(1) This Policy outlines the principles applying to actual, potential or perceived conflict of interest. The University is committed to fostering a culture where staff at every level are free of influences, interests or relationships that might conflict, or give rise to the potential or perception of a conflict. (2) The objectives of this Policy are: (3) This Policy applies to all staff members, honorary, adjuncts and clinical staff and also includes Council members (collectively referred to as ‘staff’ for the purpose of this Policy). (4) A conflict of interest may exist where the following may lead to an unfair advantage or disadvantage when making decisions on behalf of the University: (5) The following are common areas where a conflict of interest may arise or exist: (6) The University expects all staff to act ethically, with integrity and to maintain the highest professional standards at work under our Code of Conduct and values. All staff must do everything possible to avoid conflicts of interest. In general, staff should avoid the following situations: (7) Should an actual, potential or perceived conflict exist, staff should take action in accordance with the Procedure, such as: (8) The University will take steps to identify and manage actual, potential and perceived conflicts of interest. (9) Pending the outcome of an investigation/enquiry, staff may be subject to disciplinary action in accordance with University policies/procedures and the Collective Agreement. In cases of serious conflict of interest, this may even lead to termination of employment. (10) Refer to the Procedures below for further information. (11) This Procedure provides further information on the common areas where conflicts of interest occur and the process of declaring an actual, potential or perceived conflict of interest. (12) For procedures in relation to selection of texts authored by La Trobe staff or their close associates, please refer to Conflict of Interest Procedure - Staff Authored Texts. (13) The University expects all staff to act ethically, with integrity and to maintain the highest professional standards at work. Those representatives in personal relationships with another representative must: (14) Where a staff member has a personal relationship with another staff member, that staff member shall not: (15) Where a relationship does exist between two staff members, and has formally been approved, the following work processes must not be engaged in with respect to each other: (16) Should the University identify any behaviour/relationship which it believes to be inappropriate/unacceptable, disruptive or affect the work environment in a negative manner the University reserves the right to review the work situation and take appropriate steps to avoid and/or resolve the situation. (17) In so doing, the staff member/s who is/are the subject of the relationship may be required to undertake any and all reasonable steps and directions to resolve or avoid the issue to the extent necessary to protect the interests of the University and/or other staff. (18) The Vice-Chancellor (or delegate) and the Executive Director, Human Resources will determine and oversee any arrangement for the management of the staff members in personal relationships. (19) Where a staff member has a close personal relationship with a student, that staff member should not participate in or contribute to that student’s: (20) The staff member should terminate any supervisory and/or evaluative role and make alternative arrangements for the supervision and/or evaluation of the student's work. (21) The Vice-Chancellor (or delegate) and the Executive Director, Human Resources will determine and oversee any arrangement for the management of the staff members in personal relationships with students. (22) Where a staff member has a relationship with a third party person/organisation, that staff member should not participate in or contribute to decisions being made which may provide an unfair advantage or disadvantage for that third party. Third parties may include (but are not limited to) clients, contractors, casual staff, suppliers etc. (23) For example, a manager must not sign a time record for a casual employee they have a personal relationship with or a staff member must not approve payment of an invoice for a supplier if the staff member has a personal relationship/interest with the approved supplier. (24) In accordance with the La Trobe University Commercial Activities Guidelines, commercial business activities (as defined below) must not be entered into where actual conflicts of interest for the staff or University Council Members exist. (25) Where staff hold an interest in a directorship, shares or has a personal relationship with a company, the staff member should: (26) A financial conflict of interest (or pecuniary interest) may arise: (27) Staff holding a University financial delegation in excess of A$50,000 including the Vice-Chancellor and staff at entities controlled by the University must: (28) A staff member holding a University financial delegation in excess of A$50,000 who fails to disclose all private interests may face disciplinary action from the University. (29) The Office of the Vice-Chancellor will administer the Declarations of Private Interests process and store completed forms on the University’s electronic records management system. (30) The University must comply with Financial Reporting Direction 22B (‘FRD’), and must make a statement as to whether “Declarations of Pecuniary Interests” have been duly completed by all relevant officers”. (31) Staff members should decline offers of gifts, benefits and hospitality. (32) The University does however recognize that situations may arise where it is not possible to decline the offer. In all cases, staff must ensure that the gift, benefit or hospitality is an expression of goodwill and not an expectation of a return favour. (33) Receiving gifts, benefits and hospitality with a fair market value of A$250 or less to a staff member is generally permitted without seeking approval. (34) Deliberately undervaluing a gift, benefit or hospitality to avoid reporting it or to fraudulently keep it may constitute a breach of the Policy. (35) Receiving gifts, benefits and hospitality valued over A$250 is not permitted unless there is an overriding business reason and the staff member has obtained the written approval of their Vice-Chancellor (or delegate). (36) In circumstances where staff members are representatives of the University at business, social, cultural or community events, and it would cause offence to decline an official gift, it is reasonable for official representatives of the University to accept an official gift on behalf of the University. (37) Such gifts should be managed in the same way as a significant major gift or benefit and be registered in the same way. They will be considered the property of the University and where possible displayed in an appropriate and secure location. (38) Occasionally business partners may wish to take us out for a reasonably-priced meal or beverages to discuss business or they may provide occasional hospitality in connection with a business meeting or