managed and must always be avoided:

1. Selection, confirmation of an appointment, probation, transfer, reclassification, promotion and/or continuing appointment of all employees, including visiting and adjunct appointments.
2. Disciplinary action.
3. Provision of opportunities and funding for research, conferences, training/development, travel and accommodation.
4. Referee reports and performance reviews.
5. Selection of students for awards, prizes and scholarships etc.
6. Assessment or supervision of students.
7. Selection of students for admission, honours and postgraduate supervision.
8. Provision of advice to a deliberative body (e.g. a faculty review, accreditation committees).
9. Awarding of contracts or tenders, engagement of consultants, or purchasing procedures.
10. Allocation or disbursement of University funds or resources, including funds obtained for research purposes.
11. Application or development of University policies or procedures.
12. Decisions or recommendations on prescribed or recommended University textbooks authored or co-authored by staff members of the University.

(12) If staff are unsure whether this procedure applies to a particular situation, or are uncertain about the correct course of action, they should discuss the matter with their immediate supervisor, another senior officer in their organisational unit, or contact the Division of People and Culture (DPC).

(13) If another person or committee suspects that a staff member may have a conflict of interest, they should first report the concern to an appropriate person, usually the individual’s supervisor. The supervisor will then:

1. confirm that the conflict has been declared and is being managed, or
2. raise the matter as soon as practicable with the staff member and follow the declaration procedures.

(14) Guidance in understanding and interpreting situations that may give rise to a conflict of interest can be found on the DPC Conflict of Interest website.

Part C -  Declaring conflicts of interest

(15) All actual, potential, or perceived conflicts of interest must be declared by the staff member as soon as they become known.

Declarations - general

(16) Subject to specific declaration requirements below, declarations relating to day to day activities, additional employment, or membership of a committee or decision making group must be lodged using the DPC conflict of interest form.

(17) When declaring a conflict of interest, staff must provide sufficient detail so that the responsible officer can properly assess and make an informed decision as to whether an actual, potential, or perceived conflict exists and, if so, whether it can be effectively managed.

(18) The responsible officer will, in consultation with the declarant, ensure the required declaration has been completed, assess the situation disclosed and advise the staff member of what action, if any, is to be taken to manage the conflict.

(19) The conflict, and proposed mitigation or management strategy, must be accepted and approved by a responsible officer of Band 7 or above, who is a line manager and/or responsible for the activity being undertaken.

(20) Confidentiality is to be maintained at all times by the people involved in the above processes.

(21) Nothing in this procedure will preclude either the declarant or the responsible officer from seeking advice from an alternative officer of the University, such as Legal Services, Procure to Pay or DPC, on any matter relating to this procedure.

Declarations – specific

(22) Some situations will give rise to conflicts of interest that must be declared and assessed under specific processes or by specific responsible officers as follows.

Recruitment and selection activities

(23) Staff engaged in a recruitment activity, or participating as a selection panel member, must declare conflicts of interest in writing to the DPC Talent Acquisition as soon as they become known, in accordance with the Appointments Procedure - Recruitment and Selection.

(24) Where a conflict of interest has been declared, Talent Acquisition will assess, determine, notify and maintain a register of the appropriate course of action to remove or mitigate the conflict.

Procurement and tender activities

(25) When goods or services are purchased outside the University’s preferred suppliers list, or when purchases exceed specific limits, staff are required to declare in writing to the Associate Director, Procure to Pay that any conflicts of interest have been considered, and to report the outcome.

(26) Staff engaged in a tender or procurement panel, must declare conflicts of interest in writing to the Associate Director, Procure to Pay as soon as they become known, in accordance with the Finance Procedure - Procurement.

(27) Where a conflict of interest has been declared, the Associate Director, Procure to Pay will assess, determine, notify and maintain a register of the appropriate course of action to remove or mitigate the conflict.

Committees and decision-making groups

(28) A conflict of interest may arise upon commencement of a role on a committee and additionally at any meeting thereafter due to business under consideration. Conflicts must be declared to the chair or presiding officer, who will determine the appropriate course of action. This may include the member not receiving certain agenda papers, leaving the meeting for the duration of the item, or abstaining from discussion and/or decision.

(29) If the chair or presiding officer is unsure as to how a conflict of interest should be managed, they may seek advice from the Office of Governance and Corporate Administration.

Additional employment and university consultancies

(30) A conflict of interest arises where an employee participates in additional employment or a university consultancy that conflicts or may conflict with carrying out their official duties. These activities must be declared and approved in accordance with the Employment Conditions Procedure - Additional Employment and University Consultancies.

Research activities and grant funds

(31) Researchers must disclose and manage all conflicts of interest related to their proposed or ongoing research, as per the Australian Code for the Responsible Conduct of Research and Disclosure of interests and management of conflicts of interest guide. Conflicts related to research must be lodged using the DPC conflict of interest form and will be referred to the Research Integrity Unit for an assessment and decision on an appropriate course of action to remove or mitigate risk.

(32) For Australian Research Council (ARC) grant funded projects, chief investigators must submit conflict of interest declarations for themselves and members of the research team. Office of Research Services has adopted the Australasian Research Management Society data collection process and is responsible for receiving, assessing, and managing these declarations in accordance with Australian Research Council Act 2001 s 49.

(33) Researchers should be aware of and must comply with any separate requirements for disclosure of conflicts of interest from other funding bodies.

