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1. Introduction
2. Levels of Disclosure
3. Responsibilities
4. Identifying Conflicts of Interest
5. Managing Conflicts of Interest
6. Monitoring Conflicts of Interest
7. Failure to Disclose an Interest
8. Privacy and Confidentiality
9. Relevant Legislation and Guidelines
10. Document Details
1. INTRODUCTION
All members of the QUT community, including employees and committee member, have an obligation to undertake their duties in accordance with the five ethical principles stated in the Public Sector Ethics Act 1994 and articulated in the University’s Code of Conduct:
- Respect for the law and system of government
- Respect for persons
- Integrity
- Diligence
- Economy and efficiency.
An important factor in achieving compliance with these ethical principles is the proper management of conflicts of interest. The Public Sector Ethics Act 1994 defines a conflict of interest as a "conflict between the person’s personal interests and the person’s official duties". Conflicts of interest may be potential, perceived or actual in nature, and may include financial interests, personal relationships, personal benefits or conflicts between duties to QUT and other organisations. It should be noted that the University has specific policies on conflicts of interest relating to research activities, and gifts.
The QUT Code of Conduct and the QUT Corporate Governance Guidelines require members of the University community to formally declare and manage any conflicts of interest. The University recognises that the interests of public office and personal or other interests may come into conflict. Members of the University community are encouraged to consider the potential for conflict in all possible interests, including professional positions, membership of committees of other organisations, family and personal relationships, or financial interests.
2. LEVELS OF DISCLOSURE
To administer disclosures of interests by members of the QUT community, two broad categories have been established:
- disclosures that should be managed at the University level, and
- disclosures that should be managed at the local level.
Disclosures resulting in a potential conflict of interest must be managed at the University level if:
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a) they relate to a member of a University level committee, including Council and its committees and/or the Vice-Chancellor’s committees; or
b) the disclosure may result in a conflict of interest that could impact on the University in general, either due to the nature of the conflict, or the duties of the University officer concerned.
All members of University level committees are required to disclose relevant interests. This is usually managed annually through the committee orientation process, and by asking members at each meeting to declare any interests in the agenda items. Members are also able to make changes to their disclosures on an ad hoc basis as required. Members of QUT committees are encouraged to seek advice from the Secretary or Chair in determining whether any particular interest should be disclosed.
For staff who are not members of QUT committees, but who have University level interests to disclose, such disclosures must be discussed with their supervisor in the first instance. Then disclosure is made on the QUT Disclosure of Interests at the University Level Form and is signed off by the supervisor.
2.2 Local level disclosures
Disclosures which do not relate to a University level committee or will not impact on the University in general, should be recorded and managed at the local level by the supervisor of the staff member concerned.
3. RESPONSIBILITIES
3.1 Responsible Officers
The Registrar is the officer responsible for overall management of conflicts of interest in the University.
The Policy and Compliance Manager is responsible for:
- Maintaining records of University level disclosed interests.
- Coordinating the annual review and reporting process on University level disclosures of interests.
- Reporting to committees as required on the disclosed interests of members.
- Providing advice and/or information on the process relating to the identification and management of conflicts of interest.
- Developing and implementing a communication strategy for the disclosure of interests process.
Any individual associated with the University as an employee, committee member, volunteer or who has been granted access to QUT property, services or infrastructure, is responsible for identifying and formally disclosing to their supervisor any interests which may result in an actual, perceived or potential conflict of interest with their duties at QUT. Members of the community with such interests should not seek to influence, directly or indirectly, the advice provided by, or actions of, management and administration in matters relating to the interest.
3.3 Responsibilities of heads of school/department/section
It is the responsibility of supervisors to:
- Ensure staff are aware of the provisions of the QUT Code of Conduct and QUT Corporate Governance Guidelines in relation to the disclosure of interests and the management of conflicts of interest.
- Set a good example by themselves declaring any University or local level interests.
- Discuss with staff any University or local level disclosed interests that may result in an actual, perceived or potential conflict of interest with their duties at QUT, and provide guidance on managing such conflicts.