discussion. (39) This is permitted if all the following criteria are met: (40) Staff may attend an event sponsored by a business partner if business is the purpose and the value is reasonable. (41) Tickets/passes provided to staff by University suppliers/customers may only be accepted if it is in the best interests of the University. (42) Staff must never accept: (43) Should staff be uncertain about accepting a gift, benefit or hospitality, they should seek clarification from their manager or Human Resources. (44) The Australian Code for the Responsible Conduct of Research (2018) and the University’s Research Integrity Policy requires that researchers make full disclosure in writing of any actual, potential or perceived conflict of interest in research. (45) In respect of grants and other research funding there is an obligation to disclose to the funding body any actual, potential or perceived conflicts of interest which might affect the research or investigations, influence publication, or otherwise affect the project. Likewise in respect of publications, conflicts of interest should be disclosed to publishers or editors and to the readers of the published work. (46) Staff are also expected to comply with the Research Misconduct Procedure. (47) Whilst in specific cases there may be obvious benefits to both staff and the University for staff to hold other employment in conjunction with their University employment, there also exists a potential for an actual, potential or perceived conflict of interest where more than one employment relationship exists at the same time. (48) It is therefore important that staff comply with the Outside Work Policy (Academic). (49) The University believes that the working relationships between people engaged by the University must be based on integrity and trust. Staff engaged by the University involved in close personal relationships must avoid impropriety, bias, and abuse of authority and conflict of interest. (50) Staff can recommend someone they have a close personal relationship with for a vacant position, however they should not take any direct part in the selection process for any appointment for which this person is an applicant. (51) There may be situations where the staff member may manage a conflict without disclosing the conflict (actual, potential or perceived). (52) In such cases it is sufficient for the staff member to: (53) For example, a staff member has been requested to join the selection committee as part of the interviewing panel for a vacant role in which a relative is an applicant for. The staff member manages the conflict by removing themselves as part of the selection panel for interviewing any applicant for that role. (54) As soon as a staff member becomes aware that they have an actual, potential or perceived conflict of interest, they should either: (55) Staff have the option of reporting ‘improper conduct’ of another staff member with protections under the University’s Public Interest (Whistleblower) Disclosure Policy. (56) If a staff member is in doubt as to whether a conflict exists, they should seek advice from their manager or Human Resources/Employee Relations. (57) Refer to ‘Disclosure and Reporting Process’ below. (58) University Council Members are required under the La Trobe University Act 2009, Part 2, Cl 15(c) to avoid all conflicts of interest and declare any such interests in accordance with Schedule 1, Cl 11. Refer to the Act for further information. (59) There are a number of methods of reporting a conflict of interest, depending on the nature of the conflict of interest. One of the following reporting mechanisms should be used: (60) Notifications of conflict of interest will be reviewed by the Office of the Vice-Chancellor unless otherwise outlined in the appropriate policy or procedure. Under direction of the Vice-Chancellor, a management plan will be established where required, which may include: (61) The chosen management strategy must take into account a number of factors, including: (62) Once a management plan is approved by the Office of the Vice-Chancellor, it must be: (63) All documents should be marked “confidential” and access strictly limited to those employees who need access for official purposes. (64) In developing this plan any party to the conflict of interest may consult with Human Resources for guidance and assistance. (65) The University will take steps to identify and manage actual, potential and perceived conflicts of interest. (66) Pending the outcome of an investigation/enquiry, staff may be subject to disciplinary action in accordance with University policies/procedures and the Collective Agreement. In cases of serious conflict of interest, this may even lead to termination of employment. (67) La Trobe University respects the privacy of staff personal information and health information. Information collected will be used in accordance with the University's privacy policies, available at La Trobe’s Privacy Webpage. (68) For the purpose of this Policy and Procedure:Conflict of Interest Policy
This policy is being updated to reflect the new Enterprise Agreement and may currently contain out of date information. If you have any questions, please lodge an Ask HR ticket.
Section 1 - Background and Purpose
Top of PageSection 2 - Scope
Section 3 - Policy Statement
Common Areas of Conflict of Interest
Types of Conflicts
Expected Behaviour
Breaches of Policy
Section 4 - Procedures
Preamble
Personal Relationships
Staff/Staff
Staff/Student
Staff/Third Party
Commercial Activities
Directorship, Shareholding and Relationships
Financial
Gifts, Benefits and Hospitality
Limitations of Accepting Gifts, Benefits and/or Hospitality
Cultural Gift Acceptance
Ordinary Business Meals and Hospitality
Business Partner Sponsored Events
Contractually Provided Benefits
Gifts, Benefits and Hospitality Never Allowed
Research
Other Employment
Recruitment and Selection
Non-Disclosure
Disclosure Obligations
Staff
Council Members
Disclosure and Reporting Process
Management of Conflict of Interest
Breaches
Privacy
Section 5 - Definitions
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Actual Conflict
Potential Conflict
Perceived Conflict
An actual conflict involves a direct conflict between a staff member’s duties and responsibilities to the University and a competing interest or obligation, whether personal or involving a third party.
For example: A staff member assesses a tender submitted by a business in which the staff member has a financial interest.
A potential conflict of interest arises where a staff member has an interest or obligation, whether personal or involving a third party, that could conflict with the staff member’s duties/responsibilities to the University.
For example: A staff member has a personal relationship with a student or staff member of the University who is within their school / Department.
A perceived conflict exists where it could reasonably be perceived, or give the appearance, that a competing interest could improperly influence the work related decisions/activities of a staff member.
For example: A staff member has an interest in a business that sponsors research conducted by their school / department at the University.