(34) University staff involved in research projects as participants or subjects must not receive cash or cash-like payments (such as gift cards) that may be perceived as receiving a payment for providing goods or services to the University outside of their approved employment.

Gifts and benefits

(35) Staff may, in the course of their duties, receive gifts and benefits (including hospitality such as entertainment, travel and accommodation expenses). These may be received while travelling overseas, from overseas visitors to Australia, or from Australian sources. A conflict of interest arises where an individual has the opportunity or ability, through their status or position with the University, to obtain or to encourage receipt of any type of gift or benefit in connection with the performance of their duties, or where the gift or benefit can be perceived as an inducement to act in a particular way.

(36) Staff must not give or receive a gift or benefit that may, or may be perceived to:

1. influence their decisions or judgment
2. damage relationships with others, or
3. create unfair advantage, favouritism or prejudice.

(37) Provisions relating to the giving of gifts are set out in the Finance Guidelines - Entertainment, FBT and Private Expenditure.

(38) All gifts and benefits greater than $100 (reportable gifts or benefits) must be declared to the responsible officer indicated below no later than 30 days after receipt, or no later than 30 days after the recipient returns to Australia if received overseas. Reportable gifts and benefits must be declared using the Receipt of Gift Declaration Form and included on the Reportable Gifts and Benefits Register.

(39) Tangible gifts over $100 are considered University property and must be surrendered to the University Secretary. However, where there is no risk of a conflict of interest, recipients may be allowed to keep a gift:

1. valued between AU$100-$500 if approved by their Band 7 line manager
2. valued over AU$500 if approved by the University Secretary and the recipient elects to pay to the University the difference above $500. Where this occurs, the details of the gift, evidence of its value and a receipt from the Division of Finance are to be sent to the University Secretary within 30 days.

(40) Payments received by the University for gifts will be consolidated with other general University income.

(41) When determining the value of a gift or benefit:

1. use the market value in the country where it was received
2. add up all gifts and benefits received from the same source over a 12 month period, and
3. if a tangible gift may be over $500, obtain a formal valuation if there is doubt or a dispute over the actual value.

(42) Deliberately or negligently providing an undervalued amount to avoid reporting or to keep an item is considered fraud and is a breach of this procedure.

(43) Tangible, reportable gifts surrendered to the University may be:

1. kept as University assets
2. allocated to a business unit of the University
3. donated to a nominated non-profit organisation or charity at the discretion of the recipient and the University Secretary, or
4. disposed of appropriately by the University Secretary.

(44) Intangible, reportable benefits may be accepted by the recipient without reimbursement to the University, if approved in accordance with clause 38 and there is no risk of a conflict of interest.

Part D - Managing conflicts of interest

(45) A conflict of interest may be effectively managed by a set of controls and oversights or may require development of a management plan.

(46) The responsible officers outlined in this procedure will determine and monitor the appropriate mitigations (controls, oversights, or management plans) required to achieve an acceptable level of risk.

(47) Depending on the nature of the conflict of interest, the response may be one of the following:

1. Restrict: limit involvement in the matter
2. Recruit: involve an independent third party to oversee or review the process
3. Remove: withdraw from all involvement in the matter for as long as the conflict exists
4. Relinquish: give up any personal interests
5. Resign: as a last resort for serious conflicts of interest, staff may be required to resign from their position

(48) Third parties who suspect that an individual has not taken reasonable steps to disclose a conflict of interest, or that a disclosure is not being managed appropriately, should contact the relevant responsible officer related to the activity as outlined in this procedure.

(49) Each year, all staff must review and discuss their declared conflicts and advise the University and responsible officer of whether the conflict remains or is no longer applicable. This review must confirm whether mitigations are being complied with and/or wheteher amendments are necessary to maintain effective management.

Registers

(50) The following registers will be maintained:

(51) All registers must be stored in accordance with the Records Management Procedure.

Part E - Breach of procedure

(52) Staff who fail to declare a conflict of interest must correct this immediately when they become aware of the need to do so. 

(53) Where conflicts of interest remain undisclosed, or continue without approval:

1. employees will become subject to the disciplinary and misconduct/serious misconduct provisions of the Code of Conduct, Enterprise Agreement, or contract of employment
2. individuals other than employees may have their engagement with the University withdrawn or terminated, and
3. where required, the matter be reported to the Independent Commission Against Corruption (ICAC).

(54) Employees may raise a concern or grievance about the application or operation of this procedure under the Complaints Management Policy and Complaints Procedure - Workplace. 

Section 3 - Glossary

(55) For the purpose of this procedure, the following terms are defined:

1. Intimate or close personal relationship – means a familial relationship (including a relative, de facto relations, or a financially dependent person, etc.); a close friend; or any relationship where there is currently, or has been, physical intimacy including isolated or repeated sexual activity, or romantic or emotional intimacy. This does not include a working relationship which exists due to ordinary academic or professional collaboration, where colleagues are not close relations as outlined above.
2. Non-pecuniary interest – means personal interests without a financial component, often arising from relationships or affiliations such as involvement in a sporting, social or other cultural group or association that may result in bias in the exercise of judgement or discretion.
3. Pecuniary interest – means an actual or potential financial interest. This does not require the staff member to directly receive money from the activity raising the conflict, just the possibility of a financial benefit or disadvantage.
4. Responsible officer – means a University officer of Band 7 or above with relevant line management or functional responsibilities, who may accept and approve a conflict of interest and the proposed mitigation and management strategies, and/or the officer specified for each activity under the ‘Declarations – specific’ in Part C.