- Ensure that staff disclose any University level conflicts to Governance Services as required.
- Assess the risk to the University of local level potential conflicts of interests.
- Ensure that proper recordkeeping is undertaken for local level disclosures, including records of how the potential conflict of interest will be managed.
- Maintain the confidentiality of the disclosure.
- Review with staff local level disclosed interests on at least an annual basis to maintain accuracy and currency.
The QUT Code of Conduct provides guidelines on identifying conflicts of interest, and provides examples of the types of activities which could constitute a conflict of interest. The CMC and ICAC have also produced a comprehensive toolkit, Managing Conflicts of Interest in the Public Sector, which includes various examples. The Policy and Compliance Manager is also available to provide advice on identifying potential conflicts of interest.
5. MANAGING CONFLICTS OF INTEREST
The head of school/department/section and the staff member must discuss and agree on a management treatment for the potential conflict of interest. It is not sufficient to only declare the interest. Management treatments may include the following which are based on the University’s Risk Management Framework.
- Avoid the actual/perceived/potential conflict:
- The employee chooses to be removed from the matter.
- The employee relinquishes the private interest that is creating the conflict.
- The employee resigns from their position.
- Reduce the actual/perceived/potential conflict:
- The employee has restrictions placed on their involvement in the matter.
- A disinterested third party is used to oversee part or all of the process that deals with the matter.
- Transfer the actual/perceived/potential conflict:
- Another person/section takes responsibility for the matter.
- Retain the perceived/potential conflict:
- Employee continues to be involved in the matter, subject to regular review of the situation.
- NOTE: Only suitable for low risk potential or perceived conflicts of interest.
For University level conflicts, a report will be run from the Register of Disclosed Interests and forwarded to heads of school/department/section for review on an annual basis. This will provide an annual opportunity for supervisors to check the currency of the information held on the Register, to discuss the disclosure with the relevant staff member and to review the management strategy put in place for effectiveness.
At the local level, it is expected that heads of school/department/section will annually review interests disclosed to them with the staff members concerned and review the management strategy for effectiveness. For example, this may be done through the annual PPr process.
7. FAILURE TO DISCLOSE AN INTEREST
The disclosure of interests and management of conflicts of interest are regulated by the QUT Code of Conduct. Failure to comply with the conduct standards of the Code of Conduct may result in a staff member being subject to disciplinary procedures. Other members of the University community who do not comply with the Code may have their association with QUT terminated.
8. PRIVACY AND CONFIDENTIALITY
In line with QUT’s Privacy Policy, the personal information recorded as a result of disclosure of interests, for staff in general, will remain strictly confidential. In the interests of respecting and maintaining privacy, when disclosing a personal relationship, there is no requirement to disclose that person’s name to the University. It is sufficient to disclose only the relationship to that person (eg mother, brother, partner) when making a disclosure.
The information will be viewed by the following people in the disclosure process:
- In the process of disclosing interests the staff member must discuss the interest with their head of school/department/section.
- In the entering of information into the Register of Disclosed Interests for University level disclosures, the information will be viewed by the Policy and Compliance Manager and the relevant data manager.
- The Register of Disclosed Interests is a password protected, non-public database.
- Information from the Register of Disclosed Interests will normally only be provided to the relevant staff member and their head of school/department/section and relevant Committees.
- It is a requirement of the QUT Corporate Governance Guidelines and Council Procedure 1 – Committees that Council and its committees and the Vice-Chancellor’s committees are made aware of any disclosures made by members.
- A report detailing all recorded disclosures pertaining to each particular area held on the Register of Disclosed Interests will be sent to each head of school/department/section annually for review of management process, in conjunction with relevant staff member.
- Public Sector Ethics Act 1994
- QUT Code of Conduct – Guidelines for Ethical Conduct (MOPP B/8.1)
- QUT Corporate Governance Guidelines (MOPP A/1.2)
- Managing Conflicts of Interest in the Public Sector Toolkit (ICAC and CMC)
Document Details:
Approval date: 18 July 2005
Approval authority: Registrar
Date of next review: 18 July 2006
Contact officer: Compliance Coordinator